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Iso 7 1 En 10226 1 Tapered Pipe Thread Is Designated As
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ISO-7-1 British Standard Pipe Taper (BSPT)
EN 10226-2:2005 (E) 4 1 Scope This European Standard specifies Page 2/12
the requirements for thread form, dimensions, tolerances and designation for jointing pipe threads, sizes 1/16 to 6 inclusive, for joints made pressure-tight by the mating of the threads.
ISO 7 - Pipe Threads where Pressure-tight Joints are made ...
ISO 10226-1 is based, with editorial modifications on ISO 7-1 "Pipe threads where pressure-tight joints are made on the threadsPart 1: Dimensions, tolerances and designation". Pipe threads to EN 10226-1 are dimensionally identical to and fully interchangeable with pipe threads to ISO 7-1.
British Standard Pipe - Wikipedia
Certificates: EN 10204/2.1 CaratteristiChe teCniChe tipo standard iso 4144: esecuzione: microfusione Dimensioni e tolleranze in Page 3/12
accordo IsO 4144 Filettatura: conforme a eN 10226-1 (eX IsO 7-1) (filetto maschio conico, filetto femmina cilindrico) acciaio: aIsI 316/eN 1.4401 Pressione d'esercizio: 150 Lbs - PN10 Certificati EN 10204/2.1
www.gewindebohrer.de
the document number of the standard (e.g., ISO 7 or EN 10226) the symbol for the pipe thread type: G, external and internal parallel (ISO 228) R, external taper (ISO 7) Rp, internal parallel (ISO 7/1) Rc, internal taper (ISO 7) Rs, external parallel; the thread size; Threads are normally right-hand.
The standard ISO 7 - Pipe threads where pressure-tight joints are made on the threads consists of. ISO 7-1:1994 Dimensions, tolerances and designation; ISO 7-2:2000 Verification by means of limit gauges; The ISO 7 tapered Whitworth threads are equivalent to DIN 2999, BS 21 (BS EN 10226-1), JIS B0203. Characteristics of ISO 7 tapered Withworth ...
BS EN 10226-1:2004 - Pipe threads where pressure tight ... iso 7-1, en 10226 (din 2999, bspt) Per offrirti il miglior servizio possibile questo sito utilizza cookies tecnici. Continuando la navigazione nel sito acconsenti al loro impiego in conformità alla nostra.
Tipos de roscas: rosca BSP o rosca "Gas" | Productos ... Page 5/12
BS EN 10226-1:2004 Pipe threads where pressure tight joints are made on the threads. Taper external threads and parallel internal threads. Dimensions, tolerances and designation. BS EN 10226-1 specifies the requirements for thread form, dimensions, tolerances and designation for jointing pipe threads, sizes 1/16 to 6 inclusive.
ISO 7-1 / EN 10226-1 TAPERED PIPE THREAD IS DESIGNATED AS
EN 10226-1:2004 (E) 4 1 Scope This part of EN 10226 specifies the requirements for thread form, dimensions, tolerances and designation for jointing pipe threads, sizes 1/16 to 6 inclusive, for joints made pressure-tight by the mating of the threads.
EN 10226-2:2005 - 64 e stf Page 6/12
Die Gewindemaße DIN EN 10226 stimmen mit der internationalen Norm ISO 7/1 überein. Für das neue Lehrensystem nach ISO 7/1 gilt die DIN EN 10226-3. Rp - Innengewinde zylindrisch Gewindegrenzlehrdorn gemäß DIN EN 10226. Das Profil dieses Innengewindes stimmt mit dem nach DIN EN ISO 228-1 überein. Für das Rp-Gewinde sind jedoch andere ...
UNI EN 10226-1:2006
Jedoch hat das zylindrische G-Innengewinde nach ISO 228-1 nur positive Abmaße, während bei der EN 10226 (alt DIN 2999) positive und negative Toleranzen vorgesehen sind, so dass sich kegelige R-Außengewinde in G-Innengewinde durchschnittlich etwa einen Gewindegang weiter einschrauben lassen .
RACCORDERIA FILETTATA - Intertubi
We are leading Pipe Thread Gauge manufacturer. We manufacture it as per ISO 7 & BS EN 10226. They are used in pipe assemblies to get pressure tight joint on threads without any sealing compounds.
La filettatura EN 10226 sostituisce ISO 7 riconosciuta a ... Whitworth Pipe Threads. Whitworth Pipe Threads differ in sealing on the thread (acc. ISO 7/1 and DIN EN 10226) and not sealing on the thread (ISO 228).
ISO 7-1, EN 10226 (DIN 2999, BSPT)
La presente norma è la versione ufficiale in lingua inglese della norma europea EN 10226-1 (edizione luglio 2004). La norma specifica i requisiti per la forma del filetto, le dimensioni, le Page 8/12
tolleranze e la designazione delle filettature per la giunzi
Datenblatt - Rohrgewinde
ISO 7-1:1994 Foreword This third Edition cancels and replaces the second edition (ISO 7-1:1982). ISO 7-1 Scope This part of ISO 7 specifies the requirements for thread form, dimensions, tolerances and designation for joining pipe threads, sizes 1/16 to 6 inclusive, for joints made pressure-tight by the mating of the threads.
Pipe / R Thread Gauges (ISO 7/2)
iso 7-1, en 10226 (din 2999, bspt) Para proporcionar el mejor servicio posible Este sitio utiliza cookies técnicos. Continuando navegando por el sitio usted autoriza su uso de acuerdo con nuestra.
Rohrgewinde: EN 10226-1 und EN ISO 228-1 - KVT
La filettatura EN 10226 nell'anno 2004 ha sostituito ma di fatto solo come riedizione normativa quella il cui disegno rispetta le misure dalla ISO 7. Queste filettature sono adatte per accoppiamenti in cui è richiesta la tenuta stagna sul filetto. La troviamo infatti sulle valvole e sui raccordi in particolare quelli prodotti rispettando la ISO 4144 oppure la EN 10241.
ISO 7-1, EN 10226 (DIN 2999, BSPT)
Ejemplo denominación: rosca 1/2" BSP cilíndrica ? G 1/2. • Cónica: el macho cónico puede instalarse contra una rosca hembra también cónica o paralela. La denominación según ISO 7-1 (EN 10226-1) es R para la rosca externa (macho) y Rp y Rc para la rosca interna (hembra), siendo Rp si es cilíndrica y Rc si es cónica. Page 10/12
BSPT Kegeliges Whitworth-Rohrgewinde DIN EN 10226-1 und
Einsatzbereich. Rohrgewinde nach EN 10226-1 / ISO 7-1 werden für im Gewinde dichtende Verbindungen verwendet.. Das Außengewinde ist konisch und dichtet beim einschrauben in das zylindrische Innengewinde ab. Als Dichthilfsmittel werden Hanf, Teflonband oder Dichtkleber verwendet.
...
EN 10226-1; British Standard Pipe (BSPT)
ISO 7-1 / EN 10226-1 TAPERED PIPE THREAD IS DESIGNATED AS: BSPT GERMANY - DIN 2999 Rp Internal Cylindrical/Parallel according to DIN 2999 (identical to ISO 228-1 internal G)
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Read Online Iso 7 1 En 10226 1 Tapered Pipe Thread Is Designated As
EN 10226-1:2004 - 64 e stf
DIN 259 (entspricht DIN EN ISO 228-1) vermeiden! Die DIN EN 10226-2 legt noch das kege-lige Innengewinde Rc als Alternativlösung zur Paarung mit dem kegeligen Außenge-winde R fest. Das kegelige Innengewinde (Rp 1/2) (R 1/2) wird in Deutschland kaum angewendet. G Rohrgewinde für nicht im Gewinde dichtende Verbindungen nach DIN EN ISO 228-1 G ...
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Can You See the Gorilla?
Jessica W. Tsai, MD, PhD
From Boston Children's Hospital; and Department of Pediatrics, Boston Medical Center, Boston, Mass
The author has no conflicts of interest to disclose.
Address correspondence to Jessica W. Tsai, MD, PhD, Boston Children's Hospital, Hunnewell Building, Pavilion 129, Housestaff Lounge, 300 Longwood Ave, Boston, MA 02115 (e-mail: [email protected]).
ACADEMIC PEDIATRICS 2018;18:237–238
It's a simple video, really. There are 6 people, 3 people wearing black shirts and 3 wearing white shirts. The viewer is instructed to count how many times the players wearing white pass the basketball. The correct number is 15. However, while viewers remain intently focused on the number of passes, most viewers fail to see a person in a gorilla costume dance through the basketball game. 1 Somehow, while most people get relatively close to counting the right number of passes, they miss the gorilla in the room.
This video has been used to study inattentional blindness, the lack of attention in the absence of true visual deficits, and poignantly demonstrates that we often miss some of the most obvious things despite the best of intentions. This kind of tunnel vision is far too commonplace in medicine, and even experts are susceptible to it. In a 2013 study, radiologists were asked to perform a lung nodule detection task on computed tomography images. An image of a gorilla, 48 times larger than the average nodule, was inserted in the last case, and 83% of radiologists failed to identify this gorilla despite eye tracking data showing that most of them looked directly at it. 2
My team was called on a weekend to the surgical recovery area for a patient that was having massive hemoptysis. The patient was quickly stabilized, and we emergently called multiple teams in the hospital, including the intensive care unit, general surgery, otolaryngology, interventional radiology, and anesthesia, not to mention multiple nurses, technicians, and pharmacists. The scene was chaotic, but fortunately the patient's vital signs remained stable. When I looked around, there were at least 15 people huddled together, chatting in a hurried and animated fashion, excitedly discussing the patient and possible next steps.
As the intern, I had been relegated to a computer on wheels in the corner, where I had been instructed to place STAT orders for numerous medications, page different specialists in the hospital, pull up radiographic images, and recite lab values as soon as the laboratory returned the results. As I got to work, I noticed the patient's father, cowering in the corner of the room. His eyes were glassy. He was clearly and understandably horrified by the situation unfolding in front of him.
I peered over my computer screen, glancing first at the father, quiet and confused, then at the group of physicians huddled together, excitedly discussing the patient—and I observed an incredibly striking disconnect. I saw these thoughtful, well-intentioned physicians who had completely forgotten that a frightened parent had just witnessed his previously healthy child cough up nearly a liter of bright red blood. "Sir?" I called to him. "I'm Jess, one of the resident doctors. All of these people are here to help you and your family." He asked me who everyone was. I pointed out to him the fellow and attending from each of at least 5 different services. I explained why each person was there and what his or her role was. Interventional radiology could potentially see a bleeding vessel and make it stop bleeding. In the worst-case scenario, general surgery would take out part of his child's lung if we could not get the bleeding under control, but this was unlikely. The intensive care unit would likely be the safest place for his child, given the ability to have 1:1 nurse-to-patient ratios. As we chatted, the individual consultants dispersed until we were the only two people remaining in the room. At what point did everyone forget about this father?
As physicians, inattentional blindness is ubiquitous. Odd, rare, high-acuity events have morphed into routine, rote occurrences. We forget that patients and their families do not experience these situations with the same regularity that we do. We rightfully pay close attention to vital signs and provide a laser-sharp focus on derangements in physiology, but we sometimes fail to provide humanity. In short, we miss the gorilla in the room. We miss the opportunity to provide care, empathy, understanding, and kindness. We miss the chance to listen. We miss the whole point of why many of us went into medicine in the first place.
In 1927, Francis Peabody 3 wrote in an essay published in JAMA, "There are moments, of course, in cases of serious illness when you will think solely of the disease and its treatment; but when the corner is turned and the immediate crisis is passed, you must give your attention to the patient.…Time, sympathy and understanding must be lavishly dispensed, but the reward is to be found in that personal bond which forms the greatest satisfaction of the practice of medicine. One of the essential qualities of the clinician is interest in humanity, for the secret of the care of the patient is in caring for the patient." I think of these words often, as they resonate tremendously with me. Familiarity with illness is
precisely why our patients and their families trust us with their care.Yet this same familiarity can make physicians seem detached, distant, and unapproachable. As a soon to be pediatric hematology/oncology fellow, I know there will be many instances where my patients will be extremely ill, pushing the boundaries of my medical knowledge and experience. Yet during these times I must not see the patient as an intellectual exercise. Rather, I have to see the gorilla, to remember that I have the remarkable privilege of guiding patients through diagnosis, through therapy, through remission, and sometimes through relapse. I will have to ask myself, as we all ultimately do: "Can I see the gorilla?"
ACKNOWLEDGMENTS
To my patients and their families for helping me maintain my humanity.
REFERENCES
1. Simons DJ, Chabris CF. Gorillas in our midst: sustained inattentional blindness for dynamic events. Perception. 1999;28:1059–1074.
2. Drew T, Vo MLH, Wolfe JM. The invisible gorilla strikes again: sustained inattentional blindness in expert observers. Psychol Sci. 2013;24:1848–1853.
3. Peabody FW. The care of the patient. J Am Med Assoc. 1927;88:877– 882.
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WISDOMTREE INVESTMENTS, INC.
FORM DEF 14A
(Proxy Statement (definitive))
Filed 04/28/98 for the Period Ending 06/17/98
Address 380 MADISON AVENUE
21ST FLOOR
NEW YORK, NY 10017
Telephone 212-801-2080
CIK 0000880631
Symbol WETF
SIC Code 6221 - Commodity Contracts Brokers and Dealers
Industry Investment Services
Sector Financial
Fiscal Year 12/31
SCHEDULE 14A
(Rule 14a-101)
INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION
Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. )
Filed by the Registrant |X|
Filed by a Party other than the Registrant |_|
Check the appropriate box:
| | Definitive Additional Materials
| | Preliminary Proxy Statement | | Confidential, For Use of the Commission |X| Definitive Proxy Statement Only (as permitted by Rule 14a-6(e)(2))
| | Soliciting Material Pursuant to
Rule 14a-11(c) or Rule 14a-12
INDIVIDUAL INVESTOR GROUP, INC.
(Name of Registrant as Specified in Its Charter)
(Name of Person(s) Filing Proxy Statement, if Other Than the Registrant)
Payment of Filing Fee (Check the appropriate box):
|X| No fee required.
|_| Fee computed on table below per Exchange Act Rules 14a-6(i)(1) and 0-11.
(1) Title of each class of securities to which transaction applies:
(2) Aggregate number of securities to which transaction applies:
(3) Per unit price or other underlying value of transaction computed pursuant to Exchange Act Rule 0-11:*
(4) Proposed maximum aggregate value of transaction:
(5) Total fee paid:
|_| Fee paid previously with preliminary materials:
|_| Check box if any part of the fee is offset as provided by
Exchange Act Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the form or schedule and the date of its filing.
(1) Amount previously paid:
(2) Form, Schedule or Registration Statement No.:
(3) Filing Party:
(4) Date Filed:
* Set forth the amount on which the filing fee is calculated and state how it was determined.
New York, New York May 6, 1998
INDIVIDUAL INVESTOR GROUP, INC.
1633 Broadway 38th Floor New York, New York 10019
NOTICE OF ANNUAL MEETING OF STOCKHOLDERS
To be held June 17, 1998
NOTICE IS HEREBY GIVEN that the Annual Meeting of Stockholders of INDIVIDUAL INVESTOR GROUP, INC. ("Company") will be held at the offices of counsel to the Company, Graubard Mollen & Miller, 600 Third Avenue, 32nd Floor, New York, New York, on Wednesday, June 17, 1998, at 10:00 a.m. local time, for the following purposes:
1. To elect two directors of the Company for a term of three years and until their successors are elected and qualified; and
2. To transact such other business as may properly come before the meeting, or any or all postponement(s) or adjournment(s) thereof.
Only stockholders of record at the close of business on April 23, 1998, will be entitled to notice of, and to vote at, the meeting and any postponement(s) or adjournment(s) thereof.
YOU ARE URGED TO READ THE ATTACHED PROXY STATEMENT, WHICH CONTAINS INFORMATION RELEVANT TO THE ACTIONS TO BE TAKEN AT THE MEETING. IN ORDER TO ASSURE THE PRESENCE OF A QUORUM, WHETHER OR NOT YOU EXPECT TO ATTEND THE MEETING IN PERSON, PLEASE SIGN AND DATE THE ACCOMPANYING PROXY CARD AND MAIL IT PROMPTLY IN THE ENCLOSED ADDRESSED, POSTAGE PREPAID ENVELOPE. YOU MAY REVOKE YOUR PROXY IF YOU SO DESIRE AT ANY TIME BEFORE IT IS VOTED.
By Order of the Board of Directors
Scot A. Rosenblum Secretary
INDIVIDUAL INVESTOR GROUP, INC.
PROXY STATEMENT
ANNUAL MEETING OF STOCKHOLDERS TO BE HELD JUNE 17, 1998
This Proxy Statement and the enclosed form of proxy are furnished in connection with solicitation of proxies by the Board of Directors of Individual Investor Group, Inc. ("Company") to be used at the Annual Meeting of Stockholders of the Company to be held on June 17, 1998, and any postponements or adjournments thereof ("Annual Meeting"). The matters to be considered at the Annual Meeting are set forth in the attached Notice of Annual Meeting.
The proxy will be voted (or withheld from voting) in accordance with any specifications made. Where no specifications are indicated, the proxies will vote "FOR" the nominees for director, as described below under Proposal 1, and, in the discretion of the proxy holders, on any other business properly coming before the meeting and any postponement(s) or adjournment(s) thereof. A proxy may be revoked by giving notice to the Secretary of the Company in person, or by written notification actually received by the Secretary, at any time prior to its being exercised.
The Company's executive offices are located at 1633 Broadway, 38th Floor, New York, New York 10019. This Proxy Statement and the enclosed form of proxy are first being sent to stockholders on or about May 6, 1998.
VOTING SECURITIES
The Board of Directors has fixed the close of business on April 23, 1998, as the record date for the determination of stockholders entitled to notice of, and to vote at, the Annual Meeting. Only stockholders of record at the close of business on that date will be entitled to vote at the Annual Meeting or any and all postponement(s) or adjournment(s) thereof. As of April 23, 1998, the Company had issued and outstanding 7,231,007 shares of Common Stock, the Company's only class of voting securities outstanding. Each stockholder of the Company will be entitled to one vote for each share of Common Stock registered in his name on the record date. The presence, in person or by proxy, of a majority of all of the outstanding shares of Common Stock constitutes a quorum at the Annual Meeting. Proxies relating to "street name" shares that are returned to the Company but marked by brokers as "not voted" will be treated as shares present for purposes of determining the presence of a quorum on all matters but will not be treated as shares entitled to vote on the matter as to which authority to vote is withheld by the broker ("broker non-votes").
The election of directors requires a plurality vote of those shares of Common Stock voted at the Annual Meeting with respect to the election of directors. "Plurality" means that the individuals who receive the largest number of votes cast "FOR" are elected as directors. Consequently, any shares of Common Stock not voted "FOR" a particular nominee (whether as a result of a direction to withhold authority or a broker non-vote) will not be counted in such nominee's favor.
All other matters to be voted on will be decided by the affirmative vote of a majority of the shares of Common Stock present or represented at the Annual Meeting and entitled to vote. On any such matter, an abstention will have the same effect as a negative vote, but because shares of Common Stock held by brokers will not be considered entitled to vote on matters as to which the brokers withhold authority, a broker non-vote will have no effect on the vote.
The following table sets forth certain information as of April 23, 1998, with respect to the Common Stock ownership of (i) those persons or groups known to beneficially own more than 5% of the Company's voting securities, (ii) each director and director-nominee of the Company, (iii) each executive officer whose compensation exceeded $100,000 in the 1997 fiscal year, and (iv) all directors and executive officers of the Company as a group.
* Less than 1%.
(1) Beneficial ownership is determined in accordance with Rule 13d-3 under the Securities Exchange Act of 1934. The information concerning the stockholders is based upon information furnished to the Company by such stockholders. Except as otherwise indicated, all of the shares of Common Stock are owned of record and beneficially and the persons identified have sole voting and investment power with respect thereto.
(2) Includes 666,666 shares of Common Stock owned by Reliance Insurance Company, an indirect wholly owned subsidiary of Reliance Group Holdings, Inc. ("Reliance Group"). (See Note 4.) Approximately 44% of the common stock of Reliance Group is beneficially owned by Mr. Saul P. Steinberg, members of his family and affiliated trusts. As a result of his stockholdings in Reliance Group, Mr. Saul P. Steinberg may be deemed to control Reliance Group and to beneficially own the shares of Common Stock owned by Reliance Insurance Company. Mr. Saul P. Steinberg is the father of Mr. Jonathan Steinberg and brother-in-law of Mr. Bruce L. Sokoloff. Excludes the 521,291 shares of Common Stock owned by Wise Partners, L.P., of which Mr. Saul P. Steinberg is a limited partner.
(3) Includes 521,291 shares of Common Stock owned by Wise Partners, L.P., of which Mr. Jonathan L. Steinberg is the general partner. Includes 488,333 shares of Common Stock issuable upon currently exercisable options and options exercisable within the next 60 days. Does not include 191,667 shares of Common Stock issuable upon exercise of options which are not currently exercisable and which will not become exercisable within the next 60 days.
(4) Includes 666,666 shares of Common Stock owned by Reliance Insurance Company. Reliance Financial Services Corporation is the direct parent company of Reliance Insurance Company. Reliance Insurance Company has sole voting power and sole investment power over the shares of Common Stock listed. (See Note 2 above.)
(5) Wise Partners, L.P., a New York limited partnership, of which Mr. Jonathan L. Steinberg is the general partner and Mr. Saul P. Steinberg is a limited partner. (See Notes 2 and 3 above).
(6) Includes 525,001 shares of Common Stock issuable upon the exercise of currently exercisable options and options exercisable within the next 60 days. Does not include 114,999 shares of Common Stock issuable upon exercise of options which are not currently exercisable and which will not become exercisable within the next 60 days.
(7) Includes 374,413 shares of Common Stock issuable upon the exercise of currently exercisable options and options exercisable within the next 60 days. Does not include 96,250 shares of Common Stock issuable upon exercise of options which are not currently exercisable, and which will not become exercisable within the next 60 days.
(8) Includes 30,000 shares of Common Stock issuable upon the exercise of presently exercisable options and options exercisable within the next 60 days.
(9) Includes 20,000 shares of Common Stock issuable upon the exercise of presently exercisable options within the next 60 days. Does not include 10,000 shares of Common Stock issuable upon exercise of options which are not currently exercisable and which will not become
exercisable within 60 days.
(10) Includes 1,449,080 shares of Common Stock issuable upon the exercise of currently exercisable options and options exercisable within the next 60 days. Does not include 441,583 shares of Common Stock issuable upon exercise of options which are not currently exercisable and which will not become exercisable within the next 60 days. Includes 521,291 shares of Common Stock owned by Wise Partners, L.P. of which Mr. Jonathan L. Steinberg is the general partner
PROPOSAL 1: ELECTION OF DIRECTORS
The Board of Directors is divided into three classes, each of which serves for a term of three years, with only one class of directors being elected in each year. The term of the second class of directors, consisting of Mr. Bruce
L. Sokoloff and Mr. Peter M. Ziemba will expire on the date of this year's Annual Meeting. The term of office of the third class of directors, consisting of Mr. Robert H. Schmidt, will expire in 1999 and the term of the first class of directors, consisting of Mr. Jonathan L. Steinberg and Mr. Scot A. Rosenblum will expire in 2000. In each case, each director serves from the date of his election until the end of his term and until his successor is elected and qualified.
Two persons will be elected at the Annual Meeting to serve as directors for a term of three years. The Company has nominated Mr. Bruce L. Sokoloff and Mr. Peter M. Ziemba as the candidates for election. Unless authority is withheld, the proxies solicited by management will be voted "FOR" the election of these nominees. In case either of the nominees becomes unavailable for election to the Board of Directors, an event which is not anticipated, the persons named as proxies, or their substitutes, shall have full discretion and authority to vote or refrain from voting for any other candidate in accordance with their judgment.
Information About Nominees
Bruce L. Sokoloff has served as a director since 1989. Mr. Sokoloff has served as Senior Vice President - Administration of Reliance Group Holdings, Inc., the holding company for several insurance and financial services corporations, for more than five years and has been employed at Reliance Group Holdings, Inc. since 1973. Mr. Sokoloff is an uncle by marriage of Mr. Jonathan L. Steinberg. Mr. Sokoloff is 48 years of age.
Peter M. Ziemba has served as a director since 1996. Mr. Ziemba is an attorney and has been a partner of the law of firm Graubard Mollen & Miller for more than five years. Graubard Mollen & Miller is outside general counsel to the Company. Mr. Ziemba is 40 years of age.
Information About Other Directors
Each of the directors named in the following table will continue in office after the Annual Meeting and until his term expires in the year indicated and his successor is elected and qualified:
Robert Schmidt has served as a director, President and Chief Operating Officer of the Company since July 1994. From January 1991 to June 1994, Mr. Schmidt was President and Chief Executive Officer of Dreyfus Service Corporation, a marketing and mutual fund distribution subsidiary of Dreyfus Corporation. From 1966 to December 1990, Mr. Schmidt served in various executive capacities with Levine, Huntley, Schmidt & Beaver, an advertising agency which he co-founded, including Chairman and Chief Executive Officer from 1985 to December 1990.
Jonathan L. Steinberg founded the Company and has served as Chairman of the Board of Directors of the Company since October 1988. Mr. Steinberg also served as President from October 1988 to July 1994 and Treasurer of the Company from October 1988 to June 1996. In addition, Mr. Steinberg is the Editor-in-Chief of each of the Company's publications. From August 1986 to August 1988, Mr. Steinberg was employed as an analyst in the Mergers
and Acquisitions Department of Bear, Stearns & Co. Inc., an investment banking firm. Mr. Steinberg is a nephew by marriage of Bruce L. Sokoloff, a director of the Company.
Scot A. Rosenblum has served as a director, Executive Vice President, Chief Financial Officer and Secretary of the Company since October 1988 and Treasurer of the Company since June 1996. In addition, Mr. Rosenblum served as the Publisher of each of the Company's publications until March 1996. From August 1986 to August 1988, Mr. Rosenblum was employed as an analyst in the Corporate Finance Department of Bear, Stearns & Co. Inc.
Executive Officers, Board of Directors' Meetings and Committees
Mr. Henry G. Clark (age 53) has been Controller and Principal Accounting Officer since November 1995. Prior to that, he was Chief Financial Officer/Controller of Seventh Generation, Inc. from July 1990 to March 1992 and then again from May 1993 to December 1994. Mr. Clark is a Certified Public Accountant.
During 1997, the Board of Directors met three times and acted by unanimous consent on four occasions. The Company has standing audit and stock option committees of the Board of Directors.
The audit committee was established in June 1996 and is currently comprised of Mr. Bruce L. Sokoloff and Mr. Peter M. Ziemba. The function of the audit committee is to recommend annually to the Board of Directors the appointment of the independent auditors of the Company; review with the independent auditors the scope of the annual audit and review their report relating thereto; review with the independent auditors the accounting practices and policies of the Company; review with the internal accountants and independent auditors the overall accounting and financial controls of the Company; be available to the independent auditors during the year for consultation; and review related party transactions by the Company on an ongoing basis and review potential conflicts of interest situations where appropriate. The audit committee had two meetings in 1997.
The stock option committee of the Board of Directors is responsible for administering the Company's 1991 Stock Option Plan ("1991 Plan"), the 1993 Stock Option Plan ("1993 Plan") and 1996 Performance Equity Plan ("1996 Plan"), each of which is discussed below. The stock option committee currently consists of Mr. Jonathan L. Steinberg and Mr. Bruce L. Sokoloff. During 1997, the stock option committee did not meet, but acted by unanimous written consent on numerous occasions.
Executive Compensation
The following table sets forth the compensation for the past three fiscal years ended December 31, 1997, for the Company's Chief Executive Officer and each other executive officer whose compensation exceeded $100,000 for the fiscal year ended December 31, 1997.
Annual Long-Term
---------------- -------------------
Compensation Compensation
(1) Mr. Kaplan commenced employment in September 1996 as the General Counsel to the Company. In May 1997, Mr. Kaplan was appointed a Vice President. Mr. Kaplan and the Company agreed to end Mr. Kaplan's employment as of May 15, 1998 pursuant to a Severance Agreement ("Severance Agreement") under which Mr. Kaplan will be paid $120,000 and permitted to exercise from August 15, 1998 through May 14, 1999, the options to purchase an aggregate of 50,000 shares of Common Stock that were previously granted and vested through May 9, 1998.
The Company employs Mr. Robert H. Schmidt pursuant to an employment agreement expiring July 27, 1998, renewable for successive oneyear periods automatically, unless terminated under the notice provisions set forth in the agreement. Mr. Schmidt's current annual base compensation is a total of $212,500. The Company is obligated to pay for life insurance benefits for Mr. Schmidt up to an annual premium amount of $10,000. The agreement requires Mr. Schmidt to devote his full business time to the Company and contains a non-competition provision for a period of one year following termination of employment.
Mr. Jonathan L. Steinberg and Mr. Scot A. Rosenblum do not have written employment agreements; for fiscal year 1998 they are compensated with an annual base salary of $230,000 and $200,000, respectively.
Option Grants
The following table sets forth the stock options granted in the last fiscal year to the Company's executive officers identified in the Summary Compensation table above.
OPTIONS GRANTED IN LAST FISCAL YEAR
5/9/2007
(1) The options become exercisable as to 26,667 shares of Common Stock on May 9, 1998 and 26,666 shares of Common Stock on May 4 in each of 1999 and 2000.
(2) The options become exercisable as to 25,000 shares of Common Stock on May 9 in each of 1998, 1999 and 2000.
(3) Pursuant to the Severance Agreement between Mr. Kaplan and the Company, the options to purchase 50,000 shares of Common Stock that vested through May 9, 1998 are exercisable from August 15, 1998 through May 15, 1999. All other options of Mr. Kaplan will terminate on May 15, 1998.
The following table sets forth the fiscal year end option values of outstanding options at December 31, 1997 and the dollar value of unexercised, in-the-money options for the Company's executive officers identified in the Summary Compensation table above.
========================== ======================== ======================= ===================== =====================
(1) The value of a share of Common Stock on December 31, 1997 as reported by The Nasdaq Stock Market was $6.25.
(2) Pursuant to the Severance Agreement between Mr. Kaplan and the Company, the options to purchase 50,000 shares of Common Stock that vested through May 9, 1998 are exercisable from August 15, 1998 through May 15, 1999. All other options of Mr. Kaplan will terminate on May 15, 1998.
Director Compensation
Directors receive no cash compensation for their services to the Company as directors, but are reimbursed for all reasonable costs incurred in attending meetings of the Board of Directors. Pursuant to the 1996 Plan, directors who are not employees of the Company receive automatic grants of stock options upon their election or appointment as a director and upon each re-election as a director. Each stock option is for 30,000 shares of Common Stock and vests at the rate of 10,000 shares of Common Stock per year after an equal period of service, and once vested, remain exercisable until the tenth anniversary of the date of grant. Each option is exercisable per share at the market price per share on the date of grant. Notwithstanding the foregoing, if the director eligible for an award of a stock option is re-elected as a director and has not yet served as a director of the Company for a term of three full years, the award of the stock option will be modified as follows: (A) the number of shares of Common Stock that may be acquired under the stock option will be reduced to (1) 20,000 shares of Common Stock if the director has served as a director more than two years, but less than three years, (2) 10,000 shares of Common Stock if the director has served as a director more than one year, but less than two years, and (3) if the director has served less than one year as a director, no stock option will be awarded; and (B) the stock option will be exercisable by the director as to 10,000 shares of Common Stock on each of the second and third anniversaries of his re-election or re-appointment as a director if the stock option represents the right to acquire 20,000 shares of Common Stock and the stock option will be exercisable by the director as to 10,000 shares of Common
Stock on the third anniversary of his re-election or re-appointment as a director if the stock option represents the right to acquire 10,000 shares of Common Stock.
Mr. Peter M. Ziemba was granted an option during 1996 to acquire 30,000 shares of Common Stock at $10.50 per share, vesting at the rate of 10,000 shares of Common Stock on June 19, 1997, 1998 and 1999, exercisable until June 19, 2006. If re-elected as a director at the Annual Meeting, Mr. Ziemba will be granted an option to purchase up to 20,000 shares of Common Stock at the closing sale price of the Common Stock on June 16, 1998, exercisable at the rate of 10,000 shares of Common Stock on each of June 17, 2000 and 2001.
If re-elected as a director at the Annual Meeting, Mr. Bruce L. Sokoloff will be granted an option to purchase up to 30,000 shares of Common Stock at the closing price of the Common Stock on June 16, 1998, exerciseable at the rate of 10,000 shares of Common Stock on each of June 17, 1999, 2000 and 2001.
Certain Transactions
WIT Capital Corporation ("WIT") advertises in the Company's publications and on-line services and paid the Company $100,000 in fees and 250,000 shares of the Series A Preferred Stock of WIT, at $1.00 par value per share. Mr. Robert Schmidt is a director of WIT. As a director, Mr. Schmidt was granted an option to acquire 30,000 shares of the capital stock of WIT, representing a beneficial ownership interest of less than one (1%) percent.
The Company engaged Chatsworth Capital Corporation ("Chatsworth") to assist it in developing products and revenues related to the INDI 500 index. Mr. Robert Schmidt has an agreement with Chatsworth to receive 25% of the revenues Chatsworth derives from referrals made by Mr. Schmidt. The Company's engagement of Chatsworth resulted from a referral by Mr. Schmidt. Mr. Schmidt has agreed to remit to the Company any referral fees he receives from Chatsworth as a result of the Company's engagement of Chatsworth as long as Mr. Schmidt is employed by the Company.
Compliance with Section 16(a) of the Exchange Act
Section 16(a) of the Securities Exchange Act of 1934, as amended, requires the Company's officers, directors and persons who beneficially own more than ten percent of a registered class of the Company's equity securities ("ten- percent stockholders") to file reports of ownership and changes in ownership with the Securities and Exchange Commission. Officers, directors and ten-percent stockholders also are required to furnish the Company with copies of all Section 16(a) forms they file. Based solely on its review of the copies of such forms furnished to it, and written representations that no other reports were required, the Company believes that during the Company's fiscal year ended December 31, 1996, all its officers, directors and ten-percent stockholders complied with the Section 16(a) reporting requirements, except that in February 1998 Mr. Robert Schmidt filed an amendment to the December 1996 Form 4 to report a purchase of Common Stock by his IRA in December 1996.
Stock Option Plans
1991 Plan
In September 1991, the Company adopted the 1991 Plan covering 200,000 shares of the Company's Common Stock pursuant to which officers, directors, and key employees of the Company are eligible to receive incentive or non-qualified stock options. The 1991 Plan, which expires in October 2001, is administered by the Stock Option Committee of the Board of Directors pursuant to the powers delegated to it by the Board of Directors. To the extent permitted under the express provisions of the 1991 Plan, the Stock Option Committee has authority to determine the selection of participants, allotment of shares, price, and other conditions of purchase of options and administration of the 1991 Plan in order to attract and retain persons instrumental to the success of the Company. There are options outstanding under the 1991 Plan for 180,000 shares of Common Stock, and options for 11,000 shares of Common Stock have been exercised.
1993 Plan
In February 1993, the Company adopted the 1993 Plan covering 500,000 shares of the Company's Common Stock pursuant to which officers, directors, key employees and consultants of the Company are eligible to receive incentive or non-qualified stock options, stock appreciation rights, restricted stock awards, deferred stock, stock reload options and other stock based awards. The 1993 Plan will terminate at such time no further awards may be granted and awards granted are no longer outstanding, provided that incentive options may only be granted until February 16, 2003. The 1993 Plan is administered by the Stock Option Committee pursuant to the powers delegated to it by the Board of Directors. To the extent permitted under the provisions of the 1993 Plan, the Stock Option Committee has authority to determine the selection of participants, allotment of shares, price, and other conditions of purchase of awards and administration of the 1993 Plan in order to attract and retain persons instrumental to the success of the Company. There are options outstanding under the 1993 Plan for 280,351 shares of Common Stock, and options for 121,543 shares have been exercised.
1996 Plan
In 1996, the Company adopted the 1996 Plan covering 1,000,000 shares of the Company's Common Stock pursuant to which officers, directors, key employees and consultants of the Company are eligible to receive incentive or non-qualified stock options, stock appreciation rights, restricted stock awards, deferred stock, stock reload options and other stock based awards. The 1996 Plan will terminate at such time no further awards may be granted and awards granted are no longer outstanding, provided that incentive options may only be granted until March 18, 2006. The 1996 Plan is administered by the Stock Option Committee pursuant to the powers delegated to it by the Board of Directors. To the extent permitted under the provisions of the 1996 Plan, the Stock Option Committee has authority to determine the selection of participants, allotment of shares, price, and other conditions of purchase of awards and administration of the 1996 Plan in order to attract and retain persons instrumental to the success of the Company. There are options outstanding under the 1996 Plan for 517,700 shares of Common Stock and options for 2,000 shares have been exercised.
Management Plan
In November 1996, the Company adopted the 1996 Management Incentive Plan ("Management Incentive Plan") covering 500,000 shares of the Company's Common Stock, pursuant to which executives of the Company or its subsidiaries are eligible to receive incentive or non-qualified stock options, stock appreciation rights, restricted stock awards, deferred stock, stock related options and other stock based awards. The Management Incentive Plan will terminate at such time no further awards may be granted and awards granted are no longer outstanding, provided that incentive options may only be granted until November 4, 2006. The Management Incentive Plan is administered by the Board of Directors. Pursuant to the Management Incentive Plan, the Board of Directors has authority to determine the selection of participants, allotment of shares, price and other conditions of purchase of awards and administration of the Management Incentive Plan. There are options outstanding under the Management Incentive Plan for 495,000 shares of Common Stock.
INDEPENDENT AUDITORS
The Company has selected Deloitte & Touche LLP as its independent auditors for the year ending December 31, 1998. A representative of Deloitte & Touche LLP is expected to be present at the meeting with an opportunity to make a statement if the representative desires to do so and is expected to be available to respond to appropriate questions from stockholders.
SOLICITATION OF PROXIES
The solicitation of proxies in the enclosed form is made on behalf of the Company and the cost of this solicitation is being paid by the Company. In addition to the use of the mails, proxies may be solicited personally or by telephone or telegraph using the services of directors, officers and regular
8
employees of the Company at nominal cost. Banks, brokerage firms and other custodians, nominees and fiduciaries will be reimbursed by the Company for expenses incurred in sending proxy material to beneficial owners of the Common Stock.
1999 STOCKHOLDER PROPOSALS
In order for any Stockholder Proposal for the 1999 Annual Meeting of Stockholders to be eligible for inclusion in the Company's Proxy Statement, it must be received by the Company at its principal executive offices by January 6, 1999.
OTHER MATTERS
The Board of Directors knows of no matter which will be presented for consideration at the Annual Meeting other than the matters referred to in this Proxy Statement. Should any other matter properly come before the Annual Meeting, it is the intention of the persons named in the accompanying proxy to vote such proxy in accordance with their best judgment.
By Order of the Board of Directors
Scot A. Rosenblum Secretary
9
New York, New York May 6, 1998
INDIVIDUAL INVESTOR GROUP, INC. - PROXY
Solicited by the Board of Directors for Annual Meeting to be held on June 17, 1998
P The undersigned Stockholder(s) of INDIVIDUAL INVESTOR GROUP, INC., a Delaware corporation ("Company"), hereby appoints Jonathan L. Steinberg and Scot A. Rosenblum, or either of them, with full power of substitution and to act without the other, as the agents, attorneys and proxies of the R undersigned, to vote the shares standing in the name of the undersigned at the Annual Meeting of Stockholders of the Company to be held on June 17, 1998 and at all adjournments thereof. This proxy will be voted in accordance with the instructions given below. If no instructions are given, O this proxy will be voted FOR all of the following proposals.
1. Election of the following Directors:
FOR all nominees listed below, except WITHHOLD AUTHORITY to vote
X
as marked to the contrary below |_| for all nominees listed below
Y |_|
Bruce L. Sokoloff and Peter M. Ziemba
INSTRUCTIONS: To withhold authority to vote for any individual nominee, write that nominee's name in the space below.
2. In their discretion, the proxies are authorized to vote upon such other business as may come before the meeting or any adjournment thereof.
|_| I plan to attend the Annual Meeting.
Date _______________________, 1998
Signature
Signature if held jointly
Please sign exactly as name appears above. When shares are held by joint tenants, both should sign. When signing as attorney, executor, administrator, trustee or guardian, please give full title as such. If a corporation, please sign in full corporate name by President or other authorized officer. If a partnership, please sign in partnership name by authorized person.
End of Filing
© 2005 | EDGAR Online, Inc.
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Virtual Training Session on Marketing of Insurance Services – In The Current Scenario (CVT-MIS)–Program ID–CPG62 & Date18 th February, 2023
Everyone in an organisation is directed towards marketing activities, visibly and/or invisibly. The term "Marketing" often has been misunderstood by the people in an organisation, and act in silos. India is rapidly transforming and developing on all socio-economic fronts; more so digitally driven. Perfect competition is in place. Marketing strategies are taking shifts for wider market penetration for the providers.
Insurance being in the Financial Service sector has its own challenges to "push" (Insurance is primarily a "Push" product for sale) its services for acceptance in an ever increasing competitive market. All the organisations in the insurance ecosystem need to understand well the marketing fundamentals and the marketing mix to create each provider's USP, not only for profitable growth in business but also to create value additions to the Customers' Experience.
COI has created 'Virtual Training (CVT) Rooms' as a cost-effective mechanism for participants to equip themselves academically at their respective locations.
Program Objectives: The program is of half day duration. It aims at making the participants unlearn and relearn:
- On all pervasive concept of marketing with a sense to practice
- On the marketing strategy
- On the branding strategy
- On Product and service innovations
- On making the competition irrelevant, creating a situation of an uncontested market
Sounds magical but doable!
Participant's Profile:
- The Program is designed for Executives from Insurance Companies, Brokers, IMF, TPAs and other professionals from marketing or any other field.
- Certificates shall be earned by the participants on successful completion of the program.
Course Fees: Rs.1770/-(Rs.1500/- + 9% CGST + 9% SGST)
How to enroll: Click here for Registration and any help/queries please mail to [email protected]
Certificate of Participation: Online Certificate in PDF format will be issued to all the participants.
Program Coordinator: Mr Basant Nayak, Principal, (Email id: [email protected], Mob.no. +91 8335080196)
(Contact Mr Mafikul for any preliminary information on Mob. +91 9433529039)
Website: www.insuranceinstituteofindia.com /www.coi.org.in
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2018 ŠKODA OCTAVIA
€17,950
AMBITION 1.6TDI 115HP 1.6l Manual
Description
ABS, Driver Airbag, Air Conditioning, Alloy Wheels, Armrest, Bluetooth Phone, Cruise Control, Full Service History, ISO Fix, Lumbar Support, Metallic Paint, Multi-Function Steering Wheel, Onboard Computer, Remote Central Locking, Split Fold Rear Seats, Stop and Start System, USB, Auxiliary Jack Input, Multiple Airbags, Traction Control, Heated Mirrors, 3x3point rear seat belts, Adjustable seats, Adjustable steering column/wheel, Windows front + rear electric, Height adjustable drivers seat, Mirrors electric and heated, Outside temperature meter, Rear headrests, Rear wiper, Traction control, Media Connection, Car History Checked, Finance Available, Apple Car Play, Android Auto
Features
Mullingar Autos
Dublin Bridge, Mullingar, Co Westmeath, Ireland
+353449348755
OPENING HOURS
Monday
09:00 - 18:00
Tuesday
09:00 - 18:00
Wednesday
09:00 - 18:00
Thursday
09:00 - 18:00
Friday
09:00 - 18:00
Saturday
09:00 - 13:00
Sunday
Closed
Every effort has been made to ensure the accuracy of the information above, however, errors may occur. Do not rely entirely on this information but check about items which may affect your decision to purchase.
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707-Inc Travel Group
COACHLINER 707 Company No. 199001007808
Coachliner 707 Travel & Tours Sdn Bhd
G-31, Jalan PM 5 Plaza Mahkota, Bandar Hilir, 75000 Bandar Melaka.
Tel: +606 286 8707 Fax: +606 286 2707
Contact: +6 012 933 7075 (Whatapps)
As Mention Below: Minimum 22 Pax To Go
Inclusive: Coach 30 Seater Coach(NO SEAT REQUEST) + Coach Insurance Only + Attraction Packages
Exclude: Tour Manager / Personal Insurance Advice To Take Up A Comprehensive Travel Insurance /
Exclude Sustainability, Heritage and Tourism Tax
Booking Made Strictly No Any Form Of Cancellation Or Amendment Nor Refundable, In Regards To Any Matters, Together With All Free On Board Amenities. Coachliner 707 Travel & Tours Sdn Bhd Reserve The Right To Amend The Price And Itineraries Without Prior Notice. All Items Subject To Confirmation, If Unable To Confirm, Full Refund. Terms and Conditions Apply
* Once Payment Clear Tour Guide Will Contact You One Day Before Departure Date.
* Additional Attraction Package To Be Settle Before Departure.
* Return Coach Can Be Purchased Upon Arrival – Contact GOD Guide Of The Day
Tour Itinerary: Chinese Version (Issued By Guide)
November, December & January 2023 Week 1 / 2 / 3 / 4 / 5 --- Monday / Wednesday / Friday
Greeted By Tour Guide (GOD Guide Of The Day)
Genting: 0800 Hrs Assemble At Crockfords Hotel 707 Hub (Breakfast Own Expense).
.
Kuala Lumpur: 0900 Hrs Assemble At Batu Cave Chong Ma Hub (Tea Break Own Expense).
.
Malacca: 1100 Hrs Assemble Pringgit Point 707 Hub (Lunch Own Expense).
.
Q & A Session + Distribution - Attraction, SimplyGo EZ-Link Card and Add On Ad hoc.
Stop Over Yong Peng Breakpoint (Own Expense).
Via Tuas Check Point – SG Arrival Card (Reminder).
Arrival Destination Resort World Sentosa Singapore (*Greeted By Local Tour Guide).
Free and Easy. (* City Tours / Hotels / Meals / Return Coach = By GOD Advice).
Attraction Location, Redemption & Timing To Be Advice By GOD Guide Of The Day.
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COMSATS Institute of Information Technology
Islamabad Campus
OFFICIAL EMAIL FORM
Date: ___ / ___ / ____
Fill with great care, Email Account created once, will not be changed.
I. USER INPUT (Use Capital Letters Only)
Employee Name: ____________________________________________________
Designation: ________________________________________________________
Department: _______________________ Campus: _________________________
Contact E-Mail: ______________________________________________________
(NOTE: Please provide hotmail / gmail / yahoo, etc. NOT YOUR DESIRED EMAIL ID)
II. PERSONAL INFORMATION (Required)
Important: Please affix a copy of Employee card OR NIC with this application.
Residential Address: __________________________________________________ __________________________________________________________________
Contact Phone: _________________ Ext: _______ Mobile: __________________
III. SUGGESTED / DESIRED EMAIL ID
HERE YOU CAN PUT SUGGESTIONs
Option1:
@comsats.edu.pk
Option2:
@comsats.edu.pk
Option3:
@comsats.edu.pk
IV. CONCERNED DEPARTMENT INPUT:
Signed by HoD:_____________________ Deptt. _____________________
V. INCHARGE EMAIL SERVER:
The user name option: ______________ has been created and added in the group
_______________
Aumair Qayyum (Sr. Manager IT)
Signatures: __________________________
………………………………………………………………………………………………………
FOR OFFICE USE ONLY
Remarks: _________________________________________________________
__________________________________________________________________
EMPLOYEE Signature : _________________________________________
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CENTRE FOR SOCIAL SCIENCE RESEARCH
Democracy in Africa Research Unit
The born frees: The prospects for generational change in post-apartheid South Africa
Robert Mattes
CSSR Working Paper No. 292
April 2011
Robert Mattes is co-founder and Senior Advisor of the Afrobarometer. He is also a Professor in the Department of Political Studies, and Director of the Democracy In Africa Research Unit (DARU) at the Centre for Social Science Research, University of Cape Town.
This paper was prepared for submission to the Australian Journal of Political Science.
The born frees: The prospects for generational change in post-apartheid South Africa
Introduction
Political culture theory explains political instability and change as the result of incongruity between mass attitudes and values on one hand, and political institutions on the other (Almond and Verba 1963). Thus, the "third wave of democracy" that swept across the globe from 1975 to 2005 is seen, variously, as the result of the failure of authoritarian and totalitarian regimes to supply sufficient economic and political goods to satisfy their citizens, or more broadly the mismatch between the operating norms of the regime and its constituent institutions and those of the mass public. The key question that occupies public opinion researchers working in new democracies, however, is whether the value structures that questioned and de-legitimated the former authoritarian and totalitarian regimes are sufficient to legitimate and consolidate new liberal or even electoral democracies.
Perhaps nowhere is this issue better illustrated than in southern Africa where the presence of colonial and settler regimes well into the latter half of the 20 th century diverged sharply with even the most minimal human aspirations for dignity, freedom and self-determination. The most extreme manifestation of this was, of course, apartheid South Africa. Whereas most repressive regimes at least made claims that they were delivering some goods valued by their populations (rightist regimes claimed to deliver national self-determination, order, or development; leftist regime claimed to deliver equality and a form of democracy that was more advanced than their liberal, bourgeois competitors), South Africa‟s ruling National Party could claim, at best, that it was protecting traditional indigenous cultures from the polluting impact of modernity and preparing Africans for self-government in their own countries. But Verwoerdian appeals to cultural relativism and paternalist tutelage were constantly exposed by the harshness of everyday life, whether in the urban townships, the farms of "white" South Africa, or in the Bantustan homelands, and by the near totalitarian reach of the apartheid regime and its intrusion into the most intimate aspects the lives of coloured, Indian and black South Africans.
Apartheid lasted for a surprisingly long time (1948 to 1994), and probably could have survived at least another ten years if not for the decisive reforms of FW de Klerk. But while we have little scientific evidence about the state of public attitudes amongst black South Africans, few would suggest that this was because black South Africans saw the regime as legitimate, or even remotely agreed with its basic norms and principles. Thus, in the language of political culture theory, apartheid ultimately fell because the norms of racial separation, racial hierarchy and white superiority were rejected by the vast majority of the South African populace.
Yet while popular support for norms such as dignity, equality, freedom, nonracialism and majority rule may have led to the demise of apartheid, it is by no means certain that these norms are sufficient to support a liberal democracy. Here we do have extensive social scientific evidence, and virtually all of it agrees that South Africans -- of all races -- pay minimal lip service to the idea of democracy, and that significant minorities would be willing to countenance one party rule or strong man dictatorship especially if these regimes would promise economic development (or may simply believe erringly that those regimes are consistent with democracy) (Mattes and Thiel 1998; Mattes 2001; Bratton and Mattes 2001; Bratton, Mattes & Gyimah-Boadi 2005; Mattes & Bratton 2007). South Africans also display high levels of intolerance of political difference (Gibson & Gouws 2003) and the highest levels of xenophobia measured anywhere in the world (Mattes, Taylor, McDonald, Poore & Richmond 1999).
Thus, to the extent that political culture is ultimately important to the survival and quality of democracy, culture change is a fundamentally important issue confronting South Africa. But is it possible to turn non-democrats into democrats? And if so, what are the key factors or processes? And is this process equally likely to happen across the entire public or is it more probable amongst certain segments or age cohorts? Public opinion researchers have identified a range of different possible routes for this kind of attitude change. One possible route is simply to wait for sufficient time to pass whereby citizens become habituated to democracy after repeated exposure to and involvement in democratic practice (sometimes referred to as "routinization") (Rustow 1970). A second route lies in (re)designing political institutions so as to give people greater incentives to tolerate political opponents, join civic associations, contact elected leaders, participate in collective action and defend democracy if it were under threat (Hadenius 2001). A third possible path lies in improving the quality of the country‟s political institutions (often referred to as institutionalization) so they can perform better and demonstrate to citizens that democracy can produce the political and economic goods that satisfy people‟s self interests (Przeworski 1995).
A different set of potential mechanisms depend far less on individual attitude change across the populace and concentrate instead on achieving aggregate culture change through the replacement of older generations with new, more democratic cohorts. Changes of this type are almost all based in some way on what Inglehart (1990) calls the socialization hypothesis. That is, the experiences of late adolescence have an exceptionally powerful influence on the development of individual attitudes and are more powerful than subsequent "period" or "life cycle" effects. However, scholars differ over exactly what it is that is most important during late adolescence. One school of thought points to the conscious teaching of pro-democratic values and preferences to the young through civil society and mass media, but largely through the schooling system aided by reformed school curricula and, or new teaching methods (Slomczynski and Shabad, 1998). 1 Scholars have documented significant increases in prodemocratic values and attitudes in a series of newly democratic, postauthoritarian societies such as such as West Germany (Baker et al 1981), Austria (Muller 1984), Italy (Sami 1980), Japan (Flanagan and Richardson 1984; Richardson 1974) and Spain (Gunther, Sani and Shabad 1986; and Montero, Gunther and Torcal 1997). In each of these societies, new democratic regimes remoulded citizens' beliefs into a culture supportive of democracy, largely through committed efforts in the schools, but also in media and civil society, to educate a new generation of democratically minded citizens. Dalton‟s (1994, 471-472) description of the Federal Republic of Germany is illustrative.
Confronted by an uncertain public commitment to democracy, the government undertook a massive programme to re-educate the public. The schools, the media and political organizations were mobilized behind the effort. And the citizenry itself was changing – older generations raised under authoritarian regimes were being replaced by younger generations socialized during the postwar democratic era. These efforts created a political culture congruent with the new institutions and processes of the Federal Republic. The West German public also learned democratic norms by continued exposure to the new political system. As a result, a popular consensus slowly developed in support of the democratic political system.
1 While the efficacy of adult civic education has been demonstrated (e.g. Finkel 2002; Finkel
and Ernst 2005), it is not covered in this review since it would have to be conducted on a vast scale in order to have any realistic prospect of effecting broad culture change.
Other scholars, however, account for generational change not so much by changes in the content of education as by changes in the quantity and quality of education received by new generations which results in higher levels of cognitive sophistication. Often times, such interpretations are advanced by the same authors, depending on the situation. For example, while Dalton emphasized different education content in the case of post-war Germany, his analysis of value change in post-war United States focuses emphasized the rapid expansion of university education (Dalton, 2009). At the same time, we must take at least some note of the fact that the rapidly accumulating literature on public opinion in the new "3 rd Wave democracies" has, thus far, produced very little of important generational differences in support for democracy (e.g. Rose, Mishler and Haerpfer 1998; Shin 1999; Bratton, Mattes and Gyimah-Boadi 2005; Markowski 2005; Rose, Mishler and Munro 2006; and Chu et al 2008).
A second type of explanation of generational change focuses on the new and unique experiences encountered by the young, experiences that differ significantly from those of older generations and which result in the formation of significantly different values. In new democracies, these experiences might consist of new political freedoms, civil liberties and forms of democratic participation that are taken for granted by younger generations with no memories of the pre-democratic past. Other scholars, however, focus on material and physiological needs and how they result in changes in subjective existential security. Inglehart (1990) argues that the most important influences on subsequent attitudes are those things that are in least supply during adolescence (what he calls the scarcity hypotheses), with priority going first to basic needs, then to material needs, and finally to post-material self-expression needs, or "liberty aspirations" (Inglehart and Welzel 2005).
South Africa's political generations
South Africa‟s democratization process offers a useful laboratory in which to begin testing these various arguments. In addition to the vast social, economic and political change that South Africa has experienced since 1990, postapartheid South Africa has undergone rapid demographic change. Over one third of South Africa‟s present electorate is now too young to have any direct memory of race classification, passes, or official segregation of churches, schools, residence and inter-personal relationships, the drastic repression of dissidence and resistance, or the armed resistance and popular struggle against apartheid. Nor do they have any experiential memory of FW De Klerk‟s historic release of Nelson Mandela and unbanning of liberation movements, the searing violence of the transition period, the momentous 1994 election, or the conclusive 1996 passage of the country‟s Constitution.
But let us first take a step back and look at the entire present day electorate. Post-apartheid society consists of five distinct political generations. Each generation is associated with an era characterized internally by continuity in social, economic and political trends, but which is demarcated by major historical disjunctures that sharply distinguish it from surrounding ears. But while all South Africans were shaped by the continuous trends within each era, they were most certainly affected in very different ways depending on their racial classification. The oldest, and smallest group, the Pre-Apartheid generation, reached their politically formative years (defined here as the age of 16) before the historic victory of the National Party in the 1948 election and the imposition of race classification. While this cohort still constituted a significant proportion of the electorate in 1994, it has now shrunk to less than 2 percent of all voters, and will be folded into in the next youngest generation in the empirical analysis in this paper. The next group, the Early Apartheid generation, comprises people who turned 16 between 1948 and 1960, meaning that they have no working memory of life before the rise of the National Party and the imposition of "petty" apartheid, or the legal matrix of laws imposing and enforcing racial classification and separation. Neither would these people have had any experience in early adulthood of any significant popular resistance to apartheid.
The third cohort, what I call the Grand Apartheid generation, consists of those citizens whose early memories were seared by the first stirrings of internal black resistance – the Poco uprising, and the marches that led to the Sharpeville massacre in 1961 – as well as foreign news of gathering decolonization and even Kenya‟s Mau-Mau rebellion. Yet their memories of late adolescence and early adulthood also carry the recollection of the post Sharpeville reaction of the NP government which banned virtually all black political movements and imprisoned a whole generation of leaders, the most prominent being Nelson Mandela, Walter Sisulu and Oliver Tambo. Indeed, throughout most of these people‟s early adult lives, the apartheid system and the new Republic (South Africa withdrew from the British Commonwealth in 1960) were marked by increasing confidence. Under the leadership of HF Verwoerd, the NP government moved toward the idea of "grand apartheid" and separate development through the Bantustan system with the ultimate aim of reversing black urbanization away from the "white" cities and suburbs and creating a constellation of independent black republics within the borders of white South Africa. During this period, African children were gradually moved out of church based mission schools and into government schools ordered along the new principles of "Christian National Education." The other dominant characteristic of this period was South Africa‟s rapid growth and industrialization which saw a significant increase in African incomes, a process that itself began to sow the seeds of the demise of grand apartheid by attracting more and more Africans to urban townships to meet the expanding need for industrial labour.
White confidence and African quiescence came to an abrupt end in 1976 with the Soweto uprisings, an event that has left its mark on virtually all South Africans old enough to remember, and ushered in the Struggle Generation, consisting of people who turned 16 between 1976 and 1996. Indeed, several other important events occurred around the same time to make this an important watershed, such as the first television broadcast (which also allowed people to see first-hand coverage of the uprisings) and the increasing foreign threats to apartheid posed by the end of Portuguese colonial rule in Angola and Mozambique as well as the new, avowedly anti-Pretoria Carter Administration in the United States. While the dominant picture of the petty apartheid and grand apartheid eras was one of acquiescence and stability, the principal theme of this age was violent resistance and reaction. Several thousand young people left the country in the years after Soweto and headed north to seek out the exiled ANC (and other organizations) and obtain military training. But it was internal resistance, initially -- and ironically -- sparked by the NP‟s attempts to reform (and save) apartheid through the 1983 Tricameral Constitution that became the real hallmark of the era. The United Democratic Front linked a large number of church groups, civic organizations and trade unions in wide-ranging protests and boycotts, and triggered violent police repression, detention and bannings on the part of the state, culminating in two successive States of Emergency and the deployment of the army in black townships. It also featured intimidation of, and violence against those who might consider allowing themselves to be "co-opted" by the new elections for "own" Houses of Parliament for Coloured and Indian South Africans or for "Black Local Authorities" in urban townships, or who participated in homeland political systems. The UDF also became tangled in ongoing violent confrontation with alternative black organizations such as the black consciousness inspired Azanian People‟s Organization (AZAPO) and Inkatha, the governing party of the KwaZulu homeland.
While the unbanning of the ANC and the release of Nelson Mandela and other political prisoners in 1990 might be seen as the start of a new era, the sharp increase in political violence between 1990 and 1994 means, for our purposes, that it was really just a continuation of the previous years of resistance, violence and reaction, rather than a significant departure. While the 1994 election and the passage of the 1996 Constitutions were certainly major events that left deep and profound memories, their real generational significance, even to an 18 year old casting her first vote in 1994 or watching the ratification of the Constitution on television, was as the final act in a long trauma of protest, struggle and violence.
Rather, the real watershed should be most visible in those young people who came of age politically after 1996. Beginning in 1997, a group of people began to move through the ages of 16, 17 and 18 and enter the political arena with little if any first-hand experience of the trauma that came before: what are widely known in South Africa as the "Born Frees". Their first political experience, possibly casting a vote in the 1999 election, was with a relatively normal, though clearly reform-minded democratic political system. While some backward looking dramas were still being played out, such as the Truth and Reconciliation Commission, the order of the new day was forward-looking: massive state investment in construction of houses and other infrastructure, the transformation of the state, educational reform, and growth oriented economic development.
The born frees: What should we expect?
Given the momentous changes just discussed, it would be logical to expect that the Born Free generation would be more "modern" than previous generations, with higher levels of education, urbanization and more cosmopolitan in their outlook. However, hypotheses about the Born Frees‟ level of commitment to the new democratic regime differ sharply depending upon whether we focus – on one hand -- on the potential impacts of the newfound opportunities of the new political dispensation, or the new schooling curriculum and the move away from Bantu education, or focus – on the other hand – on the continuing legacies of apartheid on living conditions and the educational system.
In many ways, this new cohort clearly does confront a totally different world than that of their parents. There are no official limits to where they can go, work or live, or on whom they may date or marry. They have experienced a series of post transition elections that turn on new issues and personalities with diminishing links to the past. They consume news provided by a reformed public broadcaster, and have increasing access to privately owned radio and television broadcast news, as well as increasing amounts of private and international news on subscription cable or satellite television. South Africa has also posted a long period of economic growth in the early 21 st century which was accompanied by a rapidly expanding new black middle class. And where the preceding generation was often seen as the "lost generation" with months if not years of schooling lost to school boycotts and political violence, the "Born
Frees" have come through most of their schooling without politically inspired interruption. They are have received almost universal education in a reformed school system with a new curriculum and increasing numbers of black students attend heretofore racially exclusive schools and universities. Thus, theories of socialization would provide us with strong reasons to suspect that this new generation, with vastly different economic and political experiences and opportunities than their elders, and taught under a new school curriculum, may provide more fertile soil in which a strong democratic culture may take root and help consolidate South Africa‟s fledgling democracy.
Yet South Africa‟s relatively strong record of economic growth and deficit reduction since 1994 masks a bifurcated economy where levels of unemployment have hardly budged and the top and bottom of the income scales have moved further apart from each other than they were under apartheid. There is now a wider income gap between rich (the top fifth) and poor (the bottom fifth) blacks, than between blacks and whites as a whole (Leibbrandt and Levinsohn 2011; and Leibbrandt et al 2006). In many respects, many if not most the "Born Frees" face the same levels of enduring unemployment, poverty, inequality and hopelessness – if not worse so – as their parents. Official segregation has been replaced by class segregation, and the vast majority of poor and working class blacks still live in former townships and Bantustans. While a small minority can escape to previously white schools and universities, the majority toil away in increasingly dysfunctional schools with poorly trained teachers who struggle to cope with the new curriculum. The youngest generation confront other limits to their life chances in the form of escalating violent crime and HIV infection. From this perspective, many of the same theories of socialization might produce very different expectations about the political orientations of the "Born Frees" or at least for some segments of this generation.
Testing expectations
We begin by testing basic expectation about the basic characteristics of the Born Free generation. Using a series of nationally representative surveys conducted by the Institute for Democracy in South Africa (1998) and Afrobarometer (2000 to 2008), we can see that the Born Frees have increased rapidly from less than one in twenty eligible voters in 2000 (5 percent) to almost one third just eight years later (31 percent). By 2008, the Born Frees constitute the second largest generational cohort behind the "Struggle" generation (43 percent) but much larger than the "Grand Apartheid" (18 percent), "Petty Apartheid" (6 percent) and "Pre-Apartheid" (1 percent) cohorts.
But while the apparent scale and speed of demographic change in South Africa provides many possibilities for intergenerational differences in political outlook, we first need to examine the characteristics of the Born-Frees to see whether they in fact exhibit the kinds of structural differences that we might expect. As a result of the combination of the disproportionate bulge in younger cohorts characteristic of rural Africa and declining family sizes amongst white, coloured and Indian South Africans (as well as urban blacks Africans) and white emigration, the Born Frees are the most likely of all generations to be black (83 percent) and rural (43 percent) (Figures 2 and 3). Increased expenditures in education and school-building programs have not, however, had any noticeable impact on educational attainment. In fact, the Born-Frees are slightly less likely to have at least obtained a high school degree (48 percent) than the preceding Struggle generation (52 percent) (Figure 4). Beyond formal education, the data also indicate that they are not any more "cosmopolitan" than their older counterparts: they are not any more likely to be multi-lingual than the Struggle cohort (Figure 5) nor are they any more likely to report using a cell phone, computer or internet (Figure 6). They do, however, exhibit the lowest levels of religious affiliation (Figure 7) and religiosity (Figure 8).
Figure 2: Generation and race, 2008
100%
100%
5 + 4 3 2
In the last two graphs, I examine generational differences in "commitment to democracy." Commitment to democracy is a multi-item construct consisting of respondents‟ answers to the widely used survey question on support for democracy ("democracy is always best") and rejection of three forms of nondemocratic alternatives: military rule, one-party rule, and presidential dictatorship (see Bratton, Mattes and Gyimah-Boadi 2005). The result can be expressed either as the percentage of respondents who support democracy and reject all three non democratic alternatives (Figure 9), or as a mean score on a five point index that runs from 0-4 (Figure 10). These figures reveal two things. First, there seems to be little generational differences since Afrobarometer began asking these questions in South Africa in 2000. Second, there is no evidence that the Born Frees are more committed to democracy. In fact, they appear to often be the least committed.
But do these generational breakdowns of commitment for democracy obscure age-related differences that might emerge once we statistically control for other trends. I identify a set of potential predictor variables and cluster them into different theoretical families. First of all, in order to tap the direct effect of the political generations identified above, I use dummy variables for the "Born Free," "Grand Apartheid," and "Pre/Early Apartheid" generations, with South
Africa‟s Struggle Generation as the reference group. To ensure that any observed generational differences are not just a reflection of other demographic differences, I then add controls for gender, urban-rural, and racial differences (with dummy variables for white, coloured and Indian South Africans with black as the reference category).
To tap the purest impacts of "socialization-as-teaching," I then enter a group of variables that measure formal education, news media use, membership in religious and community groups, cognitive sophistication, and political knowledge (measured here as the respondent‟s ability to identify a range of incumbent office-holders). To measure the potential impacts of "socializationthrough-new political conditions," I use variables that ask respondents about people‟s ability to enjoy a range of newfound freedoms (such as speech and movement), and their evaluations of the extent of equal treatment of all citizens, the secrecy of the vote, the freeness and fairness of the last election, and the responsiveness of elected officials to public opinion. To get at the potential impact of culture change through "habituation," or learning by doing, I look at whether or not people had voted in the previous election, participated in community meetings and action groups, or taken part in violent protests. Finally, to get at culture change through "physiological and economic (in)security," I use measures of unemployment, the Afrobarometer index of lived poverty, and questions that ask people whether they had been victims of, and feared crime, whether they had been victimized by corrupt officials, and whether or not they had lost a close friend or family members to AIDS. All of these are tested for in general, but more importantly through interaction variables that test for their unique impact amongst the Born Free generation.
Using the most recent, 2008, South Africa Afrobarometer survey, I now test for the effects of these variables through a full multivariate regression. These results show that holding constant for a wide range of individual level attitudes, behaviours and demographic characteristics, respondents belonging to the Born Free cohort are significantly less likely to be committed to democracy than other South Africans. Moreover, virtually none of the variables we would ordinarily see as channels or mechanism of socialization (formal education, cognitive sophistication, or civic group membership) have shape attitudes. Once we control for people‟s evaluations of their new political conditions, we find that white respondents are appreciably more supportive of democracy, but whether or not this reflects differential socialization patterns within that community, or something else, remains to be seen.
Indicators of democratic habituation have some positive impact. Those who attend community meetings and join local action groups are significantly more democratic. But those who have participated in violent protests are less so. There is also a strong impact of living in an urban area. This might reflect the quality of schooling (regardless of the level reached). But it might also reflect better social services and infrastructure, and needs further scrutiny in subsequent analysis.
The greatest impacts on democratic commitment, by far, are exercised by people‟s experiences with the political system and the economy. Those who feel the new political system successfully protects individual freedoms and guarantees a secret vote are much more likely to support democracy. Conversely, those who have been victimized by extortion at the hands of corrupt bureaucrats, who do not have a job, and who face grinding poverty are less democratic (yet, those who say they have a lost a close friend or family member to the AIDS pandemic are more likely to embrace democracy).
Yet while we have seen that the Born Free generation is less democratic, all the negative coefficient of a dummy variable really tells us is that the intercept for this cohort is lower than for the reference group (the Struggle generation). The important question, however, is whether the other variables have different effects (slopes) across different generational cohorts. Ultimately, this is a question best exercised by examining the interaction of generational dummy variables and each of the other independent variables. As a first cut, however, I simply re-estimate this model amongst three generational groups: the Born Frees, the Struggle Generation, and among older South Africans. The positive impacts of perceived freedom and a secret ballot, and the negative impact of being a victim of official extortion are relatively constant across generations. The role of urban residence, community participation, and being white are common to both the Born Free and Struggle generation, but not significant amongst older citizens (and the impact of being urban and being white are about twice as large amongst young people). The unique effects of being a member of the Born Free generation appear to be that contact with elected leaders reduces commitment to democracy, but violent protest has no effect (while it is correlated with reduced commitment among other citizens), and unemployment fails to have the same negative effect that it does amongst the middle aged Struggle generation.
Table 1: Explaining democratic commitment (0-4)
| Learning by Doing | | |
|---|---|---|
| Voted (0-1) | NS | NS |
| Community Participation (0-4) | .116*** | .098*** |
| Formal Contact (0-3) | -.090** | NS |
| Violent Protest (0-4) | -.120*** | -.099*** |
Cells report unstandardized multivariate regression coefficients (b‟s). Dependant variable is the Index of Commitment to Democracy (which is an average score composed of expressed support for democracy plus rejection of military, one party and one man rule)
Table 2: Explaining Democratic Commitment (0-4) Across Generational Cohorts
| Learning by Doing | | | | |
|---|---|---|---|---|
| Voted (0-1) | NS | NS | NS | NS |
| Community Participation (0-4) | .098*** | .111*** | .105*** | NS |
| Formal Contact (0 3) | NS | -.157** | NS | NS |
| Violent Protest (0-4) | -.099*** | NS | -.119* | -.200*** |
Cells report unstandardized multivariate regression coefficients (b‟s). Dependant variable is the Index of Commitment to Democracy (which is an average score composed of expressed support for democracy plus rejection of military, one party and one man rule)
Finally, we take note of two findings about formal education. First, in contrast to the rest of sub-Saharan Africa where formal education (at least up to high school) makes a substantial contribution to support for democracy (Bratton, Mattes and Gyimah-Boadi 2005; Mattes and Bratton 2007; Mattes and Mughogho 2010), education has no significant impact across the South African population. This is understandable given that neither black nor white South Africans were exposed to pro-democratic teachings in the school curriculum, or certainly not of a non-racial inclusive democracy. But what may be of greater concern is the second finding, that increasing levels of formal education fail to contribute to pro-democratic support amongst the "born free" respondents. Clearly, if South Africa‟s educational reformers intended that the schools would be the training site of new democratic citizens, something has gone terribly wrong. The new "outcomes-based" Curriculum 2005, introduced in 1997 and revised in 2002, was supposed to promote a series of values conducive to democratic citizenship. But, perhaps because of their attraction to "social constructivism" and the relative status of knowledge, the framers of the new curriculum seem to have been embarrassed at the prospect of replacing one official orthodoxy with another (Allais 2009). Thus, along with non-racialism and non-sexism, the curriculum attempts to embody democratic values across a range of "learning areas" such as arts and culture, life orientation, and social studies. But there is no place for the explicit teaching and discussion of democratic government, let alone the value and superiority of democracy as a form of government. To be sure, it is clearly possible to teach democratic values implicitly through a range of innovative methods, such as group participation and problem solving, but this requires highly skilled teachers who are provided with a great deal of curricular guidance and institutional support, both of which are in short supply in South Africa‟s current schooling system.
Conclusion
In 1994, the combined prospects of demographic change and a radically changed political system might have held out the promise of rapid movement toward a transformed citizenry, based primarily on an emerging post-apartheid generation imbued with the values of the new South African citizen. To be sure, we have only tested for one of these values; and similar enquires should focus on other variables such as national identity, racism, government legitimacy, and participation. But as far as democracy goes, the post-apartheid generation remain as "lukewarm" as their parents and grandparents. Rather than re-drawing the country‟s main cleavages along lines of age and generation (as in post-war Germany), the key fault have been replicated within the new generation. Whatever advantages might have accrued from the new political experiences of freedom, liberty and self-government seem to have been neutralized by the disadvantages of enduring unemployment, poverty and corruption. Fifteen years on, South Africa‟s democracy remains as dependant on performance-based "specific" support as it hostage to performance as ever (Mattes and Thiel 1997).
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Sani, G. „The Political Culture of Italy,‟ in Gabriel Almond and Sydney Verba, eds., The Civic Culture Revisited. Boston: Little, Brown.
Shin, D.C. 1999. Mass Politics and Culture in Democratizing Korea Cambridge: Cambridge University Press.
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Slomczynski, K. and G. Shabad, 1998. "Can Support for Democracy and the Market Be Learned in School? A Natural Experiment in Post-Communist Poland." Political Psychology 19(4): 749-779.
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Defence today $7.95 DEFENCE CAPABILITIES MAGAZINE January/February 2007
DefenceToday
76
MILE STONES
Battle of the Beams
Dr Carlo Kopp
T he modern term NavWar (Navigation Warfare), much like Electronic Warfare in general, is commonly perceived as a 'new' or 'modern' development, characteristic of recent times. Nothing could be further from the truth, as both have their origins during a period almost 70 years past, the German Blitz campaign of bombing raids against Britain in 1940.
After Germany's failed attempt to subdue Britain by daylight bombing of population centres, the German effort shifted to night bombing where underdeveloped airborne radar allowed for much lower sustained loss rates in bombers. As effective as the Spitfires and Hurricanes of Fighter Command may have been in daylight, the murky black was not their domain.
The principal impediment to night bombing, and indeed all blind bombing during this period, was the absence of airborne ground-mapping radar and mostly, precise navigational aids. The Luftwaffe, one of the great innovators of this period, sought to overcome this problem. The starting point was the introduction of the Lorenz blind landing system, termed the Ultrakurzwellen-Landefunkfeuer or LFF. The Lorenz system operated at 38 MHz and was used to permit an aircraft to align itself for a long final descent under blind conditions. A radio transmitter with three antennas was installed near the runway threshold, and these antennas would transmit a pair of overlapping beams. One was modulated with a series of dashes, one with a series of dots. The Luftwaffe equipped many of its bombers with Lorenz receivers. If the aircraft was aligned with the boresight of the beam the pilot would hear a steady tone in his headset, if he was left or right of the centre of the beam, he would hear either dots or dashes. The Lorenz system was a tremendous innovation for the period and ultimately led to modern Instrument Landing Systems (ILS).
What the Lorenz system also offered was a navigation aid for blind bombing, exploiting the same suite of receivers in a bomber aircraft.
The Knickebein system, named after a magical raven in German mythology, was an enhanced Lorenz system using a much larger directional, steerable, antenna system built to produce a much narrower 0.3 degree wide beam over a much greater range. The Knickebein system pointed two beams at the target, the bomber would fly down the middle of the 'approach' beam, which was aligned to pass over the target, and drop once the intersecting beam was crossed.
Using already installed Lorentz landing receivers, the Knickebein was a covert installation. It was complemented by the more advanced Wotan I or XGeraet (X-device), developed by Dr Hans Plendl, which used multiple Lorenz style transmitters to fix bomber position, operating between 66 and 75 MHz. The bomber would fly along the middle of the 'approach' beam, which was aligned to pass over the target, then cross multiple intersecting beams to alert the pilot to his distance from the target. The first of these was 50 kilometres from the target, and told the pilot to precisely align down the middle of the 'approach' beam. The second intersecting beam was at 20 km distance, and told the navigator to start a special clock with two independent hands, one of which started rotating at this point. The third beam intersected at 5 km from the target, and was used to start the second hand on the clock.When the two hands of the clock aligned, an automated bomb release was triggered electrically. The X-Geraet required precision flying and precision alignment of the beam transmitters, mounted on steerable turntables, but provided accuracy which was unheard of during that period. KampfGruppe 100 was formed in late 1939, equipped with 25 specially equipped pathfinder He-111 bombers. After Dunkirk, the Luftwaffe constructed a series of Knickebein and X-Geraet stations in Holland and France.
Knickebein transmitter ground station. Many were built along the coast of occupied Europe.
The British were warned of Knickebein and XGeraet as early as November 1939 when the 'Oslo report' a package of technical intelligence material produced by an anti-regime scientist in Germany, was received. By 1940, captured diaries, notes, bomber navigator logs and interrogation of shot down Luftwaffe crews confirmed the worst fears of Britain's technical intelligence community. The German blind bombing aids were real and effective. To confirm what the Luftwaffe was up to, the RAF formed the first ever Electronic Intelligence (ELINT) unit, equipped with three obsolescent Avro Ansons fitted with suitable radio receivers. After numerous attempts to detect the Knickebein beams, success was achieved in June 1940 when a 400-500 metre wide beam was detected, exhibiting the expected modulation behaviour at 31.5 MHz.
Operation 'Headache' was subsequently launched to defeat the Knickbein system. The first defensive measure adopted was the installation of ground based noise jammers operating at the Knickbein frequencies. These were built from modified hospital electro-diathermy units used for cauterising wounds.
The second measure was the requisitioning of available Lorentz landing system transmitters, to be relocated as jammers for use against Knickebein. With low power levels these could interfere with the signal, but not enough to achieve the aim of 'bending' the beam to push the bombers off target.
Further effect was invested into ground based warning receivers, to establish which of the many Knickebein frequencies were being used on a given day. By July that year these were established at a number of coastal radar sites.
The centrepiece of the British Electronic Counter Measures (ECM) effort was however 'Aspirin', a high power transmitter which emulated the signals from the dot modulated lobe of the Knickebein.This had the effect of confusing German pilots, who even when centred in the Knickbein beam would hear the dots emanating from the Aspirin jammer. Authoritative UK sources, such as Alfred Price, indicate that the British never progressed to the use of an in-phase deception repeater jammer to 'bend' the beams, despite this being a widely held belief today. What the British did achieve was large scale incoherent and unsynchronised jamming to interfere with the pilot's ability to use the beams.
Price argues, and reasonably so, that accidental 'beam bending' could have occurred many times, when the distances between a bomber, the aspirin jammer and the Knickebein site on the continent were such that the dots aligned in time when received by the bomber. Another possibility Price argues for is that there would have been times when the German pilots tuned to the Aspirin jammer rather than the weaker Knickebein signal from the continent. Price cites one anecdotal story told apparently by a captured Luftwaffe crewman of a bomber flying a full circle attempting to track the Aspirin signal.
By October 1940 the British had deployed fifteen Aspirin jammers to frustrate the Knickebein system. The stakes were high.
Estimates of the accuracy of the Knickebein suggested that it was capable of putting a 300 m x 300 m box around an intended target, which when saturated with bombs from a mere 40 aircraft would put the bombs down on average 17 metres apart.
By August 1940, the Luftwaffe had brought KG.100 into the fray, using the more advanced and accurate X-Geraet. Twenty He-111Hs bombed a Birmingham factory tooling up to build Spitfires at night, and eleven bombs hit the factory buildings, which was unprecedented accuracy for a night raid.
Code-named 'Ruffian' by the RAF, the system was detected at 74 MHz, producing similar modulations to the Knickebein. The mean error of the X-Geraet was determined to be of the order of 120 metres (cf GPS C/A at 30 metres worst case).
The British built the 'Bromide' jammer, using radar hardware, to defeat the X-Geraet system. While the Bromide equipment was being developed, KG.100 conducted no less than forty raids using X-Geraet. These raids were essentially an 'Opeval' to determine the limits of the system and to develop tactics. KG.100 started dropping incendiaries, a tactic to mark targets for a larger bomber force. This was the origin of the pathfinder technique later used by the RAF to obliterate German cities.
Knickebein
Knickebein
Target
Station
Knickebein
Target
Bomber
Intersecting Beam
Approach Beam
Stations
Station
X−Geraet
Y−Geraet
X−Geraet
Station
Approach Beam
Rangefinding Modulation
Bomber
Y−Geraet
Station
Target
X−Geraet
Approach Beam
Intersecting Beams
Bomber
On the 6th November the RAF had an intelligence windfall when a KG.100 He-111 bomber force landed on a beach near Bridport. British deception jamming of a German beacon in France led the Heinkel off course to fuel exhaustion. Unfortunately, a clumsy attempt to salvage the Heinkel by the Royal Navy sunk the Heinkel in shallow water, but the British recovered the waterlogged X-Geraet receivers.
The devastating raid on Coventry was subsequently led by KG.100 using the X-Geraet, with an approach beam sent from Wese on the Cherbourg peninsula, and intersecting beams sent from a site in Calais. The first four Bromide jammers deployed by the British proved ineffective, as their modulation was not matched to the X-Geraet and was rejected by the filters in the KG.100 receivers. Once KG.100 'lit up' Coventry, over 400 bombers from other units converged to drop 450 tonnes of bombs on the city.
Analysis of the captured X-Geraet receivers allowed the British to modify the Bromide jammers and ensure newly built jammers were effective. By November 19 the KG.100 raid on Birmingham was ineffective, as Bromide worked. The RAF's problem was not having enough jammers to cover the whole of Britain. London, Southampton and Sheffield were attacked successfully.
By early 1941, the X-Geraet was losing effectiveness, along with Luftwaffe command confidence in the system.
The Luftwaffe was, however, deploying a third radio bombing aid also designed by Dr Plendl, named Wotan II or Y-Geraet. Y-Geraet used a similar but automated scheme for bomber heading tracking, but used a beacon transponder arrangement for measuring range between the Y-Geraet station and the bomber. Not unlike a 'back to front DME', the YGeraet station operators could track the bomber's position and send by radio course corrections to the pilot.
The Luftwaffe was less fortunate with Y-Geraet than with the previous two systems. The British requisitioned a mothballed experimental BBC television transmitter at Alexandra Palace in North London, and adapted it to rebroadcast the Y-Geraet rangefinding signal. Labelled the Domino, the YGeraet jammer was soon followed by a second installation at Beacon Hill near Salisbury.
The RAF was effectivley performing 'range gate stealing' jamming attacks on the Y-Geraet, to completely compromise the range measurement achieved by the Germans. The German ground station receiver would lock on to the Domino jammer instead of the Y-Geraet transponder on the bomber, and the British could then manipulate its range measurement.
The Domino jammer proved effective, and in the first two weeks of March 1941 only 20 per cent of Y-Geraet raids resulted in commanded bomb releases. Three Heinkels were shot down in early May and the RAF recovered the Y-Geraet receivers. They quickly determined that the automated mechanism for measuring the bearing error in the beam was susceptible to continuous wave jamming, which crippled the bearing analyser circuit.
Time had run out for the Luftwaffe, and with the buildup for Barbarossa, the invasion of the USSR, the KampfGruppes were redeployed east and the Battle of the Beams was won by the British.
The Battle of the Beams is generally acknowledged to have been the first modern effort at electronic warfare, and was characterised by the Luftwaffe not attempting to seriously improve the jam resistance of their systems, but rather by deploying newer and more advanced systems. It remains an excellent case study of how the game of technical intelligence gathering and analysis is played, and how pivotal it is to success in modern warfare.
Further Reading: Price A, Instruments of Darkness, Peninsula Publishing, 1987.
milestones
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AGENDA
10:00 A.M. – 12:00 P.M.
Oklahoma Medical Board st
Oklahoma City, OK 73105
101 NE 51
Street
Offsite Attendees:
See instructions below.
Purpose:
To educate and provide technical assistance on telehealth as a means of reducing health service barriers throughout Oklahoma
Adjournment
Next Regular Meeting: Tuesday April 11, 2017 at 10:00 am
Off-site attendees can join through:
Join from PC, Mac, Linux, iOS or Android:
https://zoom.us/j/4396420183
Or iPhone one-tap (US Toll): +16465588656,4396420183# or +14086380968,4396420183#
Or Telephone:
Dial: +1 646 558 8656 (US Toll) or +1 408 638 0968 (US Toll)
Meeting ID: 439 642 0183
Meeting ID: 439 642 0183
International numbers available: https://zoom.us/zoomconference?m=iQlS4DZAsl1SVqUOJ0vq5I5L4oramQpS
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A combination of metabolic resistance and high frequency of the 1014F kdr mutation is driving pyrethroid resistance in *Anopheles coluzzii* population from Guinea savanna of Cameroon
Amen N. Fadel\textsuperscript{1,2†}, Sulaiman S. Ibrahim\textsuperscript{3,4††}, Magellan Tchouukui\textsuperscript{1}, Ebai Terence\textsuperscript{1}, Murielle J. Wondji\textsuperscript{1,3}, Micarème Tchoupou\textsuperscript{1}, Samuel Wanji\textsuperscript{2} and Charles S. Wondji\textsuperscript{1,3}
**Abstract**
**Background:** The scale-up in the distribution of long-lasting insecticidal nets (LLINs) and indoor residual spraying has significantly reduced malaria burden and mortality. However, insecticide resistance, among other factors, is responsible for a recent rebound in malaria transmission in 2015–2016, threatening the progress so far made. As a contribution towards understanding patterns of resistance and its mechanism in the field we characterized a population of *Anopheles gambiae* (s.l.) from Gounougou, a Guinea savanna of north/central Cameroon.
**Results:** Indoor collection conducted in September 2017 identified *Anopheles coluzzii* and *Anopheles arabiensis* as the unique *Anopheles* vector species, with abundances of 83 and 17%, respectively. Analysis of infection with TaqMan assays using heads/thoraces of indoor collected females of *An. coluzzii* revealed a low *Plasmodium falciparum* parasite rate of 4.7%. Bioassays conducted with female *An. coluzzii* revealed extreme resistance, with low mortalities of only $3.75 \pm 1.25\%$, $3.03 \pm 1.59\%$ and $1.45 \pm 1.45\%$, respectively, for permethrin, deltamethrin and DDT. In contrast, high susceptibility was obtained with the organophosphates and carbamates, with mortalities in the range of 98–100%. Synergist assays with piperonyl butoxide (PBO) recovered some susceptibility with increased mortality for permethrin to $14.88 \pm 8.74\%$, and for deltamethrin to $32.50 \pm 10.51\%$ (~27-fold increase compared to mortalities with deltamethrin alone, $\chi^2 = 29$, $df = 1$, $P < 0.0001$). These correlated with the results of cone bioassays which revealed complete loss of efficacy of Olyset®Net (0% mortality) and PermaNet®2.0 (0% mortality), and the considerable loss of efficacy of Olyset®Plus (mortality of $2 \pm 2\%$), PermaNet®3.0 side panel (mortality of $2 \pm 2\%$) and PermaNet3.0® roof (mortality of $16 \pm 5.1\%$). Time-course bioassays conducted with deltamethrin established a high intensity of resistance, with LT$_{50}$ of 309.09 (95% CI 253.07–393.71, Fiducial), and a resistance ratio of 93.09 compared with the fully susceptible Ngousou laboratory colony. TaqMan genotyping revealed a high frequency of the 1014F allele (65.25%) in the *An. coluzzii* populations. Sequencing of a fragment of the voltage-gated sodium channel identified a single *An. arabiensis* female harbouring the 1014S kdr mutation.
*Correspondence: [email protected]*
\textsuperscript{†}Amen Nakebang Fadel and Sulaiman S. Ibrahim contributed equally to this work
\textsuperscript{‡}Vector Biology Department, Liverpool School of Tropical Medicine (LSSTM), Liverpool L3 5QA, UK
Full list of author information is available at the end of the article
Background
Malaria is one of the major life-threatening diseases in the world, with 435,000 deaths in 2017 [1], of which ~92% occurred in the WHO African region. It is estimated that every two minutes a child dies from this preventable and curable disease [2]. Despite the huge investment in malaria control, conservative estimates suggest that malaria cases increased globally by two million in 2017 compared to 2016 [1, 2]. Insecticide resistance is one of the major obstacles hindering the effectiveness of the core malaria control tools, for example, long-lasting insecticidal nets (LLINs) and indoor residual spraying (IRS) [3, 4].
In Cameroon malaria is endemic, with some variation in the transmission intensity in specific areas, such as highland, Sahel and Guinea savanna [5–7], with *Plasmodium falciparum* as the most common species [8–11]. Malaria transmission in the north of Cameroon is characterized by seasonal patterns linked to rainy season, which covers the period from August to October [6]. In northern Cameroon, the main malaria vectors belong to the *An. gambiae* complex, *Anopheles funestus* group, *Anopheles pharoensis* [5, 12–15] and recently *Anopheles rufipes* [16, 17]. Members of the *An. gambiae* complex largely distributed in northern Cameroon are *An. arabiensis*, *An. coluzzii* and *An. gambiae* (s.s.) [18, 19]. It has been shown in studies conducted across four ecogeographical zones of Cameroon, from the northern savanna region to southern forested regions, that in most urban settings *An. coluzzii* (the M molecular form) densities are greater than those of *An. gambiae* (s.s.) (the S form), which is more prevalent in peri-urban and rural settings [20, 21].
Intense use of the pyrethroid insecticides in northern Cameroon for crop protection by farmers [13, 15] and malaria vector control through large scale insecticide-treated nets (ITNs) and LLIN distribution programmes [22] could possibly have placed selective pressure on the malaria vectors [4] to develop more resistance. Starting from 2017, Cameroon has scaled-up the distribution of ITNs and IRS in the northern part of the country [23], including Gounougou. This, in addition to the use of organochlorides, carbamates and pyrethroids in Gounougou cotton farms [13, 19] could have resulted in increased resistance to public heath insecticides.
The two major resistance mechanisms, metabolic and *kdr*-based, have been increasingly reported in *An. gambiae* complex and only metabolic mechanism in *An. funestus* (s.s.) from northern Cameroon [19]. Metabolic-based resistance is the major mechanism in the north tropical regions of Cameroon, with the temporal distribution of the DDT/pyrethroid 119F-GSTE2 resistant allele detected in *An. funestus* (s.s.) [15]. Additionally, overexpressed cytochrome P450s are implicated in conferring increased tolerance to pyrethroids in *An. funestus* and *An. gambiae* (s.l.), e.g. *CYP4G16* has been shown to be involved in deltamethrin tolerance in *An. arabiensis* mosquito populations from northern Cameroon [15, 24].
The presence of the 1014F and 1014S *kdr* mutations in *An. coluzzii* and *An. gambiae* populations from Cameroon was first established by Etang et al. [25]. These mutations have since then spread across the country, from the southern wet forest to the northern dry savanna [19]. Various studies have revealed a widespread distribution of the *kdr* mutations in pyrethroid and DDT resistant populations of *An. gambiae* (s.l.) in different localities in northern Cameroon, including Gounougou [13, 14, 26–28].
Among the two major malaria vector species involved in transmission in Gounougou, only *An. funestus* has been sufficiently characterized, whereas little is known about *An. gambiae* complex. Although vector control is highly prioritized in the Cameroonian national strategic plan for malaria control, a lack of evidence on the molecular basis of metabolic resistance in *An. gambiae* (s.l.) from northern Cameroon is hindering the implementation of evidence-based control tools and resistance management. To support malaria vector control in northern Cameroon, we characterized a population of *An. gambiae* (s.l.) from Gounougou, a village in the Guinea savanna of Lagdo. *An. coluzzii* and *An. arabiensis* were found sympatric at Gounougou, with the former in higher proportion. The *An. coluzzii* exhibited high resistance to the pyrethroids and DDT. A high frequency of the 1014F *kdr* mutation was detected in *An. coluzzii*, while the mutation was absent in *An. arabiensis*. In contrast, a single *An. arabiensis* female was found harbouring the 1014S *kdr* allele.
Methods
Sampling site and mosquito collection
Mosquitoes were collected at Gounougou (9°03′00″N, 13°43′59″E), a town located at Lagdo, in northern Cameroon (Fig. 1). This locality lies along the River Benoué, in an area with cotton farming and rice cultivation, made
possible by the presence of a hydroelectric dam. Farmers at Gounougou have a long tradition of using DDT and pyrethroid insecticides [26]. The climate of Gounougou is characterized by a short rainy season from May to September (mean annual rainfall of 900 to 1000 mm) and a long dry season from October to April. Between 2011 and 2016, almost all households at Gounougou had been provided with LLINs by the Cameroon National Malaria Control Programme [19]. PermaNet®2.0 containing deltamethrin and Olyset®Net containing permethrin were distributed at Gounougou with a coverage of ~80% in 2016 and 85% in 2018.
Blood-fed female *Anopheles* mosquitoes resting indoors were collected between 06:00 and 08:00 h in August 2017. This was done using Prokopack electrical aspirators (John W. Hook, Gainesville, FL, USA). Mosquitoes were kept in paper cups in cooling boxes during transport to the insectary at OCEAC, Cameroon. The previously described forced-egg laying method [29] was used to generate F$_1$ progenies in 1.5 ml microcentrifuge tubes containing a slightly wet filter paper. Eggs were stored at room temperature for up to 2 days, and then transferred into small paper cups to hatch. Larvae were transferred to bowls containing water for rearing. Mosquitoes were maintained under standard insectary conditions, with a temperature 25 °C, relative humidity of 70–80% and 12:00 h light:dark cycles. Emerged adults were maintained on 10% sucrose in cages, and randomly mixed for insecticide bioassays.
**Mosquito species identification to the species level**
A total of 209 female *Anopheles* mosquitoes were collected at Gounougou, out of which 202 (96.65%) were identified morphologically according to the keys of Gillies & de Meillon [30] and Gillies & Coetzee [31]. These comprised 195 *An. gambiae* (s.l.) (96.5%) and 7 *An. rufipes* (3.5%). Only 123 F$_0$ *An. gambiae* (s.l.) which laid eggs successfully with positive hatching were identified to the species level using PCR. It was the larvae of these PCR-identified females which were pooled to generate F$_1$ progenies. The Livak method [32] was used to extract
DNA and identification to species level was carried out using SINE200 PCR for *An. gambiae* complex [33].
**Estimation of *Plasmodium* spp. infection rates**
The sporozoite infection rate was determined using heads/thoraces of 106 blood-fed F$_0$ females collected indoors. These females were allowed to lay eggs before being dissected. The TaqMan assay was carried out as previously established [34] using the real-time PCR MX 3005 (Agilent, Santa Clara, CA, USA). One microliter of DNA was used as a template in a 3-step PCR with denaturation at 95 °C for 10 min, followed by 40 cycles of 95 °C for 15 s and 60 °C for 1 min. The primers PlasF (5’-GCT TAG TTA CGA TTA ATA GGA GTA GCT TG-3’) and PlasR (5’-GAA AAT CTA AGA ATT TCA CCT CTG ACA-3’) were used together with two probes labelled with fluorophores FAM (Falcip+ 5’-TCT GAA TAC GAA TGT C-3’) to detect *P. falciparum*, and HEX (OVM+ 5’-CTG AAT ACA AAT GCC-3’) to detect *P. ovale*, *P. vivax* and *P. malariae*. Two *P. falciparum* samples and a mix of *P. ovale*, *P. vivax* and *P. malariae* were used as positive controls. A nested PCR of Snounou et al. [35] was performed for all the positive samples to validate the TaqMan assay results.
**Insecticide susceptibility bioassays**
To establish resistance profile of the *An. gambiae* (*s.l.*) populations, various insecticides used in public health control of malaria vectors were tested in bioassays following the protocol of the World Health Organization [36]. Two- to four-day-old, unfed F$_1$ and F$_2$ female *An. coluzzii* were exposed for 1 h to diagnostic doses of the following insecticides: the type I pyrethroid permethrin (0.75%), and the type II pyrethroid deltamethrin (0.05%); the organochlorine, DDT (4%); the carbamates, bendiocarb (0.01%) and propoxur (0.1%); and the organophosphates, malathion (5%) and fenitrothion (5%). Four replicates of approximately 20–25 mosquitoes per tube (except for deltamethrin, F$_1$ tested with three replicates) were exposed to impregnated papers for 1 h and then transferred to holding tubes. Mosquitoes were supplied with 10% sucrose and mortalities were recorded at 24 h after exposure. The control comprised 25 mosquitoes exposed to untreated papers. Populations were considered susceptible to an insecticide where mortality was > 98%, suspected to be resistant (moderately resistant) where mortality was between 90–98%, and resistant where mortality was found to be < 90% [36].
**Synergist bioassay with piperonyl butoxide (PBO)**
To identify the possible enzyme systems involved in pyrethroids and/or DDT resistance synergist bioassays were conducted. Due to a low number of mosquitoes, the F$_1$ progenies were allowed to mate and were blood-fed to generate F$_2$ populations. Two- to four-day-old F$_2$ females were first exposed to 4% PBO for 1 h, followed by exposure to either 0.75% permethrin, 0.05% deltamethrin or 4% DDT for 1 h. Mortality was recorded 24 h after exposure and the differences in mortalities between synergized and non-synergized experiments were compared using a Chi-square test of significance.
**Test of bednet efficacy using a cone assay**
Cone bioassays were conducted according to the WHO procedure [36] using unfed, 3- to 4-day-old F$_2$ females of *An. coluzzii*. Five replicates of ten mosquitoes were placed in plastic cones attached to four standard insecticide bednets: the Olyset®Net (containing 2% permethrin), OlysetPlus®Net (containing 2% permethrin combined with 1% of the synergist PBO), PermaNet®2.0 (containing 1.4–1.8 g/kg ± 25% deltamethrin), and PermaNet®3.0 [both the side panel (containing 2.1–2.8 g/kg ± 25% deltamethrin) and the roof (containing 4.0 g/kg ± 25% deltamethrin, combined with 25g/kg ± 25% of PBO)]. Fresh, unused PermaNets and OlysetNets were respectively provided by Vestergaard, Lausanne, Switzerland and Sumitomo Chemical Plc, London, UK. Three replicates of ten mosquitoes were exposed to an untreated net as control. For each test, the exposure time was 3 min and mosquitoes were immediately transferred to paper cups and supplied with 10% sucrose. Mosquitoes that were knocked down were recorded after 60 min and mortality recorded 24 h after exposure.
**Establishment of resistance intensity**
To assess the strength of resistance, a time course bioassay was conducted using deltamethrin with F$_2$ *An. coluzzii* populations. The protocol followed the procedure as outlined for the conventional bioassays only that exposure time was varied, using exposures of 60, 90, 120, 180 and 240 min. The time required to kill 50% of the experimental mosquitoes (LT$_{50}$) was calculated using the glm function of MASS package (R v3.5.0). The Ngousou females were also exposed to deltamethrin in a time-course bioassay at 2.5, 5, 10, 15, 30, 45 and 60 min, and LT$_{50}$ was calculated. Resistance intensity was estimated from the ratio of the LT$_{50}$ of the Gounougou populations to that of Ngousou. Measurement of resistance intensity using 5× and 10× insecticide concentrations, as recommended by the WHO, was not undertaken due to unavailability of the papers.
**Investigation of the role of the 1014F knockdown resistance mutation in pyrethroid/DDT resistance**
To establish the frequency of *kdr* mutations in field caught *An. gambiae* (*s.l.*) populations, a TaqMan assay
was performed to genotype the L1014F *kdr* mutation according to the procedure of Bass et al. [37]. Ten microliters containing 1× Sensimix (Bioline, TN, USA), 80× primer/probe mix and 1 μl of template DNA were used. The primers *kdr_F* (5′-CAT TTT TCT TGG CCA CTG TAG TGA T-3′) and *kdr_R* (5′-CGA TCT TGG TCC ATG TTA ATT TGC A-3′) were used without modification. Probes were labelled with two specific fluorophores, FAM and HEX: FAM to detect the resistant allele ([5′-ACG ACA AAA TTT C-3′ for 1014F *kdr*], [5′-ACG ACT GAA TTT C-3′ for 1014S *kdr*]) and HEX (5′-CTT ACG ACT AAA TTT C-3′) to detect the susceptible allele. The assay was performed on an Agilent MX3005 real-time PCR machine with cycling conditions of 95 °C for 10 min, followed by 40 cycles of 95 °C for 15 s and 60 °C for 1 min.
To assess the genetic diversity and detect potential signatures of selection acting on the voltage-gated sodium channel, a portion of this gene spanning exon 20 was sequenced in 15 *An. coluzzii* and 14 *An. arabiensis* females. Initial fragment amplification was carried out using primers *kdrCL-F* (5′-AAA TGT CTC GCC CAA ATC AG-3′) and *kdrCL-R* (5′-GCA CCT GCA AAA CAA TGT CA-3′) described previously [38]. The 15 μl PCR mixture comprised 1.5 μl of 10× Buffer A (Kapa Biosystems, Wilmington, MA, USA), 0.75 μl of 25 mM MgCl₂, 0.12 μl of 25 mM dNTPs, 0.12 μl of Kapa Taq DNA polymerase, 0.51 μl each of the forward and reverse primer, 10.49 μl of double distilled water (ddH₂O) and 1 μl of genomic DNA template. Cycling condition were as follows: 95 °C for 5min, followed by 35 cycles of 94 °C for 30 s, 57 °C for 30 s and 72 °C for 45 s, followed by a final extension step at 72 °C for 10 min. PCR products were cleaned up using Exonuclease I (Exo I) and Shrimp Alkaline Phosphate (Exo-SAP protocol) according to the protocol of New England Biolabs (NEB, MA, USA). Purified PCR products were sequenced on both strands using the above primers.
Sequences were corrected manually using BioEdit v.7.2.1 [39] and aligned with ClustalW. Analysis of genetic parameters of polymorphism was carried out using theDnaSP v.5.10 [40]. Different sequences/haplotypes were compared by constructing a maximum likelihood phylogenetic tree, using MEGA v.7.0 [41].
**Results**
**Mosquito species composition**
All mosquitoes collected indoors were morphologically identified as *An. gambiae* (*s.l.*) and *An. rufipes*. The 123 females which laid eggs were PCR-identified as 83% *An. coluzzii* (102 females) and 17% *An. arabiensis* (21 females).
**Sporozoite infection rate**
Out of 106 *An. gambiae* (*s.l.*) females analysed by TaqMan assays (85 *An. coluzzii* and 21 of *An. arabiensis*), only 4.7% of the *An. coluzzii* (4/106) were infected with *P. falciparum*. These four positive samples were validated by nested PCR. None of the *An. arabiensis* mosquitoes were infected.
**Insecticide resistance status of *An. coluzzii* populations**
Only *An. coluzzii* populations (F₁ and F₂ generations) were used for bioassays. *Anopheles arabiensis* were not used due to the low number during collection, and low hatching rate/larvae survival. The *An. coluzzii* populations were highly resistant to pyrethroids, with mortalities on exposure to permethrin of 3.75±1.25% and 8.75±2.23% for the F₁ and F₂ progenies, respectively (Fig. 2a, b). Higher resistance was observed with the type II pyrethroid-deltamethrin, with mortalities for the F₁ and F₂ progenies of 3.03±1.59% and 1.19±1.19%, respectively. High resistance was also seen with DDT (mortality of 1.45±1.45% for F₁ progenies, and no mortality at all with the F₂ progenies). However, all mosquitoes were susceptible to carbamates, with mortalities for bendiocarb of 98.81±1.19% for the F₁ progenies, and 100% for propoxur with the F₂ progenies. The same pattern of susceptibility was obtained with organophosphates, with malathion producing 100% mortality for F₁ progenies and fenitrothion exhibiting a mortality of 98.75±1.25% for the F₂ progenies.
**Synergist bioassay for pyrethroid and DDT resistance**
To investigate the possible role of the cytochrome P450s in the observed pyrethroid and DDT resistance, the F₂ *An. coluzzii* were pre-exposed to PBO followed by permethrin, deltamethrin and DDT separately. Compared to results from conventional bioassays above (mortality of 8.75±2.23%), no significant recovery of susceptibility was observed for permethrin, with mortality increasing to only 14.88±8.74% following pre-exposure to PBO (Fig. 3a). A significant increase in mortality was observed in mosquitoes exposed to PBO and deltamethrin (mortality of 32.50±10.51%) compared with those exposed to deltamethrin alone ($\chi^2 = 29$, $df = 1$, $P < 0.0001$). This is, on average, a 27-fold increase. For DDT, there was no major change in mortality following PBO pre-exposure (1.19±1.19%). No mortality was recorded in control mosquitoes exposed to the PBO alone.
**Determination of bednet efficacy**
To evaluate efficacy of the long-lasting insecticidal nets, cone bioassays were carried out. Initially, a 100% mortality was observed with the fully susceptible *An. coluzzii*
(Ngoussou laboratory colony) with PermaNet®2.0, and a high mortality of 88 ± 3.74% with Olyset®Net. On testing the Gounougou population (F$_2$ *An. coluzzii*), an extensive loss of efficacy of Olyset®Net and Permanat®2.0 was observed, with 0% mortality 24 h after exposure (Fig. 3b). Low mortalities were also obtained with the side panels of PermaNet®3.0 (2 ± 2%) and Olyset®Plus (2 ± 2%) with the F$_2$ populations. Exposure to the roof of PermaNet®3.0 increased the mortalities to 16 ± 5.1% indicating a limited role of cytochrome P450s in the deltamethrin resistance. No mortality was obtained with the F$_2$ control populations exposed to untreated bednets.
**Intensity of pyrethroid resistance in *An. coluzzii* populations**
Time course bioassays confirmed intense deltamethrin resistance in the Gounougou *An. coluzzii* (Fig. 4a). Mortalities of less than 5% were obtained after 2 h of exposure and less than 20% after 4 h. This led to a very high LT$_{50}$ estimated as 309.09 (95% CI: 253.07–393.71, Fiducial) (Fig. 4b). The LT$_{50}$ for Ngoussou colony was calculated as 3.32 min (CI: 2.67–3.97) from a previous study [42]. Thus, a resistance intensity for the Gounougou population compared with Ngoussou was calculated as 93.1.
**Presence of the knockdown resistance mutation**
To establish the frequency of 1014F *kdr* mutation in the Gounougou population, a TaqMan genotyping was carried out using DNA samples extracted from 59 F$_0$ *An. coluzzii* and 18 F$_0$ *An. arabiensis*. The 1014F *kdr* mutation was only found in the *An. coluzzii* population, at a high frequency of 65.25%. The frequency of this *kdr* was marginally higher in the heterozygote individuals, at 45.7% (27/59), compared to the homozygous resistant individuals (42.37%, 25/59). The distribution of *kdr* genotype is shown in Table 1. The susceptible allele 1014L was detected in both species, with 7 *An. coluzzii* homozygous susceptible (7/59, 11.87%), and all the *An. arabiensis* 100% homozygote susceptible (18/18). The L1014S *kdr* mutation was not investigated using TaqMan assay.
**Polymorphism analysis of the *An. coluzzii* voltage-gated sodium channel (VGSC)**
Analysis of 498-bp fragments of the VGSC spanning the 1014 codon from 15 *An. coluzzii* indicated the occurrence of six distinct haplotypes in Gounougou females. The genetic diversity parameters of fragment of the VGSC gene are provided in Table 2. Overall, six polymorphic sites were present in the sequenced fragment with a haplotype diversity of 0.701. Four of six haplotypes (H1, H2, H4 and H5) had 1014F resistant alleles at high frequency.
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**Fig. 4** Results of the time-course bioassay with deltamethrin. **a** Susceptibility profile of female *An. coluzzii* population in Gounougou and *An. coluzzii* N’gouso strain to deltamethrin (0.05%) at different time points. Error bars represent standard error of the mean. **b** Probit plot for estimation of resistance intensity in *An. coluzzii* populations
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**Table 1** Genotypes and allele frequency of the 1014F *kdr* mutation in the Gounougou *An. coluzzii* population
| Population | Genotype | Total | 2N | Allele |
|------------------|----------|-------|------|--------|
| | SS | RR | RS | |
| *An. coluzzii* | 7 | 25 | 27 | 59 | 118 | 0.3475 | 0.6525 |
| *An. arabiensis* | 18 | 0 | 0 | 18 | 36 | 1 | 0 |
*Abbreviations:* RR, homozygous resistant; RS, heterozygous resistant; SS, homozygous susceptible
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**Table 2** Summary statistics for polymorphism and diversity in the voltage-gated sodium channel gene of Gounougou *An. coluzzii* and *An. arabiensis*
| Species | Gene | n | S | h | Hd | π | TajimaD | FuLiD* | FuLiF* |
|-----------------|--------|-----|-----|-----|------|------|---------|--------|--------|
| *An. coluzzii* | Exon 20| 30 | 6 | 6 | 0.701| 0.00381| $-0.384^{ns}$ | 1.2143$^{ns}$ | 0.8598$^{ns}$ |
| *An. arabiensis*| Exon 20| 28 | 6 | 5 | 0.27 | 0.00108| $-1.9719^{ns}$ | $-2.5946^{ns}$ | $-2.8039^{ns}$ |
*Abbreviations:* n, number of sequences; S, number of polymorphic sites; h, haplotype; Hd, haplotype diversity; π, nucleotide diversity; TajimaD, Tajima’s D statistic; FuLiD*, Fu and Li’s D* statistic; FuLiF*, Fu and Li’s F* statistic; ns, not significant
of 90% (27/30) while the two remaining ones had 1014L susceptible alleles at lower frequency of 10% (3/30). Among these, H1 and H3 were the two major haplotypes containing the 1014F resistant allele at high frequency of 46.66% (14/30) and 30% (9/30), respectively (Fig. 5a-c). The neutrality test of Tajima’s D had a negative value for *An. coluzzii* but it was not significant.
Phylogenetic analysis of the above six haplotypes using maximum likelihood indicated that there were two distinct haplotype groups, with one carrying the 1014F resistant allele and the other containing the 1014L susceptible allele (Fig. 5d). The comparison of the Gounougou haplotypes with four *kdr* bearing haplotypes previously detected across Africa revealed that only the second major haplotype H3 from Gounougou belongs to the H1-1014F resistant haplotype, predominant in West/Central Africa [38]. Haplotype network tree analysis showed that haplotypes H3, H4 and H5 are separated by 1 or 2 mutational steps from the ancestor haplotype H1 which also belonged to the resistant allele (Fig. 5d). This observation suggests an independent occurrence of the 1014F haplotype in Gounougou, potentially from local selection. Haplotypes H2 and H6 carrying the 1014L susceptible allele are the most isolated to the predominant haplotype H1 with 3 and 4 mutational steps, respectively.
Analysis of the haplotype network of the *kdr* gene based on L1014F alleles of 460-bp from 14 *An. arabiensis* showed that there are five haplotypes in total (Fig. 6d), with a very low polymorphism and low haplotype diversity, of only 0.27 (Table 2). Tajima’s neutrality test had
 Genetic diversity of fragment of VGSC spanning exon 20 in *An. coluzzii*. **a** Sequencing traces showing the polymorphic position for the 1014F *kdr* mutation. **b** Haplotype diversity patterns of the 498-bp fragment of VGSC. **c** TCS and tcsBU haplotype network showing a low polymorphism of exon 20. **d** Phylogenetic tree analysis of the VGSC fragment. Green dots represent the susceptible haplotypes and the red dots the resistant haplotypes.
negative values, but they were not significant (Table 2). Four of the haplotypes (H1, H3, H4 and H5) contained the 1014L susceptible allele, and surprisingly one haplotype harbored the 1014S resistant allele (Fig. 6d), leading to a low 1014S *kdr* frequency of 3.57% (1/28). Haplotype H1 was the only major haplotype carrying the 1014L susceptible allele at a high frequency of 85.71% (24/28) among the identified haplotypes (Fig. 6a–c). Genetic parameters for the analysis of this fragment of VGSC are summarized in Table 2.
Phylogenetic analysis also established the presence of three haplotypes H3, H4 and H5 carrying 1014L susceptible allele, derived from single or two mutational steps from the predominant haplotype H1 (Fig. 6d). Haplotype H2 containing the 1014S resistant allele is the most isolated to the major haplotype H1 with three mutational steps.
**Discussion**
**Composition of the local *An. gambiae* (s.l.) populations and their role in malaria transmission**
In this study we established the role of the major malaria vector *An. coluzzii* from northern Cameroon in malaria transmission and characterized its insecticide resistance profile. *Anopheles coluzzii* and *An. arabiensis* were the only members of *An. gambiae* species complex obtained at Gounougou. *Anopheles coluzzii* was the most prevalent species from indoor resting collection, whereas *An. arabiensis* was found at low frequency. It has been reported that at the height of the rainy season (August) *An. coluzzii* is usually the most dominant species, while in the dry season *An. gambiae* (*s.s.*) and *An. funestus* are the most dominant [15, 26, 43]. The findings of a higher proportion of *An. coluzzii*
indoors might perhaps be explained from observations of the more synanthropic nature and endophilic tendency of this species compared to *An. arabiensis*, which is known to exhibit more exophilic behavior [44]. The predominance of *An. coluzzii* in Gounougou, in the rainy season, is in-line with recent observations across Sudan/Guinean savanna in West and Central Africa, e.g. as observed in Sudan savanna in Auyo, Nigeria [45], in Guinea savannah of Kome, southern Chad [46], at the village of Goden in Sudanese-savanna of Burkina Faso [47] and in Alibori, northern Benin [48].
*Plasmodium falciparum* was the only malaria parasite species detected, at a low rate, in *An. coluzzii*, suggesting low malaria transmission at this site. However, this infection rate is higher than that obtained in 2014 in *An. coluzzii* from Tiko, South-West region of Cameroon [7], but lower than that obtained in 2016 in *An. coluzzii* from Bangui, in Central African Republic [49]. However, a longitudinal survey is needed to establish the contribution of this vector to malaria transmission in this area.
**Pattern of insecticide resistance**
A study in 2005 in three sites near Gounougou found that *An. arabiensis* and *An. gambiae* (s.s.) (the S molecular form) were resistant to deltamethrin, permethrin and DDT, but completely susceptible to chlorpyrifos-methyl and propoxur [13]. In 2006, *An. arabiensis* and *An. gambiae* (s.s.) from the irrigated area of Gounougou were also described to be resistant to lambda-cyhalothrin and deltamethrin, but fully susceptible to fenitrothion and propoxur [26]. Another study in Pitoa, in 2011 described *An. arabiensis* and *gambiae* (s.s.) resistant to permethrin, deltamethrin and DDT at increased levels compared to that reported in 2009 [28]. However, in recent years there has been a possible shift in vector composition, with a rise of *An. coluzzii* populations in place of *An. arabiensis*, and predominance of *An. funestus* as observed in recent studies (e.g. [15]) and our work. This shift is also followed with increased pyrethroid resistance and development of resistance towards the non-pyrethroid insecticides [50].
The continuous distribution of LLINs in Cameroon, especially in 2011 and 2016, has resulted in a gradual increase in resistance to pyrethroids/DDT, as reported in Gounougou [19, 51]. The pyrethroids/DDT resistance has become extreme in this major malaria vector. However, this species is found exhibiting full susceptibility to carbamate (bendiocarb and propoxur) and to organophosphate (malathion and fenitrothion), as previously reported in *An. gambiae* (s.l.) [26, 27], suggesting that insecticides of these classes will be preferable for potential IRS campaigns. The focus should be shifted to organophosphates (e.g. malathion and fenitrothion) and carbamates (e.g. bendiocarb and propoxur) as alternatives for IRS campaign in Gounougou and neighboring regions sharing a similar ecological setting.
The level pyrethroid and DDT resistance observed in the Gounougou *An. coluzzii* population is higher than resistance in *An. gambiae* (s.l.) reported in other locations with similar geographical characteristics: in Kome, southern Chad (permethrin, 26.7% mortality, deltamethrin, 25.4% and DDT, 41.7%); in Auyo, northern Nigeria (deltamethrin, 78.4% mortality and DDT, 44%); and in Djenné, central Mali (deltamethrin, 16% mortality and DDT, 42%) [44, 45, 52]. This increase may be associated with insecticide selective pressure imposed by the introduction of ITNs in Gounougou since 2006, and LLINs since 2015, as observed in the Sudan/Sahelian-zone of Burkina Faso [53]. Another possible explanation of selective pressure at larval level is attributed to the extensive use of insecticide in cotton-growing area communicating with rice farms field throughout the channel of rain runoff [26].
Bioassays were used to quantify the strength of the resistance and make an association of this strength to the effectiveness of current LLINs as vector control tools. The resistance intensity towards deltamethrin was very high in the Gounougou *An. coluzzii* population producing a very high resistance ratio; this was higher than that established for the previously characterized Tororo and Tiofora populations [54, 55].
The finding of susceptibility to carbamate and organophosphate insecticides is generally consistent with the relatively widespread susceptibility of malaria vector populations to these insecticide classes, especially the organophosphates, as observed in West and Central Africa [26, 56–58].
The results of cone assays in this study revealed a considerable loss of efficacy of the LLINs. This finding of reduced efficacy of combination LLINs containing PBO, such as Olyset®Plus is consistent with results obtained recently in Mibellon in the Adamawa region of Cameroon [50], in which a high levels of resistance in *An. funestus* and *An. gambiae* populations to pyrethroids were correlated with the loss of efficacy of bednets containing insecticides and/or synergists under laboratory conditions. The PBO-containing bednets, e.g. PermaNet®3.0 usually increase recovery of mortality for most malaria vectors. The low recovery of mortality from exposure to the roof of PermaNet®3.0 is first of its kind in *An. coluzzii* from Gounougou, and in contrast with previous findings in other African countries [54, 59, 60]. This drastic reduction in efficacy of PermaNet®3.0 may be due to selection pressure from massive distribution of combination bednets. The low mortality of *An. coluzzii* observed even with PBO combined with permethrin (Olyset®Plus) and deltamethrin (Permanet®3.0 roof) suggests possible
alternative mechanisms for efficient detoxification of the PBO itself, or other major non-P450 detoxification genes driving the pyrethroid/DDT resistance in the field.
**Contribution of target site insensitivity mutations to the pyrethroid and DDT resistance**
The high resistance to permethrin, deltamethrin and DDT observed in $F_1$ and $F_2$ progenies of *An. coluzzii* could be linked with the high frequency of the L1014F *kdr* mutation (65.25%) established in the $F_0$ parents. However, due to high resistance (low number of dead mosquitoes) phenotype-genotype correlation was not assessed. The 1014F *kdr* mutation has been previously identified in *An. arabiensis* and *An. coluzzii* in Gounougou, and in the neighboring locality of Pitoa, in North Cameroon, at lower frequencies [27, 28]. The frequency of the L1014F *kdr* mutation in Gounougou *An. coluzzii* is consistent with previous results in countries bordering Cameroon, e.g. northern Nigeria where a 1014F *kdr* mutation frequency of 83% was reported [45], and in Central African Republic, with 52.3% for the 1014F resistant allele [49].
The low genetic diversity observed in the partial fragment of the VGSC spanning exon 20, harboring the L1014F codon, suggests a restricted polymorphism of VGSC, highlighted by the very low number of haplotypes, as the 1014F allele nears fixation in this population. Our findings are consistent with previous studies reported in Central Africa [49, 60]. The fact that the predominant haplotype H3 matched with that found across Africa (H1-1014F) suggests a gene flow in *An. coluzzii* populations across the region.
**Conclusions**
This study provides evidence for drastically high pyrethroid and DDT resistance in *An. coluzzii*, a major malaria vector from Gounougou, northern Cameroon, with the possibility of a complete loss of efficacy of the major malaria control tools, the LLINs and IRS using DDT. The intense resistance is driven possibly by metabolic mechanism and the 1014F *kdr* mutation which was found in high frequency.
**Abbreviations**
DDT: dichlorodiphenyltrichloroethane; DNA: deoxyribonucleic acid; DnaSP: DNA sequence polymorphism; dNTPs: deoxyribonucleoside triphosphates; GSTe2: glutathione S-transferase epsilon 2; IRS: indoor residual spraying; ITN: insecticide-treated net; kdr: knockdown resistance mutation; LLIN: long-lasting insecticidal net; LT: lethal time; MEGA: Molecular Evolutionary Genetics Analysis; PBO: piperonyl butoxide; PCR: polymerase chain reaction; s.l.: sensu lato; s.s.: sensu stricto; VGSC: voltage-gated sodium channel.
**Acknowledgements**
This study was supported by the Wellcome Trust International Fellowship in Public Health (WT201918/Z/16/Z) to SSI. The authors would like to thank the people of Gounougou for welcoming us into their homes.
**Authors’ contributions**
CSW, SSI and SW conceived and designed the study. SSI, ANF and MaT performed sample collection at Gounougou. ANF, MaT and ET carried out bioassays. ANF carried out the TaqMan genotyping and polymorphism analyses of the VGSC, with the help of MJW and MT. ANF and SSI analysed data and wrote the manuscript with help from CSW. All authors read and approved the final manuscript.
**Funding**
A Wellcome Trust International Training Fellowship in Public Health and Tropical Medicine (WT201918/Z/16/Z) to SSI supported this work.
**Availability of data and materials**
The datasets (DNA sequences) supporting the conclusions of this article are available in the GenBank database under the accession numbers MK548913–MK548927 for *An. coluzzii* sequences and MK548928–MK548941 for *An. arabiensis* sequences.
**Ethics approval and consent to participate**
Clearance for field work and ethical approval was granted by the Organisation de Coordination pour la lutte contre les Endémies en Afrique Centrale (OCEAC) (authorisation number 05/20/17/SE/DAF). Prior to collection, a meeting was held with the local chief and the village people at Gounougou to explain the aim of the study and its benefits. Indoor collection was carried out only in the houses of people who consented.
**Consent for publication**
Not applicable.
**Competing interests**
The authors declare that they have no competing interests.
**Author details**
1. LSHTM Research Unit, Centre for Research in Infectious Diseases (CRID), P.O. Box 13591, Yaoundé, Cameroon. 2 Department of Microbiology and Parasitology, University of Buea, P.O. Box 63, Buea, Cameroon. 3 Vector Biology Department, Liverpool School of Tropical Medicine (LSTM), Liverpool L3 5QA, UK. 4 Department of Biochemistry, Bayero University, PMB 3011, Kano, Nigeria.
Received: 23 February 2019 Accepted: 20 May 2019
Published online: 27 May 2019
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16. Tabue RN, Awono-Ambene P, Etang J, Atangana J, Antonio-Nkondjio C, Toto JC, et al. Role of *Anopheles (Cellia) rufipes* (Gough, 1910) and other local anophelines in human malaria transmission in the northern savannah of Cameroon: a cross-sectional survey. Parasit Vectors. 2017;10:222.
17. Awono-Ambene PH, Etang J, Antonio-Nkondjio C, Ndo C, Eyisap WE, Plameu MC, et al. The bionomics of the malaria vector *Anopheles rufipes* Gough, 1910 and its susceptibility to deltamethrin insecticide in North Cameroon. Parasit Vectors. 2018;11:1253.
18. Ayala D, Costantini C, Ose K, Kamdem GC, Antonio-Nkondjio C, Agbor JP, et al. Habitat suitability and ecological niche profile of major malaria vectors in Cameroon. Malar J. 2009;8:307.
19. Antonio-Nkondjio C, Sonhatouo-Chiana N, Ngadjue CS, Doumbe-Belisse P, Talipouo C, Djamaouko-Djonkam L, et al. Review of the evolution of insecticide resistance in main malaria vectors in Cameroon from 1990 to 2017. Parasit Vectors. 2017;10:472.
20. Kamdem C, Tene Fossog B, Simard F, Etouna J, Ndo C, Kengne P, et al. Anthropogenic habitat disturbance and ecological divergence between incipient species of the malaria mosquito *Anopheles gambiae*. PLoS ONE. 2012;7:e39453.
21. Kamdem C, Fouet C, Gamez S, White BJ. Pollutants and insecticides drive local adaptation in African malaria mosquitoes. Mol Biol Evol. 2017;34:1261–75.
22. Bhatt S, Weiss DJ, Cameron E, Bisanzio D, Mappin B, Dalrymple U, et al. The effect of malaria control on *Plasmodium falciparum* in Africa between 2000 and 2015. Nature. 2015;526:207–11.
23. President’s Malaria Initiative. Cameroon Malaria Operational Plan FY 2017. 2017. https://www.pmi.gov/docs/default-source/default-document-library/malaria-operational-plans/fy17/fy17-cameroon-malaria-operationa-plan.pdf?sfvrsn=6. Accessed 12 May 2018.
24. Müller P, Chouaibou M, Pignatelli P, Etang J, Walker ED, Donnelly MJ, et al. Pyrethroid tolerance is associated with elevated expression of antioxidants and agricultural practice in *Anopheles arabiensis* sampled from an area of cotton fields in Northern Cameroon. Mol Ecol. 2008;17:1145–55.
25. Etang J, Fondjo E, Chandre F, Morlais I, Bregues C, Nwane P, et al. Short report: first report of knockdown mutations in the malaria vector *Anopheles gambiae* from Cameroon. Am J Trop Med Hyg. 2006;74:795–7.
26. Antonio-Nkondjio C, Atangana J, Ndo C, Awono-Ambene P, Fondjo E, Fontenille D, et al. Malaria transmission and rice cultivation in Lagdo, northern Cameroon. Trans R Soc Trop Med Hyg. 2008;102:352–9.
27. Ndjemai HNM, Patchoke S, Atangana J, Etang J, Simard F, Bilong CFB, et al. The distribution of insecticide resistance in *Anopheles gambiae s.l.* populations from Cameroon: an update. Trans R Soc Trop Med Hyg. 2009;103:1127–38.
28. Etang J, Pernettier C, Plameu M, Bouraima A, Chandre F, Awono-Ambene P, et al. When intensity of deltamethrin resistance in *Anopheles gambiae* s.l. leads to loss of long-lasting insecticidal nets bio-efficacy: a case study in north Cameroon. Parasit Vectors. 2016;9:132.
29. Morgan JC, Irving H, Okedi LM, Steven A, Wondji CS. Pyrethroid resistance in an *Anopheles funestus* population from Uganda. PLoS ONE. 2010;5(7):e11872.
30. Gillies M, de Meillon B. The Anophelinae of Africa south of the Sahara (Ethiopian zoogeographical region). Publ South Afric Inst Med Res. 1968;5:41–353.
31. Gillies MT, Coetzee M. A supplement to the *Anophelesinae* of Africa South of the Sahara (Afrotropical Region). Publ South African Inst Med Res. 1987;5:51–143.
32. Livak KJ. Organization and mapping of a sequence on the *Drosophila melanogaster* X and Y chromosomes that is transcribed during spermatogenesis. Genetics. 1984;107:611–34.
33. Santolamazza F, Mancini E, Simard F, Qi Y, Tu Z, Torre A. Insertion polymorphisms of SINE200 retrotransposons within speciation islands of *Anopheles gambiae* molecular forms. Malar J. 2008;7:167.
34. Bass C, Nikou D, Blagborough AM, Vontas J, Linden RE, Williamson MS, et al. PCR-based detection of *Plasmodium* in *Anopheles* mosquitoes: a comparison of a new high-throughput assay with existing methods. Malar J. 2008;7:177.
35. Snounou G, Viriyakosol S, Zhu XP, Jarra W, Pinheiro L, do Rosario VE, et al. High sensitivity of detection of human malaria parasites by the use of nested polymerase chain reaction. Mol Biochem Parasitol. 1993;61:315–20.
36. WHO. Test procedures for insecticide resistance monitoring in malaria vector mosquitoes; World Health Organisation Technical Report Series. 2nd edn. Geneva: World Health Organization; 2013.
37. Bass C, Nikou D, Donnelly MJ, Williamson MS, Ranson H, Ball A, et al. Detection of knockdown resistance (kdr) mutations in *Anopheles gambiae*: a comparison of two new high-throughput assays with existing methods. Malar J. 2007;6:111.
38. Pinto J, Lynd A, Vicente JL, Santolamazza F, Randle NP, Gentile G, et al. Multiple origins of knockdown resistance mutations in the afrotropical mosquito vector *Anopheles gambiae*. PLoS ONE. 2007;2:e1243.
39. Hall T. BioEdit: A user-friendly biological sequence alignment editor and analysis program for windows 95/98/NT. Nucleic Acids Symp Ser. 1999;41:95–8.
40. Librado P, Rozas J. DnaSP v5: a software for comprehensive analysis of DNA polymorphism data. Bioinformatics. 2009;25:1451–2.
41. Kumar S, Stecher G, Tamura K. MEGA7: molecular evolutionary genetics analysis version 7.0 for bigger datasets. Mol Biol Evol. 2016;33:1870–4.
42. Ibrahim SS, Mukhtar MM, Datti JA, Irving H, Kusimo MO, Tchaga W, et al. Temporal escalation of pyrethroid resistance in the major malaria vector *Anopheles coluzzii* from Sahelo-Sudanian region of northern Nigeria. Sci Rep. 2019. https://doi.org/10.1038/s41598-019-43634-4.
43. Wondji C, Simard F, Lehmann T, Fondjo E, Samé-Ekobo A, Fontenille D. Impact of insecticide-treated bed nets implementation on the genetic structure of *Anopheles arabiensis* in an area of irrigated rice fields in the Sahelian region of Cameroon. Mol Ecol. 2005;14:3683–93.
44. Mahande A, Mosha F, Mahande J, Kweka E. Feeding and resting behaviour of malaria vector, *Anopheles arabiensis* with reference to zooprophyaxis. Malar J. 2007;6:100.
45. Ibrahim SS, Manu YA, Tukui Z, Irving H, Wondji CS. High frequency of kdr L1014F is associated with pyrethroid resistance in *Anopheles coluzzii* from Sudan savannah of northern Nigeria. BMC Infect Dis. 2014;14:441.
46. Dadzie S, Appavu MA, Kerah-Hinzoumbe C, Akogbeto MC, Adimazoya M, Israel DK, et al. Species composition and insecticide resistance status of *Anopheles gambiae* (s.l.) (Culicidae) in Kome, southern Chad and the implications for malaria control. Parasit Vectors. 2016;9:465.
47. Pombi M, Calzetta M, Guelbeogo WM, Manica M, Perugini E, Pichler V, et al. Unexpectedly high *Plasmodium* sporozoite rate associated with low human blood index in *Anopheles coluzzii* from a LLIN-protected village in Burkina Faso. Sci Rep. 2018;8:12806.
48. Akogbeto MC, Salako AS, Dagnon F, Aikpon R, Kouletio M, Sovi A, et al. Blood feeding behaviour comparison and contribution of *Anopheles coluzzii* and *Anopheles gambiae*, two sibling species living in sympatry, to malaria transmission in Alibori and Donga region, northern Benin, West Africa. Malar J. 2018;17:307.
49. Kamgang B, Tchaga W, Ngoaouoni C, Sangbakembi-Nguonou C, Wondji M, Riveron JM, Wondji CS. Exploring insecticide resistance mechanisms
in three major malaria vectors from Bangui in Central African Republic. Pathog Glob Health. 2018;112:349–59.
50. Menze BD, Wondji CJ, Tchappa W, Tchoupo M, Riveron JM, Wondji CS. Bionomics and insecticides resistance profiling of malaria vectors at a selected site for experimental hut trials in central Cameroon. Malar J. 2018;17:317.
51. World Health Organization. A toolkit for integrated vector management in sub-saharan Africa. 2016. http://apps.who.int/iris/bitstream/handle/10665/250267/9789241549653-eng.pdf?sequence=1. Accessed 14 May 2018.
52. Cisse MBM, Keita C, Dicko A, Dengela D, Coleman J, Lucas B, et al. Characterizing the insecticide resistance of *Anopheles gambiae* in Mali. Malar J. 2015;14:327.
53. Dabiré KR, Diabaté A, Namountougou M, Toé KH, Ouari A, Kengne P, et al. Distribution of pyrethroid and DDT resistance and the L1014F *kdr* mutation in *Anopheles gambiae* s.l. from Burkina Faso (West Africa). Trans R Soc Trop Med Hyg. 2009;103:1113–20.
54. Toé KH, Jones CM, N’fale S, Ismail HM, Dabiré RK, Ranson H. Increased pyrethroid resistance in malaria vectors and decreased bed net effectiveness Burkina Faso. Emerg Infect Dis. 2014;20:1691–6.
55. Bagi J, Grisales N, Corkill I R, Morgan JC, N’Fale S, et al. When a discriminating dose assay is not enough: measuring the intensity of insecticide resistance in malaria vectors. Malar J. 2015;14:210.
56. Kerah-Hinzoumbé C, Péka M, Nwane P, Donan-Gouni I, Etang J, Samé-Ekobo A, et al. Insecticide resistance in *Anopheles gambiae* from southwestern Chad, Central Africa. Malar J. 2008;7:192.
57. Ranson H, Abdallah H, Badolo A, Guelbeogo WM, Kerah-Hinzoumbé C, Yangalbé-Kalinéné E, et al. Insecticide resistance in *Anopheles gambiae*: Data from the first year of a multi-country study highlight the extent of the problem. Malar J. 2009;17:299.
58. Witzig C, Parry M, Morgan JC, Irving H, Steven A, Cuamba N, et al. Genetic mapping identifies a major locus spanning P450 clusters associated with pyrethroid resistance in *kdr*-free *Anopheles arabiensis* from Chad. Heredity. 2013;110:389–97.
59. Riveron JM, Chiumia M, Menze BD, Barnes KG, Irving H, Ibrahim SS, et al. Rise of multiple insecticide resistance in *Anopheles funestus* in Malawi: a major concern for malaria vector control. Malar J. 2015;14:344.
60. Riveron JM, Watsenga F, Irving H, Irish SR, Wondji CS. High *Plasmodium* infection rate and reduced bed net efficacy in multiple insecticide-resistant malaria vectors in Kinshasa, Democratic Republic of Congo. J Infect Dis. 2018;217:320–8.
**Publisher’s Note**
Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.
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Sunday, December 24, 2017
Sunday School – 89 Worship – 210
OFFERING
WHITE GIFT
Spending Plan (undesignated)
$16,195.45
Manna for Many
$2,975.00
MDS (National Relief)
$4,100.00
OG Mennonite College Fund
$550.00
OG Compassion Fund
$500.00
MCC (General)
$166.00
| 2017 SPENDING PLAN | $306,669.00 |
|---|---|
| 2017 INCOME TO DATE | $289,323.00 |
STEWARDSHIP/GIVING MESSAGE
Your "Merry Christmas" may depend on what others do for you…but your "Happy New Year" depends on what you do for others.
SAVE THE DATES
February 4 – Annual Congregational Meeting
April 14 & 15, 2018 – Historical Reflections
July 14 & 15, 2018 – Hymn Sing & Hymnal Celebration
October 13 & 14, 2018 – Homecoming & Concert
Hymns: HWB#318 "Joy to the World"
HWB#197 "Angels We Have Heard on High"
HWB#204 "Gloria"
-Ryan Conrad,song leader
Community Life Announcements
Pastoral Prayer
Offering
Offertory: Rindy Morphew
Children's Time: Miriam Zehr
Hymn: HWB#201 "Hark! The Herald Angels Sing"
Advent Drama: Junior -Aaron Miedel; Sage –Levi Miller; Sadie
Miedel,violin; Gloria Miller,piano
Scripture: Luke 2:22-40
Sermon: “Yes! Let it be New” – Pastor Doug
Words of Assurance
Hymn of Response: HWB#191 "Oh Little Town of Bethlehem"
Benediction
7843 Smucker Rd., Smithville, Ohio 44677
Phone: 330-669-2697 Fax: 330-669-2617
Office Email: [email protected]
Website: www.oakgrovemc.org
Sunday, December 31, 2017 Christmas: Yes! Let it be new
Focus statement: We marvel at the vastness of God's plan. We celebrate in exuberant praise what God has done and will continue to do.
Prelude: Rindy Morphew
Welcome: Paul Miller, Worship Leader
Call to Worship
L:
Yes! We will give thanks and rejoice!
All:
L:
All:
L:
All:
L:
We will praise the Lord from the heavens, from the heights, and with the angels!
We praise the Lord with the sun and moon!
We praise the Creator of the shining stars!
Fire and hail! Snow and frost!
Mountains and hills! Fruit trees and cedars!
Young men and women alike!
Children and the aged ones too!
Let us praise the name of the Lord.
Praise the Lord!
Yes! Let all things be new.
Prayer
Lighting of the Advent Candles: Anson, Hannah, Sadie, Aaron & Mary Miedel
As we light this fifth candle, the Christ candle, we celebrate Jesus, through whom God makes all things new.
THIS WEEK AT OAK GROVE
8:45am: Spiritual Life Commission Prayer
9:15am: Sunday School
10:30am: Worship – Pastor Doug
Greeters: Leonard & Nancy Douce
Nursery:
9:15am– Gloria Miller & Rindy Morphew
10:30am– Von & Rita Schrock
Monday, January 1 New Year's Day, OFFICE CLOSED
Tuesday, January 2 OFFICE CLOSED Worship Commission, 6pm
Thursday, January 4 Bicentennial Committee, 6:30pm
Happy Birthday!
12.31 – Linda Jaquet
12.31 – Clarence Stutzman (90)
1.1 – Olivia Wenger
1.5 – Wendy Breneman
Church Staff
Pastor Douglas J. Zehr: [email protected] Associate Miriam R. Zehr: [email protected] Church Office: [email protected] Treasurer: [email protected]
NEXT SUNDAY – January 7 th , 2018 8:45am: Spiritual Life Commission Prayer
9:15am: Sunday School
9:30am: Worship at OrrVilla
10:30am: Worship – Pastor Doug
Greeters: Linda Schrock & Wanda Beattie
Nursery:
9:15am– Anita Bixler & Miriam Zehr
10:30am– Scott & Jolene Jaquet
ANNOUNCEMENTS
The family of Clarence Stutzman would like to invite the congregation to an open house-style birthday party reception, today, for Clarence's 90 th birthday. The party will take place from 24pm in the Fellowship Hall.
Hannah Miedel will be taking orders for Equal Exchange products. There are order forms on the table in the foyer. Orders should be turned in to Hannah's mailbox by January 14.
A big thank you to everyone who helped set up and take down risers for the Messiah. The great help and assistance made the process more enjoyable and was done quickly. Thanks! –Property Commission
Directory Update: Vic Plessinger's phone number has changed to 330.345.4961.
From Priscilla Gresser at Green Elementary: I want to thank you so much for your generosity in helping needy families whose children attend Green Elementary School. Your generosity and caring were greatly appreciated again this year, especially during this time of need for so many families. The families were blessed by your generosity, as I am sure that all of you have been by your giving!
Spiritual Direction Opportunity: As part of my seminary studies at AMBS, I will be participating in a course on Spiritual Direction this next semester. Spiritual direction provides a time and place to reflect with another person about your relationship with God and notice where God is at work. One of my assignments is to provide spiritual direction for two or three persons over the course of the next several months. The individual sessions are for one hour every three or four weeks. Although I will need to make reports, all names and what is shared will be confidential. If you, or someone you know, are interested or want more information, please contact me Thanks for considering. - Miriam
The Endowment Committee has considered and approved the following grant application: $1,200 to First Mennonite Church of Wadsworth, who is working with a group of local churches and Malone College to raise funds for an Ohio tour of Ted and Company's production of Discovery: A Comic Lament. More information on the presentation is available at http://www.tedandcompany.com/shows/discovery-comiclament/. Comments are welcomed by committee members: George Bixler, Linda Jaquet, Levi Miller, Sherry Miller, Steve Miller and Willie Troyer. The committee will meet after church on January 14 to finalize these requests.
The Comfort Throw & MCC Comforter Project needs your help as we march toward our 200-blanket goal by October 2018. For those of you who sew; comforter blocks are cut and put into order by rows, organized for sewing. These are in the "Project Room" on the lower level of the sanctuary. Sign the sheet by the number on the blank(s) corresponding with the number on the packet(s) of blocks you are taking. When the top is sewn, return it and mark the "completed" column on the sheet by your name. There is no limit to the number of packets you take or how often this process is repeated! Thank you for your part in this bicentennial service project.
Work night scheduled - mark your calendars! We will gather on January 10 & 24 to work on the blanket projects. There will be comforters to knot and sewing machines for sewing comforter blocks. We will work from 2:00-4:00 and 6:00-8:00. Plan to join us for an evening of fun as we work together. Questions can be directed to Sherry Miller, Gladene Hershberger, Dan Jaquet, and Krista Mast. We look forward to your participation.
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1 WorldDEM ®1 Portfolio
2 Specification
Table 2-1: WorldDEM - Specification
| Specification Parameter | |
|---|---|
| File Format | |
| Data Type | |
| NoData Value | |
| Projection | |
| Coordinate Reference System | Horizontal |
| | Vertical |
| Pixel Spacing | |
| Vertical Unit | |
| Absolute Vertical Accuracy *) **) ***) | |
| Relative Vertical Accuracy *) **) ***) | |
| Absolute Horizontal Accuracy **) ***) | |
*) Based on validation results using ICESat GLAS reference points (TanDEM-X Mission Goal: < 10m)
**) Excluding Antarctica and Greenland (physical reflection properties differ between WorldDEM and reference data in regions with permanent snow/ice cover)
***) Due to the global coverage of the WorldDEM, all accuracy statistics and values stated in this document are calculated as an arithmetic mean on global level. Local deviations occur.
1 WorldDEM is a trademark of Airbus DS Geo GmbH registered in the following countries: European Union, United States of America, Canada, Japan, Republic of Korea, Singapore, Australia, Norway
August 2020
3 Auxiliary Data Layers and Quality Layers
Auxiliary Layers are delivered together with the WorldDEMcore product. They include the following layers:
Table 3-1: WorldDEMcore - Auxiliary Data Layers
| Amplitude Mosaic (mean value) | AMP | 16 bit unsigned integer, GeoTIFF |
|---|---|---|
| Amplitude Mosaic (min. value) | AM2 | 16 bit unsigned integer, GeoTIFF |
| Consistency Mask | COM | 8 bit unsigned integer, GeoTIFF |
| Coverage Map | COV | 8 bit unsigned integer, GeoTIFF |
| Height Error Map | HEM | 32 bit floating point, GeoTIFF |
| Layover/Shadow Mask | LSM | 8 bit unsigned integer, GeoTIFF |
| Water Indication Mask | WAM | 8 bit unsigned integer, GeoTIFF |
Quality Layers can be optional delivered with the WorldDEM and WorldDEM DTM products. They include the following layers:
Table 3-2: WorldDEM and WorldDEM DTM - Quality Layers
| Auxiliary Layer | | Data Format |
|---|---|---|
| Amplitude Mosaic (mean value) | AMP | 16 bit unsigned integer, GeoTIFF |
| Filling Mask | FLM | 8 bit unsigned integer, GeoTIFF |
| Editing Mask* | EDM | 8 bit unsigned integer, GeoTIFF |
| Water Body Mask | WBM | 8 bit unsigned integer, GeoTIFF |
* not included in Quality Layer package for WorldDEM DTM
4 Technical Specification Document
The Technical Specification Document is available on request and describes the WorldDEM products and specification in more detail including impacts of SAR specific characteristics, information on changing of pixel spacing depending on latitude, file structure, file naming convention, metadata and quicklooks.
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Livonia Public Library Events Calendar
Hours of Operation:
Monday – Thursday: 10am-8pm
Friday: 10am-6pm
Saturday: 10am-3pm
Monday
Tuesday
Wednesday
January 2019
2 Washington Street, Livonia NY 14487
Phone: 585-346-3450
E-mail: [email protected]
Website: livonialibrary.org
Friday
Saturday
5
12
19
26
Thursday
What is What?
Book Club Planning Event: Help us plan for 2019! Join us in the Patterson Community Room for coffee, tea, and light refreshments as we plan the new Livonia Library Book Club! Everyone is welcome! No sign-up or commitment required, we'd love to see you there!
MakerClub: This group is focused on creating more opportunities for makers to develop creativity and confidence through autonomous decisionmaking. Weekly registration is required for this program.
Family Movie Night: A free event that takes place in the Patterson Community Room on the first and third Friday of every month throughout the year. Free, unlimited popcorn is available during the movie. Sleeping bags, blankets, and pillows are encouraged for those who would like to bring them! New movies announced each month. movies start at 6:00pm and no registration is required.
1-on-1 Technology Help: Our technology volunteer, Morgan, will sit down with you and address any technology issue you may be encountering with your device. The 1-hour time slots are reserved to answer questions and give you a one-on-one hands-on lesson to help you better understand your device. Please bring the computer, phone, or smart device you are having issues with. Sign up/Registration is required. Please call or visit the library to check the available time slots.
Making It! For Adults!: Have you ever wondered what MakerSpace is all about? Join us for an adult MakerSpace-type program designed to let you explore your creativity and relax with some coffee or tea in the process!
MakerSeries: Series will build on knowledge or skills and revolve around projects that makers will work on and explore over a 4-week period with the same group of peers. Topics will change each month and are advertised ahead of time. Each series runs for 4 weeks, with a onetime sign-up at the beginning of each series for the 4-week period. *Sign-up for each series opens at 10:00am on the Thursday of the final week of the current series.
MakerSpace: This program runs weekly throughout the academic school year and at varying times throughout the summer months. The program fosters a dynamic space where young people can get together and explore modern technology and items with which to invent. Some of these items include Legos, Keva Blocks, coding opportunities, robots, crafting supplies and imaginative creations. Weekly registration is required for this program.
Sensory Play for Toddlers and Babies: Children and caregivers will explore various sensory activities encouraging early literacy. Pre-registration is required. Last Tuesday of every month.
Story Time: Join us year-round for a fun-filled read-aloud story and a themed craft every Wednesday (3yrs-5yrs) and Thursday (6mos-3yrs) from 10:30-11:15! Registration Required.
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Monitoring the ebb and flow of attention: Does controlling the onset of stimuli during encoding enhance memory?
Trisha N. Patel 1 & Mark Steyvers 2 & Aaron S. Benjamin 1
# The Psychonomic Society, Inc. 2019
Abstract
Central to the operation of the Atkinson and Shiffrin's (Psychology of learning and motivation, 2, 89-195, 1968) model of human memory are a variety of control processes that manage information flow. Research on metacognition reveals that provision of control in laboratory learning tasks is generally beneficial to memory. In this paper, we investigate the novel domain of attentional fluctuations during study. If learners are able to monitor attention, then control over the onset of stimuli should also improve performance. Across four experiments, we found no evidence that control over the onset of stimuli enhances learning. This result stands in notable contrast to the fact that control over stimulus offset does enhance memory (Experiment 1; Tullis & Benjamin, Journal of memory and language, 64 (2), 109-118, 2011). This null finding was replicated across laboratory and online samples of subjects, and with both words and faces as study material. Taken together, the evidence suggests that people either cannot monitor fluctuations in attention effectively or cannot precisely time their study to those fluctuations.
Keywords memory . metamemory . attention . recognition
Introduction
The groundbreaking paper by Atkinson and Shiffrin (1968), to which this special issue is a salute, is famous for many things. First and foremost, it explicitly defined three systems that make up human memory: sensory memory, short-term memory, and long-term memory. That characterization continues to be predominant today, omnipresent in student textbooks as well as journal articles. Second, it defined ways in which information flows from one system to the next. In this article, we focus on the maintenance and transfer of information, and, critically, on the role of self-deployed control processes in guiding information flow. The role of the Atkinson and Shiffrin (1968) chapter in initiating discussion of the control processes underlying encoding and remembering is somewhat underappreciated. In fact, the model is often referred to in shorthand as the multistore model of memory, a nickname that probably reflects the preference within cognitive psychology
* Trisha N. Patel [email protected]
1 Department of Psychology, University of Illinois at Urbana-Champaign, Urbana-Champaign, IL, USA
2 Department of Psychology, University of California, Irvine, CA, USA
for the tidy division of boxes over the messy proliferation of arrows. This state of affairs was aptly recognized by Atkinson and Shiffrin (1968):
Since subject-controlled memory processes include any schemes, coding techniques, or mnemonics used by the subject in his effort to remember, their variety is virtually unlimited and classification becomes difficult. (p. 106)
Indeed, the project of classifying and taxonomizing control processes has made fitful progress over the years. That difficulty notwithstanding, there is a vibrant and relevant literature on the metacognitive control of learning and remembering that owes a great debt to the original formulation of control processes as those that facilitate transfer of information into progressively more well learned states of knowledge (for reviews, see Benjamin (2007); Fiechter, Benjamin, & Unsworth (2016); Kornell & Finn (2016), Son & Metcalfe (2000)).
Within the Atkinson and Shiffrin (1968) framework, the control that individuals exert directly impacts the formation and strength of memory traces. Once information enters shortterm memory, different forms of rehearsal either Bmaintain^ access to that information without commitment to long-term memory, or transfer that information into long-term memory. Moreover, because short-term memory is limited in capacity,
individuals make decisions about what will enter short-term memory and what can be discarded. Overall, individuals have a wide range of freedom when controlling information in short-term memory. Individuals can also implement control processes that determine what information from sensory memory enters short-term memory and also how that information will be stored in long-term memory. Nonetheless, more effort in research on memory has been spent on devising paradigms in which sources of individual variation in learning are controlled than in understanding the consequences of that variation.
In the current literature on metacognitive control, the emphases are somewhat different. Less attention is paid to the question of where knowledge resides than to its durability. And, the study of metacognition is not driven by major overarching theoretical perspectives on the structure of memory – in fact, theoretical development within the study of metacognition is mostly divorced from theoretical development in memory. This is an unfortunate state of affairs. As Atkinson and Shiffrin (1968) rightly pointed out, the structure of memory dictates the types of relevant control processes. And any theory of memory is incomplete without acknowledgment and an explicit characterization of motivations, intentions, and capacities of the learner. It is like trying to understand a system of roadways without knowing about traffic.
Modern research on the metacognitive control of learning focuses on two questions: (1) Does utility of self-control improve performance? (2) How do learners monitor progression towards learning goals and select learning strategies appropriate for those goals? These are the empirical and theoretical agendas, respectively, for the domain of metacognition control. The research we report here addresses a novel theoretical question: Can learners monitor fluctuations in attention and synchronize encoding events to those fluctuations? In doing so, we explore a novel empirical domain: Does having control over the onset of to-be-learned materials improve memory for those materials? For background, we briefly review two relevant domains: fluctuations in attention, and control over the timing of study events.
Fluctuations in attention
Control over when to view study items can benefit learners by timing stimuli to moments of focused attention. Attention is always fluctuating over time, flowing between states of internal and external focus (e.g., Desimone & Duncan, 1995; Posner & Petersen, 1990; Treisman & Gelade, 1980). Moments of internally focused attention, commonly described as mind wandering, can decrease memory on various tasks that require external focus, seen empirically in decreased reading comprehension (Dixon & Bortolussi, 2013; Feng, D'Mello, & Graesser, 2013; Franklin, Smallwood, & Schooler, 2011; Jackson & Balota, 2012; Kane and McVay,
2012; Smallwood, McSpadden, & Schooler, 2008; Unsworth & McMillan, 2013) and retention of classroom lectures (Farley, Risko, & Kingstone, 2013; Szpunar, Khan, & Schacter, 2013). Using reaction time (RT) as an indicator of attention on a sustained attention task, deBettencourt, Norman, and Turk-Browne (2018) investigated the direct costs of attention fluctuations on subsequent memory. The task required participants to view a series of pictures and respond Byes^ to targets and Bno^ to non-targets. The categories of indoor and outdoor pictures were counterbalanced across participants, with targets being members of the infrequent category (e.g., outdoor pictures) and occurring 10% of the time. Non-targets were from the frequent category (e.g., indoor pictures) and appeared 90% of the time. The authors hypothesized that, in general, faster responses reveal lapses in external focus (deBettencourt, Cohen, Lee, Norman, & Turk-Browne, 2015; Robertson, Manly, Andrade, Baddeley, & Yiend, 1997). Consistent with this claim, memory for target items that were preceded by faster RTs was worse than memory for those preceded by slower RTs. This result suggests that lapses in attention have predictable downstream costs on memory, and supports the notion that control over the onset of study material should benefit learners. Learners will benefit from such control to the degree that they can successfully monitor fluctuations in attention and time the presentation of stimuli to them.
Controlling the timing of study events
Learners allocate study time in a manner consistent with the expected demands on retrieval and on their goals. Instructions to emphasize accuracy over speed increase study time across the board (Dunlosky & Thiede, 1998). They also spend more time on a list if they expect a (difficult) free-recall test than an (easier) cued-recall test (Finley & Benjamin, 2012). These study policies apply to individual memoranda as well: Learners selectively spend more time studying difficult items when expecting free recall (in this case, when compared to recognition; Mazzoni & Cornoldi, 1993). In general, learners choose to restudy difficult materials over easy ones (Son & Metcalfe, 2000), indicating that they may be trying to achieve a particular criterion level of learning for each item (Le Ny, Denhiere, & Taillanter, 1972). However, this effect is reversed when test standards are relaxed (Dunlosky & Thiede, 1998) or when each individual study event is short (Son & Metcalfe, 2000).
Study time is, unsurprisingly, also affected by the likelihood that the item will be tested. Items that are less likely to be on the test are studied for shorter amounts of time (Dunlosky & Thiede, 1998). This differential allocation of study time is more effective in simultaneous presentation than in sequential presentation (Middlebrooks & Castel, 2018). Thus, both expectations and the format of the to-be-learned
information constrain the ways in which subjects adapt their study strategy.
There are two extant theories of how learners choose to allocate their time to study material, and one new theory introduced here. According to the discrepancy reduction view, individuals cease studying an item when it has reached a certain criterion of learning (Dunlosky & Thiede, 1998). Criteria vary across individuals and can change depending on the context. According to this theory, items of higher difficulty will take longer to reach criterion, leading to longer study times. In contrast, the region of proximal learning view suggests that people focus on items that are within their grasp of being immediately learned and monitor the rate of return of ongoing study (Metcalfe & Kornell, 2003). Perseverance on study items depends on the amount of information gained per time unit of study. When the rate of return falls below a certain threshold, study ceases. The rate of return is high for easy items but quickly reaches a plateau, whereas more difficult items take longer to reach that plateau. Both theories predict that more time will be spent on harder items.
In the current studies, we consider the hypothesis that learners monitor inherent and unavoidable fluctuations in attention, and that variations in study time in part reflect controlled perseverance through dips in attention. According to this view, the finding that learners spend more study time on difficult materials may reveal that those materials elicit greater disengagement of attention. Evidence suggests that difficult reading material elicits more mind wandering than easy reading material (Feng, D'Mello, & Graesser, 2013). Of course, nothing about this hypothesis speaks against either of the theoretical viewpoints listed above; learners may well monitor ongoing learning (or rate of learning) and also perseverate through lapses of attention.
Effectiveness of self-directed learning
In general, giving learners control over aspects of study improves learning and memory (Fiechter et al., 2016; Finley, Tullis, & Benjamin, 2010). This is true for control of restudy opportunities (Kornell & Metcalfe, 2006), for control of category learning (Markant & Gureckis, 2014), and for control over the duration of study (Tullis & Benjamin, 2011). It is the latter result that is closest to the paradigm we develop here, so we describe it in more detail. Tullis and Benjamin (2011) compared memory for words in a group of subjects who determined how long to spend on each word with a yoked control that had the same total study time and did not control the pace of presentation. They also included a condition (in Experiment 2) in which the display duration varied across items according to an algorithm designed to maximize retention. In both cases, the group that exerted control over the pace of presentation outperformed all other groups. Similar benefits of self-pacing have been found in other stimulus domains such as faces (Tullis, Benjamin, & Liu, 2014 ) and paired associates (Koriat, Ma ' ayan, & Nussinson, 2006 ). Interestingly, the benefit of self-pacing is conditional upon the strategy implemented. Only subjects who spent more time on normatively difficult items benefited from the freedom to self-pace (Tullis & Benjamin, 2011 ). The freedom accompanying self-paced learning provides an opportunity for learners to adopt a variety of study strategies, some of which are apparently more fruitful than others.
One way of thinking about these results is that learning is enhanced when learners control the offset of learning events. This enables them both to continue study to a desired criterion level and to Bride out^ lapses of attention. In the current experiments, we give subjects control over the onset of learning events. If learners who control the duration between learning events achieve superior performance over a yoked control, then it would more strongly implicate an ability to monitor fluctuations in attention and adjust study pacing accordingly. Because learners in these experiments are only controlling the time in which the memoranda are absent, it is unlikely (or less likely) that they are monitoring ongoing learning with respect to a criterion.
There is one finding in the literature that suggests that control over onsets may be valuable in controlling learning. Markant, DuBrow, Davachi, and Gureckis (2014) demonstrated that control over the shifting of windows within a spatial self-exploration task (Voss, Gonsalves, Federmeier, Tranel, & Cohen, 2011) enhanced learning relative to a passive control. Perceived control over learning environments has been linked to enhanced memory through interaction between the striate and the hippocampus (Murty, DuBrow, & Davachi, 2015). The advantage of control has also been characterized as key to the benefit of active learning (Markant, Ruggeri, Gureckis, & Xu, 2016). In the present studies, we employ a different yoked control group and apply a similar logic to simple listlearning paradigms.
Experiment 1
Experiment 1 compares memory for subjects with and without control over study material. Those who were given control, had the freedom to determine the onset or offset of item presentation. Control over the offsets of study memoranda was included to ensure that the results of Tullis and Benjamin (2011) generalize to a population recruited over the Internet, to deployment of the procedure over the Internet, and to small differences in materials. Figure 1 demonstrates the paradigm used for this experiment. We directly compare this self-pacing group to the same yoked control used in Tullis and Benjamin (2011) and also to a new group that controls the onsets of study words and is also yoked to the self-pacing group.
paced conditions saw each stimulus for 2 s because this was the average time spent on each stimulus for the self-paced offset condition. Subjects in the self-paced onset condition were given the freedom to choose when the stimuli appeared, allowing them to make the study phase longer or shorter than the other conditions
Participants
Three hundred and fourteen participants were collected using Amazon Mechanical Turk and compensated US$1 for their time. Fourteen subjects in the fixed-rate condition were excluded because they left the experiment window and missed trials during the study phase. Subjects who were dropped were re-collected and yoked to same self-paced offset subject. The final dataset consisted of 300 subjects, 100 per condition (age: 19–71 years; gender: 165 female, 131 male, one other, and three did not respond; race: 23 Asian, 31 Black, 241 White, four other, and one did not report). Planned sample size was based on a power analysis using the effect size between selfpacing offset and fixed-pace conditions reported in Tullis and Benjamin (2011). For this simulation, two groups of data were simulated based on a normal distribution separated by an effect size of 0.45. Values from this normal distribution were logistically transformed to generate values between 0 and 1. These values represented population hit rates for individuals on the recognition test. Those individual hit rates were used as binomial probability to stimulate success on 80 trials to simulate binomial variability with a study list of this length. The sample hit rate for each simulated subject was computed as the mean of the simulated data. The two groups were then compared using a t-test and the associated p-value was stored. This was repeated 1,000 times for each sample size from 100 to 400. Power was calculated as the probability of obtaining p < .05 in the 1,000 simulations. A sample size of 300 (100 per condition) provided 80% power.
Materials
Subjects studied 80 of 160 concrete nouns selected from the MRC Psycholinguistic Database (Wilson, 1988). The remaining 80 words were used as distractors in the recognition test. The 160 words ranged on measures of familiarity (range: 252–645, mean = 527.52, SD = 81.83), concreteness (range: 330–641, mean = 507.98, SD = 62.31), and imaginability (range: 324–632, mean = 535.91, SD = 65.15). Materials and data are available online via Open Science Framework (https://osf.io/ pt4fc/). For each triad of subjects, 80 studied words were randomly selected and presented to serve as the study items. All 160 items were used on the test. Both lists were randomized for each triad, but the order of the words in the study and test lists was identical for subjects within that triad. An additional four words were included at the beginning and end of the list to serve as primacy and recency buffers. These items were not included in the analysis and were the same for all participants.
Design
This experiment used a 3 (self-paced offset vs. self-paced onset vs. fixed-rate) between-group design. Item study times for subjects in the self-paced onset and fixed-rate conditions were yoked to subjects in the self-paced offset condition, as detailed below.
Procedure
Subjects were run online using Amazon Mechanical Turk. Once a subject completed the self-paced offset condition, subsequent subjects for that triad were randomly assigned to the self-paced onset or fixed-pace condition. This pattern continued until 100 triads of subjects were collected. All subjects were instructed to study 80 words for a later test. Subjects in the self-paced offset condition were able to control the offset of the words. Each word appeared on the screen until the subject pressed the spacebar. Once the spacebar was pressed, the word disappeared, and the screen was blank for 1 s before the next word appeared. Thus, the duration of the word display was under subject control, but the time spent between each word was fixed. Once all 80 words were presented, the average time spent on the 80 studied words was calculated and used as the study time for each word for subjects in the self-paced onset and fixed-rate conditions. The total time spent on words is thus identical across the yoked groups but distributed differently. Subjects in the self-paced onset condition were able to control the onset of each word. The screen remained blank until the subject pressed the space bar to view the next word. In the fixed-pace condition, the time between words was fixed at 1 s. Subjects in the fixed-rate condition did not have control over either the onset or offset of the study material. Figure 1 indicates the pattern of yoking across these conditions.
A word is in order about the choice of control group. In other work, yoked control subjects experience the exact same sequence and timing of events as those in self-directed groups (e.g., Markant & Gureckis, 2014). Such a procedure is in some sense a Btruer^ yoke. However, in list learning, we have found in previous work that variable and unanticipated offsets of words actually impair learning relative to a control group that views words displayed for equal durations. Consequently, we chose to use this control to ensure that the benefits of selfcontrol are not simply due to the jarring nature of uncontrolled onsets and offsets of memoranda.
After studying the list of words, all subjects completed a 30-s distractor task where they did simple arithmetic. Then all subjects were given a recognition test. The recognition test consisted of 80 old words that were studied previously and 80 new words that were not presented in the study phase. Subjects were told to identify if the word presented was old or new, and gave confidence judgements on a scale from 1 to 4 with (1) BI am certain I have not seen that word,^ (2) BI think I have not seen that word,^ (3) BI think I have seen that word,^ and (4) BI am certain I have seen that word^. These confidence judgements allow da to be calculated, a measure of discrimination that is based on the unequal-variance signaldetection theory (Green & Swets, 1966).
Results
Statistics reported here using null hypothesis significance testing (NHST) use the significant level of alpha < .05. Bayes factors (BF10) are reported using the non-informative Jeffreys prior on the variance of the normal population and a Cauchy prior on the standardized effect size (r=0.707), and are only considered probative if BF10 > 3 or BF10 < 0.3 (Jeffreys, 1961; Rouder, Morey, Speckman, & Province, 2012).
Condition analysis Mean hit and false alarm rates for subjects are reported in Table 1. Six subjects were removed from analysis due to an inability to calculate da from their confidence ratings: four in the fixed-pace condition, one in the self-paced offset condition, and one in the self-paced onset condition. This difficulty arises when subjects do not use a sufficient number of cells within the confidence scale.
Replicating Tullis and Benjamin (2011), self-paced offset subjects exhibited higher discriminability (M = 1.17, SD = 0.79) than fixed-pace subjects (M = 0.88, SD = 0.68, t(93)=2.78, p = .007, BF10 = 4.21). However, the self-paced onset condition (M = 1.02, SD = 0.80) did not lead to higher discriminability than either the self-paced offset (t(93) = 1.35, p = .180, BF10 = 0.27) or fixed-pace conditions (t(93)=1.30, p = .196, BF10 = 0.26). In both of these latter cases, the evidence favored the null hypothesis.
Relationship between metacognitive control and memory
For subjects in the self-paced offset condition, we investigated the relationship between self-paced study time and the hit rate for each word. We did this on a subject-by-subject basis so as to deconfound the large individual differences in study time and memory. Average McFadden's R 2 for logistic regression across subjects was larger than 0 (M = 0.03, SD = 0.05, t(99) = 4.90, p <.001, BF10 = 3,898.72), indicating strong evidence for a small positive relationship between study time and memory. A similar analysis was conducted for self-paced onset subjects to evaluate whether the time spent before or after the word influenced the probability of a hit on the recognition test. Regression coefficients were reliably but only slightly greater than 0 for time spent before (M = 0.02, SD = 0.03, t(99) = 6.94, p <.001, BF10 = 2.3 × 10 7 ) and after (M = 0.02, SD = 0.03, t(99) = 5.71, p < .001, BF10 = 102,498.9). Results from these models indicate that the timing of study is related to memory, but it is impossible to deconfound the effects of individual word characteristics in this relationship.
The timing of material for each subject in the selfpaced offset and self-paced onset conditions is shown in Fig. 2, and provides a visualization of individual differences in pacing strategies. Subjects who took a longer total time to encode the list achieved higher discriminability in the self-paced offset condition (r(97) = .53, p < .001, BF10 = 1.03 × 10 6 ). Evidence for this relationship
Table 1 Percentage of hits and false alarms (and standard deviations) for all four experiments
was ambiguous in the self-paced onset condition (r(97) = .10, p = .332, BF10 = 0.36) and in the fixed-pace condition (r(94) = .11, p = .283, BF10 = 0.40).
Experiment 2
In Experiment 1, self-pacing offsets of study material was found to benefit memory, but self-pacing of onsets was not. However, the fixed-pace condition may not have been an adequate control group. The study phase was longer in the self-paced onset condition (M = 257.02 s, SD = 189.76 s) than in the fixed-pace condition (M = 229.12 s, SD = 145.87 s, t(99) = 3.22, p = .002, BF10 = 9.92). This finding is reminiscent of the labor-in-vain effect, whereby increased time with study material does not lead to higher performance (Nelson & Leonesio, 1988). Although the words were exposed for the same amount of time across conditions, the uncontrolled timing between words is a potential confound. The purpose of Experiment 2 is to investigate the effects of self-pacing onsets using a control condition more appropriately tuned to the timing of gaps between words. Using a different yoking procedure also allows a modest generalization of the present findings. The fixedpace condition in Experiment 2 is yoked to subjects in the self-paced onset condition, allowing for a cleaner comparison.
Participants
The sample size plan was to run subjects until a Bayes Factor of 3 (or 0.33) was reached in comparing the two conditions, or until 200 subjects were collected. Optional stopping rules using Bayes Factors are acceptable because data peeking does not affect error rates (Lindley, 1957 ; Rouder, 2014 ). Using this rule, 81 participants were sampled using Amazon Mechanical Turk and compensated US$1 for their time. Three subjects were excluded because they missed trials during the study phase by leaving the experiment window. This occurred only in the fixed-rate condition where a response is not required to continue through the list. Thus, subjects who were dropped were re-collected and yoked to same self-paced subject. The final dataset consisted of 39 pairs of subjects (age: 18 – 58 years; gender: 43 female, 34 male, and one did not indicate; race: five Asian, 11 Black, 61 White, and one other)
Materials
Study materials were identical to Experiment 1. Yoked pairs received the same order of words for the study phase and recognition test.
Design
This experiment used a 2 (self-paced onset vs. fixed-rate) between-group design. Subjects in the fixed-rate condition were yoked to subjects in the self-paced onset condition.
Procedure
All subjects were instructed to study 80 words for a later test. The duration of each word presentation was fixed at 1 s. Those in the self-paced onset condition were able to control the onset of each word. The screen remained blank until the subject pressed the spacebar to view the next word. Thus, the timing
of the word onset was under subject control, and the offset was fixed. Subjects in the fixed-rate condition did not have control over the onset of each word. Instead, the inter-stimulus interval time was determined by their yoked partner in the self-paced onset condition. The time between words in the fixed-rate condition was the average length of time between the 80 studied words of the self- paced onset subject. The total time spent between words is thus equivalent across the pairs of subjects but distributed differently. A visualization of this yoking can be seen in Fig. 3 . After studying the list of words, all subjects completed a 30-s distractor task in which they did simple arithmetic. Then all subjects were given a recognition test in the same format as Experiment 1 .
stimulus, and 1 s for the third stimulus. On average, this participant spent 2 s between each word. Subjects in the fixed-paced condition were given 2 s between each word to equate overall study periods between the two conditions
Results
Condition analysis Hits and false alarms are reported in Table 1. Three pairs of subjects were removed from analysis because we were unable to calculate da: one in the fixed-pace condition and two in the self-paced onset condition. Selfpaced onsets (M = 0.95, SD = 0.69) did not lead to higher discriminability than fixed-pacing (M = 0.93, SD = 0.61, t(35) = 0.15, p = 0.879, BF10 = 0.18). The evidence favored the null hypothesis of no difference between conditions, and led to cessation of data collection at N = 81.
Relationship between metacognitive control and memory
The relationship between the time spent before and after a word (see Fig. 4) and probability of a hit was examined using a logistic regression for subjects in the self-paced onset condition. Average McFadden's R 2 value across subjects was again reliably, but minimally, larger than 0 for time spent
Experiment 2 did not show a benefit of self-paced onsets. Experiment 3 provides a replication of this test with a lab-based sample of undergraduates. The only procedural difference is that study times for Experiment 3 were increased to 4 s, making time spent with the
before (M = 0.02, SD = 0.04, t(38) = 3.25, p = .002, BF10 = 13.93) and after the word (M = 0.01, SD = 0.02, t(38) = 3.88, p < .001, BF10 = 69.97).
Subjects who spent more time between words enjoyed an overall longer study period. Those who spent longer on average between words attained higher discriminability in the selfpaced group (r(36) = .41, p = .011, BF10 = 5.90). This relationship was ambiguous for the fixed-pace group (r(36) = 0.14, p = 0.389, BF10 = 0.50).
Experiment 3
material longer than both Experiment 1 (M = 1.87 s) and Experiment 2 (M = 1 s).
Participants
Because running subjects in the laboratory requires advance planning and scheduling of visits, we did not implement optional stopping but rather used the sample size logic employed in Experiment 1. Two hundred subjects (age: 18–24 years; gender: 116 female and 84 male; race: 72 Asian, 15 Black, 106 White, three Native American, and 13 other) from the University of Illinois participated in the experiment in exchange for course credit.
Materials
Study materials were the same as Experiment 1.
Design
This experiment used a 2 (self-paced onset vs. fixed-rate) between-group design. Subjects in the fixed-rate condition were yoked to subjects in the self-paced onset condition. All aspects of the design were the same as Experiment 2.
Procedure
Subjects were run on desktop computers in individual rooms. In each room, the first subject was assigned to the self-paced onset condition and the consecutive subject to the fixed-rate condition. The assignment of conditions continued to alternate, with the fixed-rate condition always following the self-paced onset condition. The procedure was similar to Experiment 2, except that words were presented for 4 s instead of 1 s.
Results
Condition analysis Hit and false alarm rates are reported in Table 1. A total of six pairs of subjects were excluded in analysis due to inability to calculate da from their data: two subjects in the self-paced onset and four subjects in the fixed-pace condition. Subject analysis revealed no difference in discriminability between the self-paced onset (M = 1.53, SD = 0.92) and the fixed-pace conditions (M = 1.55, SD = 0.83, t(93) = 0.22, p = .823, BF10 = 0.12). The evidence strongly favored the null hypothesis of no difference between conditions.
Relationship between metacognitive control and memory
Data were only saved for average time spent between words, not variations for each word in the study phase. Thus, a relationship between time spent before and after a word and probability of a hit could not be conducted for this experiment. Subjects who had longer average timing between words in the self-paced onset achieved higher discriminability ( r (96) = .29, p = .004, BF 10 = 12.28). This relationship was ambiguous for the fixed-pace condition ( r (94) = .13, p = .224, BF 10 = 0.47).
Experiment 4
Across the first three experiments, self-pacing the onset of stimuli did not provide an advantage to memory. It is possible that words, which can be verbally rehearsed, may not benefit from control of timing because their absence does not prohibit ongoing rehearsal. In Experiment 4, we selected study materials that make ongoing rehearsal much more difficult: faces. Evidence from previous research demonstrates that self-pacing offsets of face presentations does benefit memory (Tullis et al., 2014). A failure of control over onsets of faces would generalize the null findings from the prior experiments to a category of stimuli for which concerns about rehearsal are minimized.
Participants
A total of 219 participants were collected using Amazon Mechanical Turk and compensated US$1 for their time. Subjects were excluded if they left the task during the study phase (19 subjects). This only occurred in the fixed-pace condition and thus subjects were re-yoked. The stopping rule was the same employed in Experiment 2. The final dataset consisted of 200 participants (age: 19–86 years; gender: 112 female and 83 male; race: 17 Asian, 22 Black, 156 White, four other, and one didn't respond).
Materials
Subjects studied faces that ranged from 18–34 years of age, 80 of which were female and 80 of which were male. For each gender, 16 were Black and 64 were White. All faces were placed against a white background and the subject wore a black shirt. There were eight buffer items, four each at the beginning and end, to mitigate the effects of primacy and recency. Buffer items consisted of four male and four female White faces and were not included in the analysis. The face database used was created by Minear and Park (2004).
Design
This experiment used a 2 (self-paced onset vs. fixed-rate) between-group design. Subjects in the fixed-rate condition were yoked to subjects in the self-paced onset condition.
Procedure
The procedure was very similar to Experiment 2. Instead of words, subjects studied faces with a presentation rate of 1 s.
Results
Condition analysis One pair of subjects were removed due to inability to calculate da from a subject in the self-paced onset condition. Analysis revealed ambiguous results for the difference in discriminability for self-paced onset (M = 0.76, SD = 0.55) and the fixed-pace condition (M = 0.65, SD = 0.52, t(98) = 1.64, p = 0.10, BF10 = 0.41), a result that is not highly probative but that favors the null.
Relationship between metacognitive control and memory
For subjects in the self-paced onset condition, the relationship between time spent before and after a studied face (see Fig. 5) and the probability of getting a hit was investigated. This was done subject-by-subject to control for individual differences in study time and memory. The average McFadden's R 2 for a logistic regression value for time before (M = 0.02, SD = 0.03, t(99) = 5.40, p < .001, BF10 = 28,442.12) and time after (M = 0.02, SD = 0.03, t(99) = 6.25, p < .001, BF10 = 1.0 x 10 6 ) was reliably greater than 0, but only slightly.
Whenfacestimuliwereused,therewasnocorrelationbetween the average time spent between faces and discriminability for either the self-paced onset (r(97) = 0.08, p = .418, BF10 = 0.32) or the fixed-pace condition (r(97) = -0.08, p = .408, BF10 = 0.33).
Discussion
The current set of experiments sought to investigate the ability of individuals to monitor attentional fluctuations and control the timing of study material to their advantage. Previous research has found a benefit for controlling duration of study material (Tullis & Benjamin, 2011). This benefit might be based on successful monitoring of the progression of learning, over control over attention and perseveration through lapses thereof, or a combination of both. If individuals are able to monitor moments of focused attention, then control over the onsets of study events should improve memory. Experiment 1 replicated the finding that control over the duration of study material benefits memory, but failed to find a benefit for having control over the onset of study material. Using a different comparison group, Experiment 2 also failed to find a benefit in memory for subjects who had control over stimulus onset compared with those who did not. In Experiment 3 , stimulus duration was increased and data were collected under controlled conditions in the lab. Still, control over stimulus onset did not lead to superior memory. Experiment 4 sought to extend this to a different set of stimuli (pictures of faces) that have previously been found to benefit from control of stimulus duration (Tullis et al., 2014 ). The findings favored the null, but provided inconclusive evidence for the role of self-pacing onset of studied faces. Together, these findings indicate strongly that individuals are unable to monitor attention fluctuations in a manner that materially impacts study behavior and improves memory.
To further examine the effect of self-pacing stimuli onset on memory, we conducted a mini-meta-analysis on the four experiments reported in this article. A visualization of the effect size comparing self-paced onset and fixed-pace conditions is shown in Figure 6. Overall, control over self-pacing onset of stimuli does not impact memory (d=0.09, 95% confidence interval (CI) = [-0.04, 0.23], t(322) = 1.30, p = 0.196, BF10 = 0.14). However, an item analysis yielded an intriguing result, shown in Fig. 7. When an item was in the self-paced onset condition, memory for that item was better than when it was in the fixed-pace condition (d=0.17, 95% CI = [0.11, 0.24], t(639) = 5.70, p < .001, BF10 = 313,351). The overall effect size is small, and it is difficult to discern if this effect
alone demonstrates a benefit to self-pacing stimuli onset. Why this result should be apparent when examining items but not subjects is unclear. Taken together with the correlational results indicating a relationship between time spent around each study word and memory for that study word, it is possible that there are in fact advantages to control over onsets but that they are small and undetectable in paradigms like the one we have employed here.
study material. The duration of the study phase might not allow attention to fluctuate to a degree that would negatively impact memory. Longer study periods might be superior for addressing fluctuations in attention. It is also possible that the material used was not cognitively demanding enough to motivate a need to monitor attention. Clearly, more work across a variety of conditions and paradigms will be needed to fully understand the impact of self-pacing the onset of stimuli.
One concern in the present work is that the timing of study phases in these experiments was open-ended and subjects were easily able to finish within 5–10 min. When stimuli are presented for brief periods of time, as they were in these experiments, there could be a lesser benefit for self-pacing of
Control over the flow of information is a central component of the Atkinson and Shiffrin (1968) model of memory. Research on metacognitive control indicates that there are many ways in which we control that flow, and additionally demonstrates that we are mostly effective at doing so in such a
way that meets our cognitive needs. Here we have sought evidence that humans can monitor fluctuations in attention and time encoding in such a way so as to mitigate negative consequences of those fluctuations. We failed to find evidence that control over the timing of onsets of information is actually beneficial. This is an interesting contrast to the consistent and reliable beneficial effects of control over offsets of information.
Author Note All data and materials are available online via the Open Science Framework (https://osf.io/pt4fc/).
Publisher's note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.
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To Doc Sanders and Sandy Bratton,
Finally after nearly 3 months of dizziness I was able to lay down at night without the bed going round and round (Aug 29). It felt good.
After 2 treatments I'm feeling lots better and can get around without holding on to everything when I walk.
I know now where to go when I need help.
Thanks to both of you for your help and kindness I received.
It's great to be able to (do) things without feeling like you'll fall over and to be able to move around good.
I will highly recommend you.
Thank you,
Maxine Cox Crawfordsville
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GYMNASTICS PSYCHOMOTOR KIT
Rev. 0 02/2018
A combination of instruments such as sticks, cones, hoops, balls, which qualified staff uses to create psychomotor courses or motor programmes in gyms.
THE KIT IS MADE OF
FISIOTECH SRL
VAT Number IT 03765100262 - Rea TV 296956
GYMNASTICS PSYCHOMOTOR KIT
Rev. 0 02/2018
ACCESSORIES FOR KIT
Registered office: Via Valdoni, 19 - 31013 Cimavilla di Codognè (TV) - ITALY
Tel. +39 0438470342 - Fax +39 0438478762 - mail : [email protected] - pec : [email protected]
VAT Number IT 03765100262 - Rea TV 296956
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OSGA's Georgian Language Programme
Course: Georgian for beginners: Trinity Term
Tutor: Lia Chokoshvili
Language level: A1
Course content:
This course is designed for the students who have no prior knowledge of the Georgian language. The aim of the course is to give a student sufficient background to enable them to achieve active fluency in Georgian.
Grammar
- Inversive verb "to Have" in present tense
- Adverbs of time
- Time
- Verb "to be"in present, past and future
- Dative case postpositions
- ''To go" with preverbs ( function of preverbs)
- Instrumental case
- Instrumental case postpostions
- Imperfect
- Conjugation of some active verbs in the present and imperfect
Topics
- Talk about study and work
- My house
- Food and drink
- Daily routine
Learning outcomes:
By the end of Trinity term, students should be able to manage basic everyday conversation and read and write simple texts.
Course book:
Basic Georgian (Third Edition 2013) by Nana Danelia
The course book will be provided by the tutor. Online material will be used during the year - http://geofl.ge (Georgian as a foreign language) online course has been introduced by the Ministry of Education of Georgia.
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PAYMENTS & DEPOSITS
Deposit:
A 20% deposit of total fare is required for all passengers
*Deposit payment does not constitute a guaranteed booking. Deposit amount will be forfeited, and booking are subject to cancellation if full/final payment is not received by the above stated period.
CANCELLATIONS & REFUNDS
Cancellation Fee Schedule:
Amendment of reservation is considered a cancellation and the necessary fees as per above will still apply on top of the new fare. Change name or replacement with penalty at S$75.
Any amendments have to be make at least 7 days prior to departure and subject to cruise line approval
A service charge will be added each day to Guests' accounts based on person per night
Replacement/Name Changes:
Service Charge:
Service Charge (International Cruise):
Age Restrictions on Travel:
Infant:
Pregnancy:
Passport & Visa Requirement:
*Costa neoRomantica - USD13.50 Balcony Category and below, Suite Category and above at USD16.50 per person per night sailings in Asia, service charge rate in full apply to guest over the age of 13 and 50% for children between the age of 4 and 12 will be charged 50% of the above rates (subjected to change). There is no service charge for children under the age of 4.
The predetermined daily amount depends on the date and the destination of the cruise, daily service charge at Euro 10 / USD12.50 (subject to change).
The service charge applies to guest over the age of 14*. There is no service charge on any cruise for children under the age of 4, children between the ages of 4 and 14 will be charged 50% of the above rates*.
Booking for passengers who are minors have to be made by parents. Guardians or other adults in possession of the necessary power to do so, and will be accepted only if the minor is to be accompanied by at least one parent or another adult, who will take on full responsibility in this regard.
Infant will not permit to board if they are less than 6 months old on the first day of cruise. For the cruises longer than 15 days that are related to following destinations the minimum age is 12 months; Africa, Far East, Indian Ocean and Unique.
Passengers are not permitted to travel if they have entered the 24 th week of their pregnancy or as a result of childbirth. Please note that the ship's medical facilities are limited for treating pregnant women and newborn infants.
It is the Customer's sole responsibility to ensure that he/she has a valid passport with minimum 6 months' validity from date of the last departure point as well as the necessary visas, vaccinations, health certificates and all necessary travel documents as required by the various government authorities of the country (ies) to be visited. (e.g. exit/re-entry permit, work permit, social visitor pass etc).
Refund PolicyPayment Mode:
For cheque or cash payment, refund will be made in the form of a cheque and processed within 2-4 weeks from date of written cancellation. For credit card payment, refund will be made through the credit card company and processed within 4-6 weeks. During peak periods, the refund process may be longer due to the increase in transactions.
Please take note that cruise line has the right to change the itinerary of the cruise without prior notice due to force majeure or for safety reasons associated with the ship or navigation.
___________________________________________________________________________________________________________
Please Note:
1. Check-in will close 2 hours prior to the scheduled sailing time. Guests whom arrive late will be denied boarding.
2. Please provide us with the exact name as printed on your passport and please check your invoice to ensure that the names are entered correctly otherwise you may not allow to board a cruise ship.
3. We will comply with all relevant obligations under the Personal Data Protection Act 2012 ("PDPA") governing the collection, use, disclosure and care of your personal data in accordance with our privacy statement, a copy of which can be found
at www.ChanBrothers.com/Privacy.
4. Other terms and conditions apply: https://www.chanbrothers.com/PackageTourTnCs
I understood and agreed above terms and conditions.
Guest's Name: _______________________ Signature/ Date: _____________________ Booking Reference: _________________
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Privacy Notice – Research
Plain English explanation
This practice participates in research. We will only agree to participate in any project if there is an agreed clearly defined reason for the research that is likely to benefit healthcare and patients. Such proposals will normally have a consent process, ethics committee approval, and will be in line with the principles of Article 89(1) of GDPR.
Research organisations do not usually approach patients directly but will ask us to make contact with suitable patients to seek their consent. Occasionally research can be authorised under law without the need to obtain consent. This is known as the section 251 arrangement 1 . We may also use your medical records to carry out research within the practice.
We share information with the following medical research organisations with your explicit consent or when the law allows: [insert names eg Clinical Practice Research Datalink]. (To be completed when required)
You have the right to object to your identifiable information being used or shared for medical research purposes. Please speak to the practice if you wish to object.
Dr A Bhargava GMC: 3367630 Dr A Wilkinson GMC: 3194663 Dr K Olivier GMC: 4477473
Dr M Morgan GMC: 6121697 Dr L Hill GMC: 4621643 Dr A Slater GMC: 2846392
Southgate Medical Group
137 Brighton Road
Crawley
West Sussex
RH10 6TE
4) Lawful basis for processing or sharing
Identifiable data will be shared with researchers either with explicit consent or, where the law allows, without consent. The lawful justifications are;
1. Section 251 and the NHS Act, Health Research Authority. https://www.dropbox.com/s/sekq3trav2s58xw/Official%20Section%20251%20guidance%20Health %20Research%20Authority.pdf?dl=0
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air pictorial
Journal of the Air League
‘BRITAIN ENTERS THE SPACE AGE’, FULL REPORT
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Tuesday, June 16, 2020
City of Key West, FL
Action Minutes - Final
City Commission
5:00 PM
VIRTUAL MEETING
ADA Assistance: It is the policy of the City of Key West to comply with all requirements of the Americans with Disabilities Act (ADA). Please call the TTY number 1-800-955-8771 or for voice 1-800-955-8770 or the ADA Coordinator at 305-809-3811 at least five business days in advance for sign language interpreters, assistive listening devices, or materials in accessible format.
CALL MEETING TO ORDER - 5:04 P.M.
ROLL CALL
Commissioner Davila Absent 1 -
Commissioner Hoover, Vice Mayor Kaufman, Commissioner Lopez,
Commissioner Wardlow, Commissioner Weekley and Mayor Johnston
Present 6 -
PLEDGE OF ALLEGIANCE TO THE FLAG
APPROVAL OF AGENDA - The agenda was unanimously approved as amended.
PRESENTATIONS
Key West Bight Preservation Society (Tenants Association)
- Barry Gibson
Bight Presentation
Attachments:
Received and Filed
Army Corps Coastal Storm Risk Study Update
Attachments: Presentation
Received and Filed
City Hall 1300 White Street Key West FL 33040
N/A
4
City Attorney's Report
City Manager's Report
CONSENT AGENDA*
*Item is considered to be routine and enacted by one motion with no separate discussion, unless requested by a Commission Member or citizen, in which event the item will be removed from the order and considered in its normal sequence on the agenda. The City of Key West may take action on any matter during this meeting, including items that are not set forth within this agenda.
MINUTES
*June 2, 2020
Attachments: Minutes
Passed
*Approving a Task Order under the City's General Utilities Services Contract with D.N. Higgins, Inc. in a total amount not to exceed $75,652.17 for liveaboard water main replacement at City Marina; Authorizing the City Manager to execute any necessary documents upon consent of the City Attorney.
Resolution
Executive Summary
Proposal
Contract
Res #18-322
Res #15-292
Attachments:
Passed
Enactment No: Res 20-101
RESOLUTIONS
6
*Approving the attached License Agreement between the City of Key West and the Housing Authority of the City of Key West for the use of a portion of Fort Street and Amelia Street.
Resolution
Fort Street Executive Summary-2020
License Agreement
Exhibit A to License Agreement
Attachments:
Passed
Enactment No: Res 20-102
*Ratifying Emergency Change Order Number 1 approved by the City Manager on June 8, 2020 in the amount of $124,529.33, as provided for under Section 2-845 and 2-797(2) of the Code of Ordinances, to Charley Toppino & Sons, Inc. for additional tasks related to the Duval Street Improvements Project; Authorizing necessary budget adjustments and transfers; Authorizing the City Manager to execute any necessary documents upon consent of the City Attorney.
Resolution
Executive Summary
Emergency CO
Change Order History
CO#1-CTS
CTS Contract
Res 17-106
Res 19-054
Attachments:
Passed
8
*Approving the attached "State of Florida Department of Transportation Public Transportation Grant Agreement" (PTGA) between the Florida Department of Transportation (FDOT) and the City of Key West for emergency relief CARES Act funding 100% federal share through FTA 5311 Rural Areas Program funding (Contract G1M61/Financial Project Number 447463-1-84-01) in an amount of up to $1,568,601.00; Authorizing necessary budget transfers and adjustments.
Resolution
Executive Summary
PTGA (G1M61)
Resolution 19-334 Designation of Authority
Attachments:
Passed
Enactment No: Res 20-104
*Authorizing the purchase for the fire department of one (1) 2020 Braun Express Plus ambulance from Ten-8 Fire Equipment, Inc., pursuant to government contract (FL Sheriffs' Association/FL Association of Counties Contract FSA 20-VEF14.01), pursuant to Section 2-797(3) of the Code of Ordinances in a total amount not to exceed $185,758.00 (inclusive of prepayment performance bond); Authorizing necessary budget transfers and adjustments.
Resolution
Executive Summary
Key West Braun Proposal 6-2-20
FSA 20-VEF14.01 Ambulance Specs 01
FSA 20-VEF14.01 Terms and Conditions
FSA Specification Group Ambulance type 1
FSA20-VEF14.01 Contract Award Letter
Key West Braun Options List
Rescue 4 Trade-in docs
Attachments:
Passed
Approval of the Consent Agenda
A motion was made by Commissioner Weekley, seconded by Commissioner Lopez to Approve the Consent Agenda. The motion was carried unanimously.
Supporting the petitions for Administrative Hearing submitted on June 4, 2020 by Florida Keys Aqueduct Authority (FKAA) and the Florida Keys Fishing Guides Association (FKFGA) to address the April 13, 2020 Notice of Intent by the Florida Department of Environmental Protection (FDEP) to issue a permit to Florida Power & Light (FPL) to operate wastewater treatment and effluent disposal facilities (known as the cooling canals) at the Turkey Point Power Plant; Authorizing the City Attorney to expend available resources if necessary in support of FKAA's position.
Attachments: Resolution
Petition FKAA v. FPL FDEP Stamped Copy
FKFGA Petition
FKAA Press Release 6-4-20
Monroe BOCC Turkey Point FKAA Petition Item 6420 Agenda
A motion was made by Commissioner Lopez, seconded by Commissioner Weekley, that the Resolution be Passed with language added to direct city clerk to send copy of passed Resolution to the Mayor and each Commissioner of Miami-Dade County and the South Florida Regional Planning Council. Also requesting a presentation from Florida Keys Aqueduct Authority addressing the subject. The motion passed by unanimous vote.
10
Approving and authorizing the repair of the roof at 3420 Northside Drive by Trademark Builder, LLC as described in the attached price quote dated November 16, 2019, in an amount not to exceed $56,300.00 in the best interests of the City, pursuant to Section 2-797 (4) (b) of the Code of Ordinances; Authorizing any necessary budget adjustments; Authorizing the City Manger or designee to execute any necessary documents upon consent of the City Attorney.
Resolution
Executive Summary
Trademark Builders LLC Proposal
K2 Summit Proposal
Roofing by Ruff Inc Proposal
Attachments:
A motion was made by Commissioner Lopez, seconded by Commissioner Hoover, that the Resolution be Postponed to July 21, 2020. The motion passed by unanimous vote.
11
Ratifying an Emergency Change Order dated June 8, 2020 approved by the City Manager as provided for under Section 2-797(2) and Section 2-845 of the Code of Ordinances in a total amount of $32,626.00 to the "Proposal for a Voluntary Source Removal College Road Affordable Housing Project Between Tetra Tech, Inc. and The City of Key West" (Petroleum Contamination Remediation); Approving any necessary budget adjustment; Authorizing the City Manager to execute any necessary documents upon consent of the City Attorney.
Resolution
Executive Summary
Emergency Change Order
Tetra CO History
Tetra Petroleum CO Proposal
Res 19-332 CR Affordable Housing Petroleum Remediation
Resolution 19-086 Approval of Affordable Housing Project
Res 20-039 General Service Environmental Services
Attachments:
A motion was made by Vice Mayor Kaufman, seconded by Commissioner Lopez, that the Resolution be Passed. The motion passed by unanimous vote.
12 Quasi-Judicial Hearing: Easement Agreement - 312
Catherine Street (RE # 00026430-000100)- A request for
an Easement Agreement in order to maintain the existing boundary fence encroaching 530.00-square feet, more or less, onto Catherine Street right-of-way on property located within the Historic High Density Residential (HHDR) Zoning District pursuant to Section 2-938 of the Land Development Regulations of the Code of Ordinances of the City of Key West, Florida; Providing fees and conditions; Providing for an effective date.
Resolution
Executive Summary
Staff Presentation
Agreement
Specific Purpose Survey
Insurance
*Large File* Package
Attachments:
A motion was made by Commissioner Lopez, seconded by Commissioner Wardlow, that the Resolution be Passed. The motion carried by the following vote:
Absent:
Commissioner Davila
1 -
Yes:
Commissioner Hoover, Vice Mayor Kaufman, Commissioner Lopez, Commissioner Wardlow, Commissioner Weekley and Mayor Johnston 6 -
13
Quasi-Judicial Hearing: Easement Agreement - 413 Greene Street (RE # 00000620-000000) - A request for an
Easement Agreement in order to repair and maintain three (3) existing second-floor balconies encroaching a combined total of 171.0-square feet, more or less, onto the Greene Street and Fitzpatrick Street rights-of-way abutting property located within the Historic Residential Commercial Core-Duval Street Gulfside (HRCC-1) Zoning District at 413 Greene Street, Key West, Florida (RE#
00000620-000000); Pursuant to Section 2-938 of the Land Development Regulations of the Code of Ordinances of the City of Key West; Providing fees and conditions; Providing for an effective date.
Resolution
Executive Summary
Staff Presentation
Easement Agreement
*Large File* Specific Purpose Survey
Insurance
*Large File* Package
Attachments:
A motion was made by Commissioner Wardlow, seconded by Commissioner Lopez, that the Resolution be Passed. The motion carried by the following vote:
Absent:
Commissioner Davila
1 -
Yes:
Commissioner Hoover, Vice Mayor Kaufman, Commissioner Lopez, Commissioner Wardlow, Commissioner Weekley and Mayor Johnston 6 -
Enactment No: Res 20-109
ORDINANCES – FIRST READING
14
An Ordinance of the City of Key West, Florida, amending Chapter 70 of the Code of Ordinances, entitled "Traffic and Vehicles" by amending Section 70-1 by adding the definition of "Right-of-Way"; amending Section 70-116 to clarify prohibited uses of Rights-of-Way; Providing penalties; Providing additional enforcement measures and procedures; By amending Section 70-117 to clarify and provide for penalties; Providing additional enforcement measures and procedures; Providing for severability; Providing for repeal of inconsistent provisions; Providing for an effective date
Ordinance
Public Comment - Item 14
Attachments:
A motion was made by Commissioner Weekley, seconded by Commissioner Lopez, that the Ordinance be Passed to Second Reading with language added to Section 5 (ii) stating explicitly that there could be an exception made by police or parking department and that the residents' obligation would be to contact them. The motion carried by the following vote:
No: Commissioner Wardlow 1 -
Absent:
Yes:
1 - Commissioner Davila
Commissioner Hoover, Vice Mayor Kaufman, Commissioner Lopez, Commissioner Weekley and Mayor Johnston 5 -
15 Request for Postponement:
An Ordinance of the City of Key West, Florida, amending the boundaries of the Official Zoning Map categories of the Historic Medium Density Residential (HMDR) and the Historic Neighborhood Commercial District (HNC-3) pursuant to Chapter 90, Article VI, Division 2 of the Land Development Regulations; Providing for severability; Providing for repeal of inconsistent provisions; Providing for an effective date.
Attachments: Ordinance
Executive Summary
Presentation
Planning Board Resolution 2020-02
*Large File* Planning Packet
*Large File* 909 page submittal from Neighbors
Request to Postpone
Letters of Objection from surrounding neighbors
Neighbors' Objection to Commission Proceedings
Letter from Todd Santoro
Letter from Robert Walsh
Letter from Marci Rose
A motion was made by Commissioner Weekley, seconded by Commissioner Lopez, that the Ordinance be Postponed to July 21, 2020. The motion passed by unanimous vote.
16 Request for Postponement:
An Ordinance of the City of Key West, Florida, amending the City's Comprehensive Plan, Chapter 1, entitled "Future Land Use Element", amending boundaries of the Historic Residential (HR) and Historic Commercial (HC); Pursuant to Chapter 90, Article VI, Division 3 of the Land Development Regulations; Providing for severability; Providing for repeal of inconsistent provisions; Providing for inclusion into the City of Key West Comprehensive Plan; Providing for an effective date.
Ordinance
Executive Summary
Presentation
Planning Board Resolution 2020-01
*Large File* Planning Packet
*Large File* 909 page submittal from Neighbors
Request to Postpone
Letters of Objection from surrounding neighbors
Neighbors' Objection to Commission Proceeding
Presentation on Flum Amendment.pdf
Letter from Todd Santoro
Letter from Robert Walsh
Letter from Marci Rose
Attachments:
A motion was made by Commissioner Weekley, seconded by Commissioner Lopez, that the Ordinance be Postponed to July 21, 2020. The motion passed by unanimous vote.
CITIZEN COMMENTS
COMMISSION COMMENTS
ADJOURNMENT - 8:09 P.M.
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CLINTONDALE COMMUNITY SCHOOLS
Special Board Meeting December 8, 2016
5:30 PM
President, Jason Davidson called the Special Meeting to order at 5:30p.m. in the Administration Building Conference Room.
ROLL CALL
Present
Jason Davidson
Thomas Evilsizer
Mike Scott
Beverly Lewis-Moss - Tardy
Lois Murray
Michael Manning
ABSENT
None
APPROVAL OF AGENDA
Motion by Mr. Manning support by Mr. Scott that the Board approve the agenda as submitted. Motion carried unanimously.
CORRESPONDENCE
Greg Green
RECOGNITION OF VISITORS
None
UNFINISHED BUSINESS
None
NEW BUSINESS
#1 Motion by Mr. Evilsizer, support by Mr. Scott that the Board go into Closed Session as authorized by Section 8(a) of the Open Meetings Act for the evaluation of the Superintendent. Motion carried unanimously.
Recessed Special Meeting at 5:31 pm
Closed Session began at 5:31 pm.
Motion by Mr. Evilsizer, support by Mr. Scott to go out of Closed Session at 9:47 pm.
ADJOURNMENT
Motion by Mr. Evilsizer, support by Mr. Scott to adjourn the Special Meeting at 9:47 p.m. Motion carried unanimously.
Mr. Thomas Evisizer, Secretary
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American Council of Engineering Companies/Maryland (ACEC/MD)
2021-2022 Calendar of Events
DATE
EVENT
LOCATION
Some dates may be tentative and subject to change.
8/16/21
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Using the Bergman-Paris Question to screen seniors in the emergency department
Antoine Laguë*†‡; Philippe Voyer, PhD*†§; Marie-Christine Ouellet, PhD*†§; Valérie Boucher, BA*†‡; Marianne Giroux, MSc*†‡; Mathieu Pelletier, MD†¶; Émilie Gouin, MD¹; Raoul Daoust, MD, MSc**; Simon Berthelot, MD*†; Michèle Morin, MD, MSc*†‡; Thien Tuong Minh Vu, MD††‡‡§§; Jacques Lee, MD, MSc†¶¶; Audrey-Anne Brousseau, MD, MSc†***; Marie-Josée Sirois, PhD*†‡; Marcel Émond, MD, MSc*†‡
ABSTRACT
Objectives: In the fast pace of the Emergency Department (ED), clinicians are in need of tailored screening tools to detect seniors who are at risk of adverse outcomes. We aimed to explore the usefulness of the Bergman-Paris Question (BPQ) to expose potential undetected geriatric syndromes in community-living seniors presenting to the ED.
Methods: This is a planned sub-study of the INDEED multicentre prospective cohort study, including independent or semi-independent seniors (>65 years old) admitted to hospital after an ED stay ≥8 hours and who were not delirious. Patients were assessed using validated screening tests for 3 geriatric syndromes: cognitive and functional impairment, and frailty. The BPQ was asked upon availability of a relative at enrolment. BPQ’s sensitivity and specificity analyses were used to ascertain outcomes.
Results: A response to the BPQ was available for 171 patients (47% of the main study’s cohort). Of this number, 75.4% were positive (suggesting impairment), and 24.6% were negative. To detect one of the three geriatric syndromes, the BPQ had a sensitivity of 85.4% (95% CI [76.3, 92.0]) and a specificity of 35.4% (95% CI [25.1, 46.7]). Similar results were obtained for each separate outcome. Odds ratio demonstrated a higher risk of presence of geriatric syndromes.
Conclusion: The Bergman-Paris Question could be an ED screening tool for possible geriatric syndrome. A positive BPQ should prompt the need of further investigations and a negative BPQ possibly warrants no further action. More research is needed to validate the usefulness of the BPQ for day-to-day geriatric screening by ED professionals or geriatricians.
RÉSUMÉ
Objectif: Au département d’urgence (DU), les médecins ont besoin d’outils adaptés pour effectuer une évaluation rapide des patients âgés. L’objectif principal de cette étude est d’évaluer l’utilité de la Question de Bergman-Paris (QBP) pour détecter des grands syndromes gériatriques (troubles cognitifs, atteinte fonctionnelle et fragilité) chez les personnes âgées au DU.
Méthode: Cette sous-étude fait partie de l’étude multicentrique prospective MIDI-INDEED. Les patients inclus devaient être âgés de 65 ans et plus, être autonomes ou semi-autonomes, être à l’urgence pendant ≥ 8 h et ne pas avoir développé de délirium durant cette période au DU en plus d’être admis. Des outils validés ont été utilisés pour évaluer les troubles cognitifs, l’atteinte fonctionnelle et la fragilité. La QBP était demandée à un proche lors du séjour du patient au DU ou à l’étage. Des analyses de sensibilité et de spécificité pour la QBP ont été calculées.
Résultats: 171 réponses à la QBP sont disponibles représentant 47 % de la cohorte de l’étude principale dont 75,4% avec une QBP positive et 24,6% négative. La QBP a une sensibilité de 85,4% (95% IC [76,3-92,0]) et une spécificité de 35,4% (95% IC [25,1-46,7]) pour détecter au moins un des trois syndromes gériatriques majeurs. Le risque d’avoir un syndrome gériatrique est plus grand chez les personnes avec une QBP positive que ceux avec le test négatif.
Conclusion: La QBP pourrait être un outil intéressant pour dépister les syndromes gériatriques à l’urgence. Les personnes avec une QBP négative ne nécessiteraient pas d’investigations supplémentaires tandis que ceux avec une QBP positive seraient à évaluer. Une étude subséquente...
INTRODUCTION
The number of visits by seniors to emergency departments (ED) has increased by 30% in recent years, a population that needs more attention from ED health professionals, especially those who are frail. Frailty is characterized by multi-systemic dysfunction associated with abnormal aging. It is linked to an increased risk of adverse outcomes and can be related to cognitive impairment, which may affect patients’ ability to perform daily activities. Moreover, seniors with undetected cognitive impairment are at higher risk of an unplanned return to the ED within 6 months of their discharge. Cognitive and functional impairment, frailty, and delirium are all elements of “the geriatric syndrome” that also includes falls, incontinence, or immobility.
The numerous benefits of adapting a medical approach to the specific needs of seniors were recently underlined by the Acute Care for Elders (ACE) strategy. In 2014, the American College of Emergency Physicians (ACEP) published new practice guidelines, also endorsed by the Canadian Association of Emergency Physicians (CAEP), suggesting that ED professionals should be trained to screen seniors for cognitive and functional impairment and delirium. Those guidelines suggest that a visit to the ED is an opportunity to detect these often undiagnosed elements of the geriatric syndrome and to refer patients to the appropriate resources during their hospitalization or after their discharge.
ED-friendly tools must be developed to better fit the fast-paced ED environment. The Bergman-Paris Question (BPQ) is a one-question screening test that was developed by Dr. Howard Bergman and involves asking a patient’s close relative if they would feel comfortable leaving the patient home alone for three months if other members of the family were also away. Caporuscio et al. have reported that this single question could detect the presence of dementia in patients followed in a memory clinic. To our knowledge, no other study has evaluated the BPQ.
The objective of this study was to assess the BPQ as a screening tool for three geriatric syndromes in independent or semi-independent seniors in the ED. Specifically, we sought to explore the predictive capacities of the BPQ for cognitive and functional impairments, as well as frailty.
METHODS
Study design and setting
The prospective assessment of the BPQ was a planned substudy of the incidence and impact measurement of delirium induced by ED stay (INDEED) multicentre study. This prospective observational cohort study enrolled patients in four Canadian EDs (Hôpital de l’Enfant-Jésus [Québec City], Hôpital du Sacré-Cœur [Montréal], Centre Hospitalier Affilié Universitaire Régional [Trois-Rivières], and Centre Hospitalier Régional de Lanaudière [Joliette]) between March and July 2015.
Selection of participants
Patients were included if they: 1) were aged ≥65 years; 2) were independent or semi-independent (can perform five of the seven activities of daily living without any help); 3) spent ≥8 hours in the ED; and 4) were admitted to any hospital ward. Patients were excluded if they: 1) were living in a long-term care facility; 2) were unable to consent; 3) were unable to communicate in French or English; 4) were experiencing an unstable medical condition leading to their admission to the intensive care unit (ICU); 5) had a previous diagnosis of severe dementia or any other psychiatric condition; or 6) had delirium during their eight-hour ED stay.
Procedure
Potentially eligible patients were identified using the hospital or ED information system patient tracking software. After an ED stay of more than or equal to eight hours, trained research assistants (RA) obtained
consent and assessed patients for eligibility directly in the ED when admission was confirmed. Socio-demographic data, medications, and information regarding the patient’s comorbidities were also collected. The Charlson index was used to assess comorbidities,\textsuperscript{11} and the Acute Physiology and Chronic Health Evaluation II (APACHE II) was used to evaluate the physiological status upon ED admission.\textsuperscript{12} An available relative was asked the BPQ after the assessment. Close relatives who were not seen in person were contacted by phone with the patient’s authorization soon after enrolment. RAs assessed participants’ cognitive, functional, and frailty status and also screened for delirium during the initial interview. The latter was also assessed twice a day during the patients’ whole ED stay and up to 24 hours after their ward admission, with a minimum of six hours between each evaluation. The study was approved by the Research Ethics Board of the CHU de Québec.
**Outcome and measurement**
A trained RA asked patients’ relatives the BPQ: “Would you be comfortable leaving your family member home alone for three months if you had to go on a trip to Paris and no other family member or close friend was available?”\textsuperscript{10} An answer such as “No, I would not be comfortable” represents a “positive BPQ,” suggesting that the patient may have an underlying geriatric syndrome. In contrast, a “Yes” from the patient’s relative indicated a “negative BPQ” and may lead to the conclusion that this patient would not benefit from further geriatric assessment.
*Cognitive status* was assessed using the Telephone Interview for Cognitive Status—modified (TICS-m).\textsuperscript{13} This test can be administrated in person or by telephone and evaluates orientation, attention, language, and memory. Scores range between 0 (worst) and 50/50 (best).\textsuperscript{14} In this study, we determined that a score of $\geq 27/50$ with adjustment for education suggested cognitive impairment.\textsuperscript{13}
*Functional status* was assessed using the validated Older Americans Resources and Services scale (OARS).\textsuperscript{15,16} Patients answered based on how they usually performed their daily activities before their ED visit. Scores range from 0 (dependent) to 28/28 (completely independent). A two-point decrease represents complete loss of independence for one activity of daily living or partial dependence for two activities of daily living.\textsuperscript{17} This test is usually used to detect a potential functional decline. In this study, we used this test as an image of our participants’ functional status. With no specific guideline available in the literature, our steering committee decided that a score of $<26$ would suggest a clinically significant functional impairment.
*Frailty status* was evaluated using the Clinical Frailty Scale (CFS).\textsuperscript{3} This scale is based on category descriptors ranging from 1 to 7 (1, very fit; 2, well; 3, managing well with controlled medical problems; 4, vulnerable; 5, mildly frail; 6, moderately frail; and 7, severely frail).\textsuperscript{3} In our study, patients with a score of 1, 2, 3, or 4 were considered robust. In contrast, patients with scores of 5, 6, or 7 were classified as frail.\textsuperscript{3,18} A revised CFS scale adds scores 8 and 9 representing very severely frail and terminally ill patients. As our participants were all independent or semi-independent, these two categories were deemed unnecessary for this study.
*Delirium* was assessed using the Confusion Assessment Method (CAM), a validated measure with excellent sensitivity (94% to 100%) and specificity (90% to 100%).\textsuperscript{19,20} The CAM assesses the following: acute onset and fluctuation, inattention, disorganized thinking, altered level of consciousness, disorientation, memory impairment, perceptual disturbance, abnormal psychomotor activity, and altered sleep-wake cycle.
**Analyses**
Descriptive analyses were conducted for socio-demographic, clinical, and outcome variables, which were compared according to the BPQ response (Fisher test and $t$-tests for categorical and continuous variables, respectively). The Kolmogorov-Smirnov test was used to compare the distribution of outcomes variables with the BPQ response. Raw sensitivity and specificity of the BPQ for the four outcomes and its positive and negative predictive values were estimated with their exact binomial 95% confidence interval (95% CI).\textsuperscript{21} Crude and adjusted (age and sex) areas under the receiver operating curve (AUC) were also computed with 95% CIs and obtained through a logistic regression.\textsuperscript{22} The risk of presenting outcomes if the BPQ was negative was estimated using an odds ratio (OR) with a logistic regression.\textsuperscript{22} All analyses were completed with
Statistical Analysis System software (SAS Institute, Cary, NC, version 9.4).
RESULTS
Participant’s characteristics
Of the 367 patients recruited in the INDEED study, 171 (47%) had a relative who answered the BPQ. There were no significant differences in sociodemographic data between patients for whom a BPQ answer was available and those without an answer. Patients’ characteristics were similar among the four centres. Table 1 details the participants’ characteristics. The BPQ was positive for 75% of the patients, indicating that most relatives were not comfortable leaving the participants home alone for three months. Patients with a positive BPQ were older \((p = 0.048)\). No significant differences in sex \((p = 0.21)\), living environment \((p = 0.21)\), or marital status \((p = 0.59)\) were found between patients with a “Yes” or “No” answer to the BPQ.
BPQ screening capacity
To detect one of the three outcomes minimally, the BPQ had a sensitivity of 85.4% (95% CI 76.3–92.0), specificity of 35.4% (95% CI 25.1–46.7), positive predictive value (PPV) of 58.9% (95% CI 49.9–67.5), and negative predictive value (NPV) of 69.0% (95% CI 52.9–82.4). Incident delirium has not been included because this condition is a further consequence, and the BPQ was asked at the initial interview. Specifically, the predictive capacities of the BPQ for each outcome variables are reported in Table 2. The OR for a patient with a positive BPQ presenting with one of the three geriatric syndromes was 3.2 (95% CI 1.5–6.7), as compared with those with a negative BPQ.
Cognitive impairment
The BPQ had a sensitivity of 86.5% (95% CI 71.2–95.5) to detect cognitive impairment with a specificity of 27.8% (95% CI 20.4–36.3), a PPV of 25.0%
| Table 1. Description of the sample |
|-----------------------------------|
| **Characteristics** | **Answer to the BPQ** | | | | |
| | Yes \((n = 42)\) | No \((n = 129)\) | Total \((N = 171)\) | \(p\)-value |
| Age (SD) | 74.7 (6.8) | 77.6 (8.6) | 76.9 (8.3) | 0.05 |
| Men (%) | 24 (57) | 58 (45) | 82 (48) | 0.21 |
| Spouse/married (%) | 27 (64) | 76 (59) | 103 (60) | 0.59 |
| Living alone in their home (%) | 9 (22)\(^a\) | 17 (13) | 26 (15) | 0.21 |
| Hospital stay in the last three months* (%) | 18 (43) | 53 (41) | 71 (42) | 0.86 |
| Receiving home health care services (%) | 5 (12) | 31 (24) | 36 (21) | 0.13 |
| Previous use of a transitional care centre\(^b\) in the last three months (%) | 1 (1) | 11 (9) | 12 (9) | 0.45 |
| Mean Charlson index score (SD) | 1.76 (1.90) | 2.67 (2.24) | 2.45 (2.19) | |
| Mean Apache score (SD) | 7.74 (3.19) | 6.98 (3.48)\(^c\) | 7.17 (3.42) | |
| Mean TICS-m score adjusted for education (SD) | 32.3 (5.0) | 31.6 (5.8)\(^d\) | 31.8 (5.4) | 0.43 |
| Mean OARS score (SD) | 27.1 (1.3) | 25.8 (2.3) | 26.2 (2.2) | <0.001 |
| ADL (SD) | 13.8 (0.5) | 13.4 (0.8) | 13.5 (0.7) | |
| AIDL (SD) | 13.3 (1.1) | 12.4 (1.8) | 12.6 (1.7) | |
| Mean CFS score (SD) | 2.9 (1.0)\(^e\) | 3.8 (1.1)\(^f\) | 3.6 (1.2) | <0.001 |
| No. of patients with cognitive impairment (TICS-m ≤ 27) (%) | 5 (12) | 32 (25) | 37 (22) | |
| No. of patients with functional impairment (OARS <26) (%) | 9 (21) | 65 (50) | 74 (43) | |
| No. of frail patients (CFS ≥ 5) (%) | 2 (5) | 32 (25) | 34 (20) | |
| No. of patients with minimally one of the three conditions above (%) | 13 (31) | 76 (59) | 89 (52) | |
| No. of patients with delirium induced by ED stay (%) | 1 (2) | 19 (15) | 20 (12) | |
| History of dementia | 0 | 3 | 3 | |
ADL = activities of daily living; CFS = Clinical Frailty Scale; IADL = instrumental activities of daily living; OARS = Older Americans Resources and Services; TICS-m = The modified Telephone Interview for Cognitive Status.
\(^a\)Visit ED, day surgery, or hospitalization.
\(^b\)Either rehabilitation centre, day hospital, or convalescence centre.
\(^c\)One living environment missing.
\(^d\)Two data missing.
\(^e\)One education missing.
\(^f\)One score missing.
(95% CI 17.8–33.4), and an NPV of 88.1% (95% CI 74.4–96.0). The distribution of TICS-m scores according to the relative’s response to the BPQ is shown in Figure 1. Because of the small sample size, they were not significantly different ($p = 0.10$). However, in the negative BPQ group, the majority of patients were above the cut-off of 27/50 (Figure 1A), and the positive BPQ group had a heterogeneous distribution (Figure 1B). The TICS-m mean scores were neither statistically nor clinically significant between the yes and no groups ($p = 0.43$).
The OR for patients with a positive BPQ presenting with cognitive impairment was 2.5 (95% CI 0.9–6.8), as compared with those with a negative BPQ. However, approximately one-eighth of the patients with cognitive impairment remain unrecognized. Of note, three participants in our cohort had a past history of mild dementia. All three had a negative BPQ.
**Functional impairment**
Patients with functional impairment were efficiently detected using the BPQ with a sensitivity of 87.8% (95% CI 78.2–94.3), a specificity of 34% (95% CI 24.7–44.3), an NPV of 78.6% (95% CI 63.2–89.7), and a PPV of 50.4% (95% CI 41.5–59.3). Likewise, there were significant differences in mean OARS scores between seniors with a negative BPQ (mean $[M] = 27.1$, standard deviation [SD] = 1.3) and those with a positive BPQ ($M = 25.8$, SD = 2.3) ($p < 0.001$). As shown in Figure 2A and 2B, 78% of patients with a negative BPQ were independent in their daily life (OARS score from
---
**Table 2. Predictive capacities of the BPQ for the four outcomes**
| Tests | Sensitivity (95% CI) | Specificity (95% CI) | PPV (95% CI) | NPV (95% CI) | AUC* (95% CI) | Adjusted AUC*† (95% CI) |
|--------------------------------------------|----------------------|----------------------|--------------|--------------|---------------|-------------------------|
| Cognitive impairment | | | | | | |
| TICS-m‡ | 86.5 (71.2, 95.5) | 27.8 (20.4, 36.3) | 25.0 (17.8, 33.4) | 88.1 (74.4, 96.0) | 0.57 (0.50, 0.64) | 0.71 (0.62, 0.80) |
| OARS | 87.8 (78.2, 94.3) | 34.0 (24.7, 44.3) | 50.4 (41.5, 59.3) | 78.6 (63.2, 89.7) | 0.61 (0.55, 0.67) | 0.72 (0.64, 0.79) |
| CFS | 94.1 (80.3, 99.3) | 28.9 (21.4, 37.3) | 25.0 (17.8, 33.4) | 95.1 (83.5, 99.4) | 0.62 (0.56, 0.67) | 0.63 (0.53, 0.72) |
| One of the three geriatric syndrome conditions above | 85.4 (76.3, 92.0) | 35.4 (25.1, 46.7) | 58.9 (49.9, 67.5) | 69.0 (52.9, 82.4) | 0.69 (0.54, 0.67) | 0.75 (0.65, 0.80) |
| Incident delirium | | | | | | |
| CAM | 95.0 (75.1, 99.9) | 27.2 (20.2, 35.0) | 14.7 (9.1, 22.0) | 97.6 (87.4, 99.9) | 0.61 (0.55, 0.67) | 0.78 (0.69, 0.88) |
AUC = area under the curve; CFS = Clinical Frailty Scale; CAM = Confusion Assessment Method; NPV = negative predictive value; OARS = Older Americans Resources and Services; PPV = positive predictive value; TICS-m = Telephone Interview for Cognitive Status—modified.
*Adjusted for age and sex.
26 to 28/28), v. 48% if the BPQ was positive ($p = 0.009$). The OR for patients with a positive BPQ presenting with functional impairment was 3.7 (95% CI 1.7-8.4), as compared with a negative BPQ.
**Frailty**
The BPQ detected almost all frail patients with a sensitivity of 94.1% (95% CI 80.3-99.3) but with a specificity of 28.9% (95% CI 21.4-37.3). People with a negative BPQ were almost all independent according to the NPV of 95.1% (95% CI -83.599.4). However, the BPQ had a PPV of 25.0% (95% CI 17.8-33.4) for frailty. Patients with a negative BPQ were more robust than those with a positive answer to the question ($M=2.9$, SD 1.0 v. $M=3.8$, SD 1.1, respectively, $p < 0.001$). The distributions of frail patients across a negative and positive BPQ were significantly different ($p = 0.003$) (Figure 3). The OR for being frail if the BPQ was positive was 6.5 (95% CI 1.5-28.6), as compared with a negative BPQ.
**Incident delirium**
A total of 19 of the 20 patients with an episode of incident delirium were detected by the BPQ leading to a sensitivity of 95.0% (95% CI 75.1-99.9) and specificity of 27.2% (95% CI 20.2-35.0) (Table 2). From the 20 patients with delirium induced by an extended ED stay, only four were cognitively normal at the initial interview.
**DISCUSSION**
**Key results**
The BPQ had good sensitivity but a low specificity for detecting the three geriatric syndromes in our prospective cohort. Regarding cognitive impairment, our sensitivity result (86.5%) was similar to that of Caporuscio et al.,\textsuperscript{10} but our specificity dropped significantly (27.8%) in our general ED population. They had a sensitivity of 95% (95% CI 82.9-99.2) and specificity of 63% (95% CI 40.8-80.4) for the diagnosis of dementia in a memory clinic, with a PPV of 0.820 (95% CI 0.681-0.910) and an NPV of 0.882 (95% CI 0.623-0.979). This could be explained by differences in our methodologies and populations. Their study was conducted in an outpatient clinic comprising patients with a higher prevalence of cognitive impairment than those in our study. Their study focused on dementia, but we broadened the aim of the study to expose four major geriatric syndromes. Furthermore, the diagnosis of cognitive impairment was completed by a geriatrician or neurologist comparatively to a screening tool (the TICS-m) in our study.
People with a negative BPQ were mostly independent and robust. These results suggest that these people are less likely to need further investigation for any geriatric syndrome. Logically, dependent patients with a lot of comorbidities will not be left alone by their relatives. Cognitive impairment, functional status, frailty, and delirium are all concepts linked together and
regrouped as a geriatric syndrome. Unsurprisingly, our results demonstrate a link between these notions.
**Clinical usefulness of the BPQ**
In the ED, cognitive impairment detection is still not systematically done in day-to-day practice\textsuperscript{10,23} possibly because of the important time and resource constraints in the ED. To address this gap, many validated tests are available, but they are lengthy. For example, the Mini Mental State Examination (MMSE) has a duration of approximately 10 minutes; even if it seems to be short, it can be excessive in the time-pressured ED environment.\textsuperscript{24} Some shorter tests such as the Brief Alzheimer’s Screen, Short Blessed Test, or Ottawa 3DY could be interesting alternatives, but all of these have a low specificity despite their high sensitivity.\textsuperscript{25}
The BPQ could be seen as a “red flag” to help emergency physicians focus on seniors more at risk. If a patient seems to be functional but has a positive screen per the BPQ, some explanation and further evaluation are probably required depending on the reason given as to the underlying problem.
What is making the BPQ more interesting than these other tests is the evaluation by a family member. Most geriatric patients come to the ED with a relative. Those relatives are a precious resource to an emergency physician or another health professional to obtain a good portrait of the patient’s status and to add information if necessary.\textsuperscript{26}
Despite its low specificity, its good sensitivity for geriatric syndromes may make the BPQ a good rapid frontline screening tool for ED professionals. The good NPV (79% to 98%) suggests that patients with a negative BPQ may not need further geriatric syndrome evaluation.
**LIMITATIONS**
There are limitations in this study. The presence of the patients at the moment when the BPQ was asked may have biased the relatives’ answer because the relatives may have been uncomfortable answering “No.” Conversely, most patients visiting EDs have an acute issue, and it probably overestimated the “No” results because of the anxiety and emotional involvement of family members regarding the actual condition.
Our point of reference to detect cognitive impairment was the TICS-m. This test is not the best tool to diagnose mild cognitive impairment or dementia.\textsuperscript{27} The choice of this tool and, moreover, uncertainty regarding the optimal cut-off could have led to the over- or under-diagnosis of cognitive impairment. With the high proportion of patients with a positive TICS-m in our population, a larger number of “No” responses to the BPQ would be expected. The same issues were experienced with the OARS scale cut-off. No study has fixed a score for patients with functional impairment. Currently available literature suggests a loss of two points indicates a functional decline, but our study was cross-sectional for functional status. Because our patients were relatively independent, we used this cut-off even if it may have overestimated the number of impaired seniors.
The response rate for the BPQ was 47%. The high rate of missing data is mostly because of the ED environment in which visitors are not always allowed for extended periods of time. As our patients were independent or semi-independent, not all of them were accompanied by a family member. Some patients also did not allow us to contact their family members for various personal reasons that were not obtained. However, potential selection bias has been rejected because no differences were found in patient characteristics between those who did and those who did not answer the BPQ. Finally, the inclusion and exclusion criteria may have reduced the prevalence of cognitive impairment. Because of the framework of the larger INDEED study, our study participants were independent or semi-independent, and all of them were admitted that is not representative of the general geriatric ED population.
A receiver operating characteristic (ROC) model adjusted for age and sex is better than the BPQ alone for cognitive impairment, functional status, and delirium. For frailty, the AUC for the BPQ alone is the same as the fitted model. Age is a confounding factor that is significantly associated with the BPQ.
**In the future**
This ED-tailored screening tool could be helpful in the overcrowded ED to determine which admitted patient should not have any further evaluation because patients with a negative BPQ have been identified as unimpaired and robust. The results of this study coincide with our primary hypothesis that the BPQ may have the ability to screen patients for major geriatric syndromes. We must not forget that the BPQ is only a screening test that can help the emergency physician in obtaining a second opinion from a person who knows the patient better. The usefulness of the BPQ for discharged
patients should be assessed, and the question should be validated in all ED patients in future studies. Such validation could meet the need of emergency physicians to ensure that elderly patients can safely be discharged home. More investigations will be needed to determine the placement of the BPQ in the toolbox of emergency health professionals.
**Acknowledgements**: We would like to thank Pierre-Hugues Carmichael for performing the statistical analyses and all the RAs who participated in the recruitment of patients for this study. MÉ had full access to all data in the study and takes responsibility for the integrity of the data and the accuracy of the data analysis. He was responsible for the design, funding, and conduct of the study. AL led the analyses and wrote the manuscript. MJS, MCO, and MG were involved in the statistical analysis and data interpretation. MP, RD, EG, and ME were responsible for recruitment at all four sites. SB, MM, TTMV, JL, MR, and LJ are all collaborators of the INDEED project. VB managed the study and reviewed the manuscript. AAB, SB, MP, TTMV, VB, MG, MCO, MJS, PV, RD, and ME reviewed and approve the manuscript.
**Competing interest**: This study was funded by the Fonds de Recherche en Santé du Québec (FQRS 29307). A. Laguë holds a student salary award from the Canadian Frailty Network. Sponsor’s role: none.
**REFERENCES**
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2. MSSS. Approche adaptée à la personne âgée en milieu hospitalier; 2011. Available at: http://publications.msss.gouv.qc.ca/msss/fichiers/2010/10-830-03.pdf.
3. Rockwood K, Song X, MacKnight C, Bergman H, Hogan DB, McDowell I, et al. A global clinical measure of fitness and frailty in elderly people. *CMAJ* 2005;173(5):489–95.
4. Lin JS, O’Connor E, Rossom RC, et al. *U.S. Preventive Services Task Force Evidence Syntheses, formerly Systematic Evidence Reviews. Screening for Cognitive Impairment in Older Adults: An Evidence Update for the US Preventive Services Task Force*. Rockville, MD: Agency for Healthcare Research and Quality; 2013.
5. Lee J, Sirois MJ, Moore L, et al. Return to the ED and hospitalisation following minor injuries among older persons treated in the emergency department: predictors among independent seniors within 6 months. *Age Ageing* 2015;44(4):624–9.
6. Inouye SK, Studenski S, Tinetti ME, Kuchel GA. Geriatric syndromes: clinical, research, policy implications of a core geriatric concept. *J Am Geriatr Soc* 2007;55(5):780–91.
7. Canadian Foundation for Healthcare Improvement (CFHI), Canadian Frailty Network (CFN). Acute Care for Elders (ACE) 12-month quality improvement collaborative – Prospectus (Contract No 1); 2016. Available at: http://www.cfacs-chfi.ca/WhatWeDo/ace.
8. American College of Emergency Physicians, American Geriatrics Society, Emergency Nurses Association, Society for Academic Emergency Medicine, Geriatric Emergency Department Guidelines Task Force. Geriatric emergency department guidelines. *Ann Emerg Med* 2014;63(5):e7–25.
9. Bernstein E. Repeat visits by elder emergency department patients: sentinel events. *Acad Emerg Med* 1997;4(6):538–9.
10. Caporuscio C, Monette J, Gold S, Monette M, O’Rourke K. Ability of the “Bergman-Paris” Question to Detect Dementia in Community-Dwelling Older People. *Can Geriatr J* 2009;12(3):101–3.
11. Rozzini R, Sabatini T, Barbisoni P, Trabucchi M. How to measure comorbidity in elderly persons. *J Clin Epidemiol* 2004;57(3):321–2.
12. Knaus WA, Draper EA, Wagner DP, Zimmerman JE. APACHE II: a severity of disease classification system. *Crit Care Med* 1985;13(10):818–29.
13. Knopman DS, Roberts RO, Geda YE, Pankratz VS, Christianson TJ, Petersen RC, et al. Validation of the telephone interview for cognitive status-modified in subjects with normal cognition, mild cognitive impairment, or dementia. *Neuroepidemiology* 2010;34(1):34–42.
14. Duff K, Tometich D, Dennett K. The Modified Telephone Interview for Cognitive Status is More Predictive of Memory Abilities Than the Mini-Mental State Examination. *J Geriatr Psychiatry Neurol* 2015;28(3):193–7.
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16. Haywood KL, Garratt AM, Fitzpatrick R. Older people specific health status and quality of life: a structured review of self-assessed instruments. *J Eval Clin Pract* 2005;11(4):315–27.
17. Sirois MJ, Émond M, Ouellet MC, et al. Cumulative incidence of functional decline after minor injuries in previously independent older Canadian individuals in the emergency department. *J Am Geriatr Soc* 2013;61(10):1661–8.
18. Kahlon S, Pederson J, Majumdar SR, Belga S, Lau D, Fradette M, et al. Association between frailty and 30-day outcomes after discharge from hospital. *CMAJ* 2015;187(11):799–804.
19. Inouye SK, van Dyck CH, Alessi CA, Balkin S, Siegal AP, Horwitz RI. Clarifying confusion: the confusion assessment method. A new method for detection of delirium. *Ann Intern Med* 1990;113(12):941–8.
20. Monette J, Galbaud du Fort G, et al. Evaluation of the Confusion Assessment Method (CAM) as a screening tool for delirium in the emergency room. *Gen Hosp Psych* 2001;23(1):20–5.
21. Bishop YM, Fienberg SE, Holland PW. *Discrete multivariate analysis: theory and practice*. Springer Science & Business Media; 2007.
22. Hosmer DW Jr, Lemeshow S, Sturdivant RX. *Applied logistic regression*. Hoboken: John Wiley & Sons; 2013.
23. Parke B, Beath A, Slater L, Clarke AM. Contextual factors influencing success or failure of emergency department interventions for cognitively impaired older people: a scoping and integrative review. *J Adv Nurs* 2011;67(7):1426–48.
24. Cullen B, O'Neill B, Evans JJ, Coen RF, Lawlor BA. A review of screening tests for cognitive impairment. *J Neurol Neurosurg Psychiatry* 2007;78(8):790-9.
25. Carpenter CR, Bassett ER, Fischer GM, et al. Four sensitive screening tools to detect cognitive dysfunction in geriatric emergency department patients: brief Alzheimer's Screen, Short Blessed Test, Ottawa 3DY, and the caregiver-completed AD8. *Acad Emerg Med* 2011;18(4):374-84.
26. Goldstein J, Travers A, Hubbard R, Moorhouse P, Andrew MK, Rockwood K. Assessment of older adults by emergency medical services: methodology and feasibility of a care-partner Comprehensive Geriatric Assessment (CP-CGA). *CJEM* 2014;16(5):370-7.
27. Herr M, Ankri J. A critical review of the use of telephone tests to identify cognitive impairment in epidemiology and clinical research. *J Telemed Telecare* 2013;19(1):45-54.
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COOL CLIMATE SOIL, HYDROLOGY AND
SITE EVALUATOR SOIL PIT CLASSIFICATION WORKSHOP SADDLEBACK SKI AREA DALLAS AND SANDY RIVER PLANTATIONS WEDNESDAY, SEPTEMBER 1, 2010
The Maine Association of Professional Soil Scientists, in conjunction with the Maine Association of Wetland Scientists, the Maine Association of Site Evaluators, the Society of Soil Scientists of Northern New England and the Maine Forest Service is pleased to announce a workshop which focuses soil and hydrology conditions unique to the western Maine Mountains, northern Maine and some coastal areas. These areas have cooler and wetter climates than the central and southern parts of the state which affects soil development and hydrology conditions. The workshop includes a hands-on field exercise as well as a group discussion at the conclusion of the field exercise.
The sites included in this workshop are commonly found in the western Maine Mountains. In the past, development in the mountains was limited to a few individual homes and ski resort areas. That is rapidly changing however due to the present interest in wind power farms. The political leaders of the State of Maine have expressed an interest in making Maine a leader in wind power generation which means a fast track for development up and on the mountains. In doing so, natural resource specialists and developers have encountered such features as groundwater seeps, oxyaquic soil conditions, underground streams and boulder fields that have upland plants growing in organic duff on top of the boulders but there is water standing or flowing between the boulders. The question is what are these areas? Are they protected natural resources? At a minimum, they are features that need to be recognized and identified in the field so that construction can take place that minimizes the alteration of the natural hydrology and results in appropriately built roads and infrastructure.
The workshop will feature 5 sites with 3 or 4 numbered soil pits per site for a total of 17 soil pits. Most of the sites will also include other flagged areas for participants to observe that have unique features such as stone filled subsurface drainage channels or boulder fields covered by organic duff that are forested. Some of the soil pits are located on long continuous slopes while others are located in between boulders in the boulder fields. All of the sites have soil pits located in wetter and drier areas. The soil pits have been monitored twice weekly by employees of the Saddleback Ski Lodge for 2 years so there will be good groundwater table data. Soils in the pits will be described by a team comprised of NRCS Resource Soil Scientists Dave Wilkinson and Greg Granger, State Soil Scientist, Dave Rocque, State Site Evaluator Doug Coombs and immediate past president of MAPSS Chris Dorion. The team will provide the closest match to a soil series (based on shallow hand dug soil pits), soil drainage class (this will include using the recently adopted oxyaquic conditions criteria), hydric determination (both New England Field Indicators and the National Indicators) and Subsurface Wastewater Disposal Rules Classification (using the newly developed key for determining the seasonal groundwater table for Site Evaluators).
Registration will be at the base lodge from 8:30 am to 9:00 am. Participants will be given a map showing the location of the sites they are to visit as well as other handouts including a (draft) Check List for Oxyaquic Soils and a (draft) Key for Determining the Seasonal Groundwater Table for Site Evaluators. They will then be free to visit the 5 sites until 12:30 pm. Each of the sites will have a soil scientist or site evaluator stationed there to show you where the soil pits are and point out other areas flagged for making an observation. Participants are to make their own determinations regarding soil classifications and site classifications but can ask the site monitor technical questions.
After the conclusion of the field portion of the workshop, participants will gather at the base lodge for a power point presentation and discussion of each site. Leading the wetland identification discussion will be Paul Minkin, Senior Wetland Scientist with the Army Corps of Engineers Regional Office in Concord, Mass. He led the field testing of the Draft Interim Supplement throughout New England 2 years ago. Leading the discussion of the soil pits for Site Evaluator determinations will be Doug Coombs, State Site Evaluator. Also present will be Mike Mullen from MDEP, Scott Rollins from LURC, Mike Sheehan from ACOE and Dave Rocque who will MC and try to keep things moving along in a lively manner as well as lead the discussions of the soil pits. Lunch is on your own but there is a cafeteria in the base lodge which offers sandwiches and drinks along with snacks.
Expected outcomes of the workshop include clarification of how to classify some unique sites/areas/conditions found in the Western Maine Mountains and the identification of soils with oxyaquic conditions. This should prove helpful to anyone involved with all types of development in the Mountains and for forestry management and logging operations.
This workshop should have broad appeal to soil scientists, wetland scientists, site evaluators, code enforcement officers, planners, municipal officials, regulators, lake association members, foresters and the general public. You can participate at whatever level is appropriate for your background and knowledge (the experts at each transect site will provide the level of assistance you require).
It should be a fun and informative day for all at a very scenic location.
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AGENDA ITEM #1: CALL TO ORDER AND PLEDGE OF ALLEGIANCE
A public meeting of the Community Services Advisory Commission was convened and called to order by Chair Ruppert at 4:10 p.m., Tuesday, March 12, 2019 in the Council Chambers at Town Hall, located at 16705 East Avenue of the Fountains, Fountain Hills, Arizona.
AGENDA ITEM #2: ROLL CALL
Present at roll call were Chair Ron Ruppert, Vice-Chair Amy Arnold, Commissioners Don Doty, Jerry Gorrell, Daniel Fecteau, Sharron Grzybowski, Sharon Morgan, and Youth Commissioner Hayden Arnold. Absent at roll call was Commissioner Natalie Varela. Staff members present were Director Rachael Goodwin, Parks Superintendent Kevin Snipes and Executive Assistant Angela Padgett-Espiritu.
AGENDA ITEM #3: CALL TO THE PUBLIC
No one from the public wished to speak.
AGENDA ITEM #4: DISCUSSION AND CONSIDERATION OF LOCKING GATES AT GOLDEN EAGLE PARK BALLFIELDS TO PROHIBIT UNAUTHORIZED ACCESS
Chair Ruppert reported that the point of this discussion is dogs at the ballfields at Golden Eagle Park and whether or not, the ballfield’s gates should be locked in order to prevent dogs from being on the ballfields. The Community Services Department is seeking the advice as to whether or not to lock the ballfields at Golden Eagle Park.
Director Goodwin explained to the commission that there is an ongoing issue with dogs allowed off leash inside the fenced ballfields at Golden Eagle Park and reports of dog feces on the ballfields. The Task group (Commissioners Gorrell, Fecteau, Grzybowski and Varela) assigned to research the issue is recommending locking ballfields and allowing play with a reservation at Golden Eagle Park and recommended the below:
- Adding signage directing visitors to:
- The dog park at Desert Vista
- Open play ballfields at Four Peaks Park
- Information on where to call for a field reservation—Commissioner Fecteau brought a photo that is being utilized at the ballfields in Glendale (see attached)
- Dog prohibited on ballfields
Chair Ruppert asked if anyone would like to make a motion to recommend locking all four ballfields at Golden Eagle Park. Commissioner Grzybowski made a motion to recommend locking all four ballfields at Golden Eagle Park; Commissioner Morgan seconded the motion and the motion passed by unanimous vote.
AGENDA ITEM #5: CONSIDERATION OF ADJOURNMENT
Commissioner Varela made a motion to adjourn at 4:28 p.m., Vice-Chair Amy Arnold seconded and the motion passed by unanimous vote.
Community Services Advisory Commission
By: ____________________________
Ron Ruppert, Chair
Reviewed by: ____________________________
Rachael Goodwin, Director of Community Services
Prepared by: ____________________________
Angela Padgett-Espiritu, Executive Assistant
CERTIFICATION
I hereby certify that the foregoing minutes are a true and correct copy of the minutes of the Community Services Advisory Commission Regular Meeting held on March 12, 2019. I further certify that the meeting as duly called and that a quorum was present.
By: ____________________________
Angela Padgett-Espiritu, Executive Assistant
Dated this March 21, 2019
FOR FIELD RESERVATION INFORMATION CALL THE PARKS AND RECREATION DEPARTMENT AT (623-930-2820) EXT.-1
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Long Neck 2,240 Sq.Ft.
Bedrooms: 3
Bathrooms: 2 1/2
Sq. Footage: 2,240
Shown with the following exterior options.
Window Lineals • Decorative Vent
Lineals at Doors
Front Porches • Garage
www.beracahhomes.com
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Roy Water Conservancy District
5440 Freeway Park Drive Riverdale, UT 84405
AGENDA
Board of Trustees' Public Hearing Meeting February 14, 2024 6:00 P.M.
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CC-MAIN-2024-18
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|
2024-04-16T13:13:23+00:00
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Japanese Unification Church Members sue deprogrammers for abducting them
Yong Chon Song June 2016
On May 16, a couple in the city of Hiroshima, members of our church, filed a ¥7,000,000 (about US $70,000) damage suit in the Hiroshima district court against the "deprogrammers" and their own family members for abducting and confining them in an apartment in Osaka for the purpose of forced deconversion, July 26–31, 2014.
Dual kidnappings
On July 26, 2014, family members of the husband (forty-three years old) told him that they were going to a hospital to see a relative of theirs and placed him in a van driven by a stranger. He was taken to an apartment in Yodogawa, Osaka, where he was confined. Subsequently, the wife (forty years old) who was visiting her parents' house in Hiroshima at their invitation with her two children, a daughter (eight years old) and a son (three years old) was suddenly attacked by her family members. They tied her arms and legs, wrapped her in a sleeping bag and banded the sleeping bag with string. Torn away from her children, she was conveyed into a van and taken to the same apartment in Osaka where her husband was being confined.
Confinement
Their abductors had tightly locked the front door with two types of padlocks and chains and had fixed the crescent lock on the sliding glass door leading to the veranda with wire so it would not open. Although the family members watched the couple during confinement, there was also a woman, unfamiliar to them, with keys to the padlocks dangling from her neck, who strictly watched over them. She would not allow anyone to leave the room without her permission.
The faith-breaker
From the second day of captivity, an evangelical minister, Mamoru Takawaza (now deceased) of Kobe Makoto Church visited the apartment each and every day, attempting to force the couple to leave the Unification Church by making slanderous statements to them about the church and making personally offensive statements. The couple suffered the direst distress not only from having been abducted and confined through violent means but also as a result of having been forcibly separated from their two small children.
Rescue
On July 31, at around 1:00 AM, the wife managed to make an emergency call to the police using one of the perpetrators' mobile phones. Police officers who came to the rescue released the couple and were able to pick their children up safely at their relative's house by the end of the day. Seeking justice
Since this case of abduction and confinement for the purposes of forced de-conversion was conducted at the initiative of Takazawa, the couple offered to go for a private settlement with their family members, so they could leave them out of the criminal charge. The main points of the settlement proposed by the couple were (1) that they admit the facts concerning the case; (2) that they be perfectly honest in submitting all facts and evidence and (3) that they promise never to repeat such a deed again. However, because the family members refused this, the couple had to file criminal charge against all those involved in the case including their family members.
Mr. Takazawa's end
Mamoru Takazawa had been involved in a few hundred vicious cases of forced de-conversion including a case involving serious injury to a male member of the Unification Church who was seriously injured after falling from the upper floor of an apartment building while attempting to escape from confinement. Takazawa had lost two civil cases and had already been under accusation in two criminal cases, though both criminal cases had been dropped due to suspension by the prosecution. Given that the prosecution had declined to prosecute earlier cases, this couple claimed that Takazawa dared to commit this abduction case out of sublime confidence that he could "get away with anything." Forced de-conversion by means of abduction and confinement against followers of the Unification Church started in the late 1960s and the number of victims adds up to more than 4,300. Last September, Mr. Toru Goto, who suffered forced deconversion under confinement for twelve years and five months, finally won his case in the Supreme Court. Furthermore, in July 2012, when Mr. Goto's case was still on trial, the United Nations Human Rights Committee (in Geneva, Switzerland) expressed concern regarding "abductions and the forced confinement of converts to new religious movements" in Japan and urged the Japanese government to "take effective measures to guarantee the right of every person."
Translator's note
Since others involved in their abduction have not been held legally liable owing to Takazawa's death ending the criminal case last year, out of the lingering fear that abduction and confinement might recur, the couple decided to file a civil suit against them.
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Underlying Mechanisms of the Synergistic Role of Li$_2$MnO$_3$ and LiNi$_{1/3}$Co$_{1/3}$Mn$_{1/3}$O$_2$ in High-Mn, Li-rich Oxides—Supplement
©2016 The Owner Societies. All Rights Reserved.
Citation:
Lim, J. -M, D. Kim, M. -S Park, M. Cho, et al. 2016. "Underlying mechanisms of the synergistic role of Li$_2$MnO$_3$ and LiNi$_{1/3}$Co$_{1/3}$Mn$_{1/3}$O$_2$ in high-Mn, Li-rich oxides." Physical Chemistry Chemical Physics 18(16), doi: 10.1039/C6CP00088F
This document is being made freely available by the Eugene McDermott Library of The University of Texas at Dallas with permission from the copyright owner. All rights are reserved under United States copyright law unless specified otherwise.
Supporting Information for
Underlying Mechanisms on Synergistic Role of Li$_2$MnO$_3$ and LiNi$_{1/3}$Co$_{1/3}$Mn$_{1/3}$O$_2$ in High-Mn, Li-rich Oxides
Jin-Myoung Lim,$^a$ Duho Kim,$^a$ Min-Sik Park,$^{b,d}$ Maenghyo Cho,*$^a$ and Kyeongjae Cho*,$^{a,c}$
$^a$ Department of Mechanical and Aerospace Engineering, Seoul National University, Gwanak-ro 1, Gwanak-gu, Seoul 08826, Republic of Korea.
$^b$ Advanced Batteries Research Center, Korea Electronics Technology Institute, 25 Saenari-ro, Bundang-gu, Seongnam, 13509, Republic of Korea.
$^c$ Department of Materials Science and Engineering and Department of Physics, the University of Texas at Dallas, Richardson, TX 75080, USA.
$^d$ Department of Advanced Materials Engineering for Information and Electronics, Kyung Hee University, 1732 Deogyeong-daero, Giheung-gu, Yongin 17104, Republic of Korea.
Figure S1. Powder XRD patterns of reference $\text{Li}_2\text{MnO}_3$ (JCPDS 84-1634), reference $\text{LiNi}_{1/3}\text{Co}_{1/3}\text{Mn}_{1/3}\text{O}_2$ (ICSD 171750), as-synthesized $\text{Li}_2\text{MnO}_3$, commercialized $\text{LiNi}_{1/3}\text{Co}_{1/3}\text{Mn}_{1/3}\text{O}_2$ (ECOPRO), m-HMLO, and c-HMLO.
Figure S2. FESEM images of m-HMLO (a) and c-HMLO (b).
Figure S3. Field-emission scanning electron microscope (FESEM) images of as-synthesized Li$_2$MnO$_3$ at low magnification (a) and high magnification (b).
Figure S4. Field-emission scanning electron microscope (FESEM) images of commercialized LiNi$_{1/3}$Co$_{1/3}$Mn$_{1/3}$O$_2$ at low magnification (a) and high magnification (b).
Figure S5. (a, c) FESEM images of m-HMLO at different two locations; (b, d) EDS patterns with the corresponding composition table.
Figure S6. (a, c) FESEM images of c-HMLO at different two locations; (b, d) EDS patterns with the corresponding composition table.
Figure S7. (a, b) STEM images of as-prepared m-HMLO with EDS elemental mapping of Mn (green), O (cyan), Ni (purple), and Co (red) in two different regions. (c) STEM image of as-prepared c-HMLO with EDS elemental mapping of Mn (green), O (red), Ni (yellow), and Co (cyan).
Figure S8. (a) Galvanostatic charge-discharge profiles of as-synthesized Li$_2$MnO$_3$, recorded in constant-current (CC) charging mode at a constant specific current of 13 mA g$^{-1}$, in the voltage range between 2.0 and 4.8 V vs. Li/Li$^+$ at 1st, 2nd, and 20th cycles. (b) Discharge (filled black circles) cyclic performance of as-synthesized Li$_2$MnO$_3$.
Figure S9. (a) Galvanostatic charge-discharge profiles of commercialized LiNi$_{1/3}$Co$_{1/3}$Mn$_{1/3}$O$_2$ (NCM111) recorded in constant-current (CC) charging mode at a constant specific current of 25 mA g$^{-1}$, in the voltage range between 2.0 and 4.8 V vs. Li/Li$^+$ at 1st, 2nd, and 20th cycles. (b) Discharge (filled black circles) cyclic performance of commercialized LiNi$_{1/3}$Co$_{1/3}$Mn$_{1/3}$O$_2$.
Table S1. Comparison of structural parameters of as-prepared c-HMLO obtained from Rietveld refinement and the atomic model of $\text{Li}_{1.67}\text{Ni}_{0.11}\text{Co}_{0.11}\text{Mn}_{0.67}\text{Cu}_{0.11}\text{O}_{2.67}$, obtained by density functional theory (DFT) calculation.
| | $a$ [Å] | $b$ [Å] | $c$ [Å] | $\beta$ [°] |
|----------|----------|----------|----------|-------------|
| Rietveld | 4.9369 | 17.0907 | 5.0268 | 109.29 |
| DFT | 5.0076 | 17.3247 | 5.0867 | 109.42 |
Figure S10. Total energy predicted by the cluster expansion method (CEM) vs. total energy calculated by density functional theory (DFT) for the same configuration (average root mean square error: 0.102 %).
Figure S11. (a) Migration barriers of Ni ions with respect to the inverse Li content $x$ in $\text{Li}_{1-x}\text{NiO}_2$ from the initial TM layer to the final Li layer via the middle tetrahedral site (inset). (b) PDOS for Ni d-orbital at the initial octahedral site (black solid line) and middle tetrahedral site (red dashed line) at $\text{Li}_{0.75}\text{NiO}_2$, where the Fermi level is 0.0 eV (blue dashed line). (c) Corresponding CFSDs of Ni d-orbitals at the initial octahedral site (upper) and middle tetrahedral site (lower) for $\text{Li}_{0.75}\text{NiO}_2$.
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Borth Memorial Sports and Community Hall Neuadd Goffa Chwareon a Gymuned y Borth
WHAT'S ON
Week Commencing: 24 April 2023
(UP) = Upstairs;
(??) = Unconfirmed
(P) = Private event
(NTW) = Not this week
Monday – 24/04/2023
1300-1400 – Pilates – For booking contact rbhfitness.co.uk (UP) 1800-1900 – Table Tennis 01970 871694 1930-2030 – Circuit Training – 01970 871137
Tuesday – 25/04/2023
1800-1900 – Pilates – For booking contact rbhfitness.co.uk 1930-2130 – Senior Badminton – 01970 871677
Wednesday – 26/04/2023
0930-1300 – Borth Family Centre
07896616857
1330-1600 - Bowls
1800-1900 - Badminton (P)
Thursday – 27/04/2023
1400-1600 – Senior Citizens 1745-1845 – Aerobics (Rachel P.) 1830-1930 – Yoga (UP) All Day – Coastguard (UP)
Friday – 28/04/2023
All Day – Coastguard (UP)
0930-1030 – Bethan Davies
1100-1200 – Badminton (P)
1300-1500 – Sarah Tvedt
1700-1900 – Junior Badminton 871677
Saturday – 29/04/2023
All Day – Coastguard (UP) 0930-1230 – Abattak Dance 1430 ko - Football - Borth Utd v Aber University 2nds
Sunday – 30/04/2023
1300-1430 – Abbatak Dance
For more information see: www. borthcommunity.info or Hilary Matthews (Pricing) on 01970 871912 and Roy Jones (Hall Booking) on 07484 732006 or 01970 624020.
Coming Soon:
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POST-PATENT ACCESS & STEWARDSHIP
TRANSITIONING FROM PROPRIETARY TO GENERIC BIOTECH EVENTS
MOP-7 DISCUSSION
J. Thomas Carrato
Creative Biotech Solutions, LLC
For ISAAA
30 September 2014
Background
2
Innovation in Seed
Innovation is the core of the seed industry
Innovation happens through:
Improving germplasm by breeding – traditional & markerassisted
Technology to maximize the germplasm's genetic potential
Innovation provides:
Products that enable farmers to be more productive
Products that improve the viability and vigor of the seed
3
Protected Intellectual Property Rights (IPR) in a Bag of Seed
Genetics: Plant Variety Protection (PVP), Patents and Contracts
Breeding Technologies: Contract & Patents
Input & Output Biotech Traits: Patents
Quality & Yield Enhancement Traits
Herbicide Tolerance & Insect Protection Traits
Seed Treatments: Patents & Registrations
Brands: Trademarks
4
Seed IPR—What is a "Generic" Seed Product?
Germplasm: Patent Protect
Event:
Patent Expired
Germplasm: PVP Certificate
Event:
Patent Expired
Germplasm:
No PVP/No
Patent
Event:
Patent Expired
5
Regulatory Intellectual Property Rights (IPR)
Patents on biotech events are not the only IPR affecting the ability to sell or use seed products containing those events
There is an entire body of "Proprietary Regulatory Property", including:
The data obtained from studies conducted to obtain regulatory approvals
The study reports developed from that data
The dossiers and submissions prepared to obtain regulatory approvals
The regulatory approvals or licenses themselves that enable placing seed products containing the biotech event on the market
6
Protection of Regulatory IPR
There are substantial basic property rights in all of the original work developed and crafted by the technology developer to obtain cultivation and import approvals – the estimated regulatory cost of bringing a biotech product to market is ~ $30MM* – a substantial investment!
The use of proprietary regulatory property is controlled by data protection and data compensation laws, property law, laws governing use of creative materials, copyright law and contract
Test methods and the genetic information necessary to develop those methods and some materials used in testing are often subject to separate patents
* There is a range of opinion on the cost and value of a regulatory estate, but this is a consistent estimate
7
Context for Today's Discussions
The first genetically engineered (GE) crop was commercialized in 1996
Since then over 70 biotech plant products have been commercialized in the United States alone (Citation: BioTradeStatus.com)
In almost every case, a biotechnology event is patented globally, and placed on the market by the developer of the event
The first U.S. patents covering a biotech event commercialized in the U.S. are scheduled to expire in 2015
The expiration of other U.S. patented biotech event patents will follow, and patents in other countries are expiring over time
8
But...What Does that REALLY Mean vis-à-vis the IPR for a Biotech Event & Seed Product?
Even though the patents on a biotech event may expire in the cultivating country, that event may still be patented in other or importing markets
The status of the germplasm does not change – whether PVP, patent, or contract
Contracts & patents governing access to breeding technologies do not change
Patents & registrations on seed treatments remain in effect
Brands and trademarks continue to be protected
The Proprietary Regulatory Property related to the biotech event remains proprietary …
The only change is that the biotech event itself can be accessed and inserted or bred into available, accessible germplasm
© J. Thomas Carrato 2014
9
What Does that NOT Mean vis-à-vis a Generic Biotech Event?
A generic event must still be approved in the country of cultivation
A generic event must still be approved in the key export markets of each country of cultivation
Today, the approval process for the generic event requires the preparation and submission of a full regulatory dossier and the completion of the full regulatory process in each of those countries
If a generic event is stacked with another event (which is virtually always the case)…that other event is likely patented…that other event must also be approved…the stack must be approved
A product containing a generic event must still be properly
stewarded in the marketplace and through its life cycle:
Product integrity, purity and quality
Proper use to maintain utility, e.g. insect or weed resistance management
Prevent "matter-out-of-place"
Example: Regulatory and Trade Context for the U.S. Discussions
U.S Regulatory Structure
[x] USDA deregulates – no "approval" or license granted
[x] Deregulation not granted to petitioner & does not expire
[x] Stacks not separately regulated
EPA registers "plant-incorporated protectants" (PIPs = plant pesticides) – "license" granted to registrant
[x]
Registration expires – renewal
[x] Registration must be maintained – conditions on registration
[x] Separate registrations for each stack of pesticidal traits
[x] Provides for generics with data protection & data compensation
[x] FDA consultation - no "approval" or license granted
[x] Consultation voluntary & does not expire
[x] Stacks not separately regulated
[x]
Rest of World Regulatory Considerations
for U.S. Industry
[x] Approvals time limited in several countries
[x] Each new stack requires new approval in most countries
[x] Requirements for approvals always evolving or changing (e.g. South Korea, China, Kenya…)
[x] New approval processes come on-line (e.g. Vietnam, Indonesia, Tanzania, Mozambique…
[x] In all cases, maintaining approvals requires scientific, regulatory and political expertise and know-how
Regulatory + Trade Context for U.S. Industry
[x]
Even though a biotech event is "off-patent" in the U.S., it is still
highly regulated world-wide
[x]
All major importing countries have different approaches to regulating biotechnology. This is costly and complex to navigate
[x] Most countries regulate stacked event seed products as new products, requiring separate approval from single event products
[x]
Most countries do not have low-level presence (LLP) policies to manage the presence of unapproved events – creating a de facto "zero-tolerance" policy that delays innovation and is extremely costly to steward against
[x] Unapproved events in commodity shipments will cause trade disruptions
U.S. Stakeholder Concerns: Varied & Vocal
[x]
Seed and ag biotech industry reached out to a broad & diverse group of major grain trade, processor & grower groups
[x] Demand for maintenance of regulatory approvals in export markets to facilitate trade
[x] Exports of soybeans and soy products, corn and cotton account for over $40 billion of U.S. agricultural exports
[x] One in every four rows of U.S. soybeans goes to China
[x] Demand for mechanism to transition to generic marketplace
[x]
Increased price competition
[x] Availability of new combinations of generic events
[x] potential for economic gains
Expectation of high quality seed products to farmers in any
[x] marketplace (proprietary or generic)
[x]
Expectation of continuing innovation in seed products & crop traits
Example: The Collaborative U.S. Approach
American Seed Trade Association (ASTA) & Biotechnology Industry Organization (BIO) Process
[x] The seed and ag biotech industries started a process in the spring of 2010 to address those stakeholder concerns…engaging those stakeholders in continuing dialogue
[x] After analyzing options, ASTA & BIO agreed to consider the
development of a voluntary, but legally binding contractual mechanism
[x]
ASTA and BIO principles
[x] Each organization adopted a set of Board-approved principles with respect to post patent expiration access to and stewardship of biotech events
[x] ASTA & BIO Joint Working Group assignment:
[x]
Address post patent regulatory and stewardship issues
[x] Set up a clearly defined framework for transition from proprietary products to seed products containing generic biotech events: the AgAccord Agreements
Develop the AgAccord Agreements within the parameters of the approved
[x] principles
[x] The solution was not to be biased by any product specific considerations – e.g.
no mention of the "elephant in the room" Roundup Ready 1 soybeans
Basic Principles Guiding ASTA/BIO Process
[x] Deliver benefits to value chain:
[x] Maintaining and supporting export markets
[x] Maintain high stewardship & quality standards while allowing for business opportunities
[x]
Clear path for transition from proprietary to generic events
[x] Immediate access to events when they become generic
[x] Proper stewardship of seed products containing generic events
Maintain support for innovation
[x] Protection for all IPR (e.g. patents and regulatory intellectual property)
[x]
Compensation for "Proprietary Regulatory Property" (PRP)
[x] Promote science-based, transparent and predictable
regulatory processes globally.
[x]
Key Elements of the AgAccord Agreements
[x] Contractually binding process
[x] Voluntary and open to any entity supporting biotech to become a signatory to the AgAccord Agreements – only signatories get benefits
[x] Notice of patent expiration, opportunity to engage, and negotiation or arbitration of agreement for access
[x] Immediate and practical access to the generic event
[x] Every signatory commits to continued stewardship of the generic event
[x] global approvals maintained to support trade
[x] Excellence Through Stewardship or similar standards apply
[x] Compensation for and access to Proprietary Regulatory Property
Resources
www.excellencethroughstewardship.org
www.agaccord.org
Looking Ahead
What Will the Future Hold for Generic
Seed Products?
With continuous advancements in technology, will there even be a market for generic events?
With the stewardship need for multiple modes of action to delay development of resistance, should there be a market for single generic events?
How can and should regulators transition to the generic marketplace? Who will they hold accountable and how?
Regulators have not begun to consider the implications of a multitude of generic seed products on the market where the original developer is no longer in the market or responsible
Can the AgAccord Agreements provide guidance for approaches to the transition for other regions and countries?
What Will the Future Hold for the
Regulation of Generic Events?
The issues for generic biotech events are the same in every region and country: Regulatory & Stewardship
Longer term: science-based, transparent and predictable regulatory processes must be promoted globally, to remove unnecessary barriers, complexity and costs for generic biotech events and seed products
By definition, a generic event has outlived its patent life, is ~20 years old, and
has been on the market and in commerce for the better part of that
The regulatory requirements for such an event should be reduced or eliminated:
Based on familiarity
Based on GRAS (generally recognized as safe) for events with 20+ years of safe use
Through harmonization of global regulatory requirements and processes, or
Through regional approaches to the regulation of such products
Regardless of the regulatory response, the products of agricultural biotechnology must always be properly stewarded
© J. Thomas Carrato 2014
Thank you
Tom Carrato Creative Biotech Solutions, LLC +1.314.420.3573 [email protected]
Consulting in Agricultural Biotechnology Policy/Stewardship/Regulatory
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The CarChip Fleet Pro (# 8246) logs vehicle trip and engine data to provide a detailed history of driver performance and vehicle operation. The logged data includes trip start and end times, vehicle speeds, rates of acceleration and braking, engine performance data, all detected OBD II trouble codes, and detailed “accident” data for all sudden stops, plus an adjustable audible alarm that can be used to alert drivers of unsafe driving. CarChip Fleet Pro plugs into your car’s OBD II port and is compatible with most passenger cars and light trucks model years 1996 and later.
CarChip Fleet Pro data can be displayed in two ways. One is using DriveRight® Fleet Management Software (FMS) version 3.8 or later, sold separately. Additional CarChip software included with DriveRight FMS allows you to view engine performance data and vehicle trouble codes.
CarChip Fleet Pro data can also be uploaded to the cloud on your CarChip Connect® home page (requires a CarChip Connect service plan). GPS data can be added with the GPS Module for CarChip Fleet Pro (#8128) and GPS/Wireless Interface Module, (#8251).
**General**
- **Operating Temperature**: -40° to +185°F (-40° to +85°C)
- **Primary Power, Connected to Vehicle**: -9 to 16 VDC, 80 mA with vehicle running, 17 mA with the vehicle’s power off
- **Primary Power, Connected to Computer**: USB powered
- **Backup Power**: Internal battery, minimum of 5 years total, with data logger not powered by vehicle or computer; 10-15 year life in normal use
- **Memory**: 2MB
- **Data Logging Capacity**: Data logging capacity is determined by a combination of factors, such as logging intervals, number of optional parameters selected, and, if optional GPS is used, the logging interval used for GPS. Below is a chart of the approximate data logging capacity (in hours) available under various logging interval conditions. Results may vary.
| Speed Logging Interval | 1-4 Engine Parameters (with Logging Intervals) | Optional GPS (with Logging Intervals) | Hours Stored* |
|------------------------|-----------------------------------------------|--------------------------------------|--------------|
| 5 seconds | No Parameters Logged | No GPS Logged | 1200 hours |
| 5 seconds | No Parameters Logged | 15 minutes | 1000 hours |
| 5 seconds | 4 @ 60 seconds each | 1 minute | 520 hours |
| 1 second | 4 @ 5 seconds each | 15 minutes | 90 hours |
| 1 second | 4 @ 5 seconds each | 1 second | 24 hours |
*The total hours stored are approximate values, since the exact values depend on trip length and other factors.
- **Time & Date**: Accurate to +/- 2 seconds per day
- **Mounting**: 16-pin OBD II connector
- **Computer Interface**: USB
- **Computer Cable Length**: 4’ (1.2 m)
- **Alarm**: Adjustable, audible alarm for exceeding speed, acceleration, and deceleration limits, when enabled in software
- **Status LED**: LED, flashes to indicate CarChip status, when enabled in software
- **Dimensions**: 1.80” x 1.00” x 1.32” (46 mm x 26 mm x 34 mm)
- **Weight**: 0.7 oz. (20.5 g)
Software System Requirements (for CarChip or DriveRight Fleet Management Software)
Operating System ........................................ Windows XP or later
Disk Space .................................................. 5 MB free disk space
Display ....................................................... Windows-compatible VGA minimum, 800 x 600 resolution
OBD II Compatibility
Supported Protocols ........................................ PWM(SAE J1850),
VPW (SAE J1850 VPW),
ISO (ISO 9141-2),
KWP 2000 (ISO 14230-4),
CAN (ISO 15765-4)
CarChip-Compatible Vehicles:
US Market .................................................. Most domestic and import vehicles MY 1996 and later
European Market ......................................... Some vehicles model years 1996 - 2000 and most gasoline vehicles
MY 2001 and later, and MY 2004 and later diesel vehicles compliant with the supported protocols listed above.
Elsewhere .................................................. Undetermined. 1996 and later vehicles that are compliant with the supported protocols may or may not be CarChip Compatible.
Incompatible Vehicles .................................... CarChip meets and complies with all of the supported protocols used with US market vehicles MY 1996 and newer. Despite this, incompatibilities still exist. Review the General CarChip Pro Exclusions List to see the known exceptions, exclusions and anomalies on www.davisnet.com.
CarChip Data Display (in DriveRight Fleet Management Software)
Note: Most database and report views are location dependent, with the location listed as the first value.
CarChip Database View .................................. DriveRight or CarChip ID, serial number assigned driver, hard and extreme braking and acceleration thresholds, parameters logged and sample intervals for each parameter
Trip Database View ..................................... DriveRight or CarChip ID, Start date and time, trip time, distance, Vehicle ID, average speed, top speed, time spent over set speed limit, number of hard braking events, number of hard acceleration events, trip type, to address, from address, trip reason
Trip Summary Report View ........................... Driver name, Driver ID, license plate, DriveRight ID, trip date, start time, end time, duration, distance per trip
Usage Report View ...................................... Driver name, mileage, average monthly mileage for the past three months, weekend driving mileage, percentage, night driving mileage, percentage
Tamper Log Report View .............................. DriveRight or CarChip ID, driver name, tamper date and time, download date and time, time to reconnect, reason
Vehicle Database View ................................. Vehicle ID, VIN number, fleet name, DriveRight ID or CarChip ID, default driver, make and model, license, color, purchase date, current odometer, vehicle type, digital inputs
Vehicle Odometer Report View ....................... Vehicle ID, make and model, license, odometer reading, days since last download, Last odometer adjustment date, default driver
Accident Log Database View ........................ Date and time, DriveRight ID, Driver ID, cause, speed for every second for 20 seconds before and after accident event, latitude, longitude (available if optional GPS module installed in vehicle
Accident Log Report View ............................. DriveRight or CarChip ID, Vehicle ID, date and time of accident, Driver ID, time, speed, acceleration before and after event took place
Data Display (in CarChip Software, included with DriveRight FMS)
Trip Log Summary View .......................................................... Start date and time, duration, distance, maximum speed, time in top speed band, number of hard braking events, number of extreme braking events, number of hard acceleration events, number of extreme acceleration events, vehicle ID
Trip Log Report View .......................................................... Vehicle ID, CarChip data logger ID, start time, end time, duration, time spent at idle, time spent in first speed band, time spent in second speed band, time spent in third speed band, time spent in fourth speed band, distance, average speed, maximum speed, number of hard braking events, number of extreme braking events, number of hard acceleration events, number of extreme acceleration events, list of logged parameters (up to 4 optional data parameters), comments
Trip Log Plot View .......................................................... Line graph for vehicle speed and up to 4 optional data parameters
Trip Log Table View .......................................................... Elapsed time for trip and speed every 1, 5, 10, 20, 30, or 60 seconds. Up to four other parameters every 5, 10, 20, 30 or 60 seconds.
Activity Log Summary View ................................................ Date and time, CarChip ID, description of event
Activity Log Event View .................................................. Date and time, CarChip ID, description of event, comments
Accident Log Summary View ............................................. Date and time, CarChip ID, maximum speed in log
Accident Log Stop View .................................................. Date and time, CarChip ID, maximum speed in log, comments
Accident Log Plot View .................................................. Date and time, and corresponding line graph of vehicle speed for 20 seconds prior to stop
Accident Log Table View .................................................. Vehicle speed for each of the 20 seconds prior to the stop
Trouble Log Summary View ............................................ Date and time, vehicle ID, trouble code, problem description
Trouble Log Problem View .............................................. Date and time, vehicle ID, CarChip ID, trouble code, problem description, comments, OBD II freeze-frame info (parameters included in freeze-frame vary from vehicle to vehicle)
Data Display (on CarChipConnect.com)
See CarChip Connect Online Help.
Trip Mapping .......................................................... Historical only, with GPS Module (#8128) and GPS Interface Module (#8251)
Safety Score Report .................................................. Fully compatible
g-Bubble Report .................................................. Partially compatible. Cornering and vehicle down time is unavailable.
Speed Band Report .................................................. Fully Compatible
Activity Report .................................................. Partially compatible. Cornering and vehicle down time is unavailable.
Geofence Report .................................................. Geofence tracking not available.
Readiness Report .................................................. Partially compatible. Cornering and vehicle down time is unavailable
Integrated Scorecard .................................................. Geofence, cornering data not available.
Incident Report .................................................. Fully compatible.
Data Options
Supported Unit Systems ........................................... U.S., Metric, S.I., Custom (mix of U.S., Metric, and S.I.)
Vehicle Speed Logging Interval ................................. 1, 5, 10, 20, 30 or 60 seconds
Other Parameter Sampling Intervals ....................... 5, 10, 20, 30, or 60 seconds
Vehicle Speed Bands ........................................... 4 user-configurable bands identify normal vs. excessive vehicle speeds
Calculated Data .................................................. Hard and extreme braking, hard and extreme acceleration
Number of Optional Engine Data Parameters ............ 23 total possible as supported by vehicle, up to 4 selected at a time
Data Transfer Options
Transfer to PC (Fleet Management Software) ........ Via included cable or
Wirelessly with Wireless Module (#8129), wireless Base Station
(#8130), and Cable for Wireless Module (#8131)
Transfer to CarChipConnect.com ...................... Via cable and CarChip Connect DTU (free download with service plan)
CarChip Fleet Pro Parameters
| Parameter | Range* | Resolution† |
|----------------------------------|---------------------------------------------|-------------|
| Vehicle Speed | 0 to 158 mph, 0 to 255 km/h, 0 to 70 m/s | 0.6 mph, 1 km/h, 0.3 m/s |
| Trip Distance Traveled | 0 to 10,000 miles, 0 to 16,000 km | 0.1 mile, 0.1 km |
| Acceleration/Deceleration | 0 to 3 G, 0 to 30 m/sec² | 0.03 G, 0.3 m/sec² |
| Threshold | | |
| Engine Speed | 0 to 16,384 rpm | 1 rpm |
| Throttle Position | 0 to 100% | 0.1% |
| Coolant Temperature | -40° to +420°F, -40° to +215°C | 2°F, 1°C |
| Engine Load | 0 to 100% | 0.1% |
| Air Flow Rate | 0 to 8714 lb/min, 0 to 655.35 gm/sec | 0.1 lb/min, 0.01 gm/sec |
| Intake Air Temperature | -40° to +420°F, -40° to +215°C | 2°F, 1°C |
| Intake Manifold Pressure | 0 to 75 in. hg., 0 to 255 kPaA | 0.3 in. hg., 1 kPaA |
| Fuel Pressure | 0 to 110 psiG, 0 to 765 kPaG | 0.5 psiG, 3 kPaG |
| O₂ Sensor Voltage (up to 8 monitored) | 0 to 1.275 V | 0.005 V |
| Ignition Timing Advance | -64° to 63.5° | 0.5° |
| Short Term Fuel Trim (up to 2 monitored) | -100% to 99.22% | 0.8% |
| Long Term Fuel Trim (up to 2 monitored) | -100% to 99.22% | 0.8% |
| Battery Voltage | 6 to 16 VDC | 0.01 VDC |
* Range and resolution of sensor measurements only. Accuracy is dependent on the accuracy of the vehicle’s sensors.
Package Dimensions
| Product # | Package Dimensions (Length x Width x Height) | Package Weight | UPC Codes |
|------------|----------------------------------------------|----------------|-----------------|
| 8246 | 2.00" x 2.00" x 2.00" (51 mm x 51 mm x 51 mm) | 1.3 oz. (0.037 kg) | 0 11698 00881 0 |
| 8246 (10-Pack) | 10.00" x 4.00" x 4.00" (254 mm x 102 mm x 102 mm) | 1.0 lbs. (0.454 kg) | 3 0011698 00881 1 |
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WHERE
WELCOME (9 AM)
HCK 320, Hitchcock Hall, UW campus
DATE & TIME
Sep 11 th 2017 9am – 5pm
OLIVIA KOSTERLITZ• KERR LAB ELISA WONG • DUNHAM & FOWLER LAB
SELECTION ASSAYS (9.05 AM)
CHAIR: PETER CONLIN
OLIVIA KOSTERITZ • KERR LAB • 10 MIN "Identifying evolutionary trade‐offs of beta‐lactamase inEscherichia coli"
CLARA AMOROSI • DUNHAM LAB • 10 MIN "Developing a high‐throughput cytochrome p450 activity assay using yeast"
BRYAN ANDREWS • FIELDS LAB • 10 MIN "Scanning a Phage Tail Fiber to Investigate Adaptation to a Changing Host"
MELISSA CHIASSON • FOWLER LAB • 10 MIN "Characterizing structure and function of VKOR, a critical pharmacogene"
NICK HASLE • FOWLER LAB • 10 MIN
"Using microscopy as a means of selection for DMS"
~ COFFEE BREAK ~
SEQUENCING TECHNOLOGY (10.15 AM)
CHAIR: JOSH CUPERUS
JASON STEPHANY • FOWLER LAB • 20 MIN
Title: "Illumina Sequencing Platform for Sub‐Assembly and Barcoded Selections"
JASON UNDERWOOD • EICHLER LAB • 20 MIN
Title: ""
DMS RESEARCH FINDINGS I (11.00 AM)
CHAIR: LEA STARITA
PETER CONLIN • KERR LAB • 20 MIN
Title: ""
EMAIL
STEPHANIE ZIMMERMAN • FIELDS LAB• 20 MIN
Title:"Deep mutational scanning of multiple proteins in the yeast mating pathway"
GABE ROCKLIN • BAKER LAB• 20 MIN
Title: "Global analysis of protein folding using massively parallel design, synthesis, and testing"
MIKE DORRITY • QUEISCTH LAB • 20MIN
Title: "Identifying mechanisms of intramolecular temperature‐sensing through deep mutational scanning of the oligomerization domain of Hsf1"
~ LUNCH BREAK (PIZZA; 12 PM - 1PM) ~
DMS ANALYSIS & DETECTION TOOLS (1 PM)
CHAIR: GABRIEL ROCKLIN
HANNAH GELMAN • FOWLER LAB • 20 MIN
Title: "Drawing physical insights from high throughput mutational scanning experiments"
VANESSA GRAY • FOWLER LAB • 20 MIN
Title: "Quantitative missense variant effect prediction using large‐scale
EMAIL
CO‐ORGANIZERS: ELISA WONG AND OLIVIA KOSTERLITZ
mutagenesis data"
STEVEN LEE • NICKERSON LAB • 20 MIN
Title: "Stargazer: a software tool for calling star alleles from next‐generation sequencing data using CYP2D6 as a model"
COFFEE BREAK OPEN DISCUSSION (20 MIN) CHAIR: HANNAH GELMAN
DMS RESEARCH FINDINGS II (2.30 PM)
CHAIR: ELISA WONG
JOSH CUPERUS 5 • FIELDS LAB• 20 MIN
Title: "Deep mutational scanning of casava EPSP synthase for increased enzymatic activity and glyphosate resistance"
KENNY MATREYEK• FOWLER LAB• 20 MIN
Title: "Experimental identification of low‐abundance loss‐of‐function variants of clinically important genes"
GABE BUTTERFIELD • BAKER LAB • 20 MIN
Title:
EMAIL
CO‐ORGANIZERS: ELISA WONG AND OLIVIA KOSTERLITZ
BEN JESTER • FIELDS LAB• 20 MIN
Title: "Using selections and deep sequencing to improve the response and selectivity of engineered biosensors"
LEA STARITA • SHENDURE LAB• 20 MIN
Title: "Functional assays for determining the pathogenic potential of
BRCA1missense variants"
GLENNA FOIGHT • BAKER & MALY LAB • 20 MIN
Title: "Engineering of new chemically induced dimerizers using design and protein interface libraries"
CLOSING SESSION
EMAIL
|
<urn:uuid:99700a33-a9de-495c-964d-46ed46095c83>
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http://www.gs.washington.edu/news/2017DMS.pdf
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2017-09-23T14:37:00Z
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Our Scripture:
Growth Group Discussion Guide Week of January 28
Born from Above
John 3:1-21
Ice Breaker
Nicodemus was a Pharisee, a "ruler of the Jews." If you could have any title in the world what would it be?
Quick review
Looking back at your notes from this week's teaching, was there anything that particularly caught your attention, challenged or confused you?
Digging Deeper
1. Nicodemus is referred to as, Pharisee, "a ruler of the Jews." He was a member of the "Sanhedrin," the official Jewish court. Read John 11:45-50. What do you imagine to be the role of this council?
2. Read John 7:32-36 and 45-52. Why do you think Nicodemus spoke up on Jesus' behalf before the Sanhedrin?
3. Read John 19:38-42. What impact do you think Nicodemus' nocturnal discussion with Jesus had upon him?
Media Mix -Peculiar Treasure: Frederick Buechner
http://www.frederickbuechner.com/quote-of-the-day/2016/5/18/nicodemus
Bonus idea: Read "Born Again," by Charles Colson, white house council to President Nixon. A beautiful book, old, but eerily relevant.
Bringing It Home
1. Scholars have struggled to properly translate John 3:3. Which of these translations do you like the best? Which the least? Why?
2. "Born from above"
1. "Born anew"
3. "Born again"
2. Lutheran historian Martin Marty, author of 50 books, was once asked by a Christian fundamentalist TV host when he was born again. He replied, "this morning." The TV host was mystified that such a renowned historian of the church should have only finally found Christ that morning.
* How would you describe your experience as it relates to being "born anew," "born from above," or "born again?"
* What do you think Martin Marty meant by that response?
Prayer Time
The group HOST will lead the group in prayer.
Housekeeping
1. Welcome everyone to week 2 of Winter Growth Groups. Do introductions of any new people. Remind them that this is week 2 of a 3- week trial period at which point anyone can opt out guilt free OR covenant for the remainder of this 8 week series.
3. Who is bringing the refreshments next time?
2. Did you hear the sermon this week? It is available online at our website only as a podcast (not a video). We think this will make it easier to access. People could listen on their commute, for example. Let us know what you think.
4. Who do you know that you could invite to your group? Please invite people if there are less than 14 members in your group. Especially remember to invite those who are not part of Atonement.
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Department of Radiology
INFORMATION FOR PATIENTS SCHEDULED FOR UPPER GASTROINTESTINAL SERIES (U.G.I.)
Appointment Date: ________________________________
Appointment Time: ________________________________
IF YOU ARE UNABLE TO KEEP YOUR APPOINTMENT, PLEASE CALL ________________ TO NOTIFY THE DEPARTMENT OF RADIOLOGY.
NO PREPARATION, EXCEPT:
- Nothing to eat or drink after midnight
- No smoking the morning of the exam
IF YOU HAVE ANY QUESTIONS, PLEASE CALL THE DEPARTMENT OF RADIOLOGY AT _________________________.
(Phone No.)
U.G.I. Information sheet
Revised October 23, 2002
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Waverunners pricelist 2023
15.11.2022
All models can carry three persons, excluding SuperJet.
Models are equipped with RiDE (electronic deceleration/reverse system), excluding SuperJet.
SuperJet
Yamaha Motor Europe N.V. Branch in Finland Niittyrinne 4 02270 Espoo
Subject to change.
Prices will be added per location shipping costs.
FX SVHO
Two years warranty for leisure use.
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Call us TODAY for a FREE valuation of your care home and business.
(949) 397-4506
Michelle J. London
MBA,CPA,MiCP
Broker Associate • Investment Specialist
DRE# 01971087
Phone: (949) 397-4506
[email protected]
Melvyn D. Richardson
Advisor • Investment Specialist
DRE# 01318955
Phone: (949) 500-3630
[email protected]
www.rcferesource.com
Call or Text "RCFE" to (949) 397-4506
Keller Williams Realty – DRE #01934116
Low Supply vs. Low Demand RCFE MARKET REPORT:
Match weakened demand due to the sharp
rise in mortgage rates with a relentlessly low supply of homes, and the result is a substantial slowdown in housing that still favors sellers.
A SHOWDOWN BETWEEN SUPPLY AND DEMAND
Even with lower demand, the RCFE housing market lines up in favor of sellers due to the persistent lack of supply.
In the past week there has been a lot of noise about a "housing recession." It was revealed that closed sales plummeted in July. As a result, proclamations from experts across the nation exclaimed that the housing market is officially in a recession. Unfortunately, way too many people will jump to the conclusion that values are going to plummet like they did during the Great Recession. The recession that experts are alluding to is a major drop in sales, fewer purchase and refinance loans, and an overall limited number of transactions for all those involved in the real estate industry. Yet, a recession does not mean that housing is in crisis and that values will plummet. Only two of the last six recessions prompted a drop in home values, the Savings and Loan Scandal of 1991 and the Great Recession, both instigated by the missteps of the housing industry. The other four recessions resulted in an appreciating housing stock.
Every recession is different. During the Great Recession unemployment skyrocketed and housing was a huge "house of cards" built on years of subprime loans, pick-a-payment plans, teaser rate adjustable mortgages, and fraudulent lending practices. It was not a shock that housing values sank. This "recession" will be entirely different. To understand why housing has shifted but is not on the verge of collapse, look no further than to good old-fashioned supply and demand.
On the demand side of the equation (a snapshot of the number of new escrows over the prior month), buyer activity has been muted all year. Compared to the 3-year average peak prior to COVID (2017 to 2019), this year was 19% less. Even with the recent rise, today's reading is the lowest level for this time of year since 2007, the start of the Great Recession.
Today's demand levels are significantly muted due to mortgage rates rising from 3.25% at the start of the year to 5.72% where they stand today, according to Mortgage News Daily. The mortgage rates for care homes are higher, depending on type of financing. The buyer pool has been impacted and reduced by the massive drop in affordability that accompanies such a steep rise in rates.
Continued on Page 3...
27941 La Paz Road Suite #C • Laguna Niguel • California • 92677
REVERSIBLE CONDITIONS THAT CAN BE MISTAKEN FOR DEMENTIA
Excerpted from AgingCare by Grace Styron
How do I know what's causing my loved one's symptoms?
Dementia is caused by progressive damage to brain cells. Certain types of dementia, including Alzheimer's disease, vascular dementia, Parkinson's disease related dementia, Lewy body dementia, and frontotemporal dementia aren't reversible.
However, it's important to remember that just because a senior has dementia-like symptoms, it doesn't mean they actually have dementia.
There are various conditions, diseases, injuries, and infections that can cause seniors to experience dementia-like symptoms, including confusion, memory loss, and difficulty concentrating. Because the brain and organs are so dependent upon each other, it's not surprising that many different physical disorders can cause cognitive problems.
What conditions cause reversible dementia-like symptoms?
Certain conditions that cause dementialike symptoms can be treated. In fact, according to Harvard Health, there are more than 50 conditions that can cause or mimic the symptoms of dementia. Some of these potential conditions can include the following:
Alcohol abuse
Leading a healthy lifestyle with a memorysupporting diet may be able to partially restore their mental functioning in the long term and help prevent dementia development.
Cancers and tumors
Early symptoms of a slow-growing brain tumor can often mimic those of dementia. Depending on their location, brain tumors can affect cognitive function and cause confusion, memory loss, and changes in personality. They can also sometimes trigger other symptoms like headaches, seizures, or vomiting.
Delirium
Delirium is a change in mental state that develops quickly and can become very serious. It's often caused by a sudden illness or infection. Proper diagnosis and early treatment of delirium can help offset and reverse uncomfortable symptoms.
Depression
Depression is a mental illness that causes people to experience continuous low moods and a loss of interest in daily life. Depression and dementia are both common in later years, and each can lead to the other, according to Harvard Health Publishing. However, not everyone who has depression will develop dementia, and vice versa. Treatment and controlling for depression through lifestyle or other changes can help improve symptoms.
Medication interactions and side effects
Commonly prescribed medications may cause symptoms that mimic dementia. Some of these medications include statins, which are used to treat high cholesterol; acetylcholine blockers, which are often used to treat medical conditions like insomnia and irritable bowel syndrome; benzodiazepines, used to treat anxiety or insomnia; pain medications, such as opioids; corticosteroids, such as prednisone; and chemotherapy, which is used to treat cancer.
If necessary, a doctor may be able to reduce, replace, or eliminate certain medications in order to help reverse dementia-like symptoms.
Sleeping problems
A good night's sleep is critical for healthy brain function. A sleep disorder, such as sleep apnea, can negatively affect a senior's attention and working memory. In order to reverse these dementia-like symptoms, it's important to train your body to have natural, healthy sleep patterns.
Urinary tract infections
Urinary tract infections (UTIs) manifest differently in seniors than in younger adults. They can become systemic and wreak havoc on a person's mental clarity, potentially causing agitation, sudden confusion, or withdrawal. Getting systemic infections like UTIs under control can help prevent dementia-like symptoms.
Continued on Page 3...
Ask The Broker CONFIDENTIAL INFORMATION
Q: I'm buying an
RCFE business.
The sellers have provided me with
3 years' P&Ls, but refuse to furnish
anything more until there is an accepted offer. Why are they being so stingy?
A: They AREN'T! Selling an RCFE is a highly confidential enterprise, and sellers want to know that they have a bona fide, qualified buyer before they disclose their most private business documents. For all they know, you could be a competitor!
Once there is an accepted offer, the sellers have a certain number of days, as stipulated in the purchase agreement, to provide vital business information. Once the documents have been given to the buyer, the buyer typically has about 17 days to perform their due diligence. This means that the buyer has the right to examine the primary business information of the RCFE in order to make a determination whether to continue with the purchase.
During the due diligence period, the buyer has the right to cancel the purchase without penalty (less escrow fees already incurred) if they learn anything about the business that is unfavorable or not as expected. Typical documents furnished to the buyer include bank and credit card statements, tax returns, rent rolls, payroll runs, insurance Loss Run reports, and so forth, in order to determine the accuracy, reliability, and validity of the P&Ls.
Also, during the due diligence period, if the buyer is purchasing the home, they have the right to make any physical inspection of the home they deem necessary in order to satisfy themselves as to the condition of the property.
Please text your questions to: Michelle J. London at 949-397-4506. Your inquiry may be featured in an upcoming edition of this newsletter.
27941 La Paz Road Suite #C • Laguna Niguel • California • 92677
Current Listings
www.rcferesource.com
To view our current listings visit our website at
CURRENT LISTINGS
TUSTIN – RCFE FOR SALE
* Home and business
* Two story home
* 4 resident rooms downstairs
* Upstairs 3BDR Owners Suite
* Beautiful and comfortable
* Home $1.50M; business $75K
FRESNO – PORTFOLIO OF 3 RCFES
* Homes and businesses for sale
* Each home has 7+ BDR
* All homes spacious at 3,400+ s.f.
* Homes $2.040M; businesses $360K
MISSION VIEJO – RCFE FOR SALE
* Home and business
* 6 BDR/3 BA, 2,439 s.f.
* Charming home; great neighborhood
* $1.20M home; $150K business
VISALIA – RCFE FOR LEASE
* 6 BDR/3 BA 2,800 s.f.
* Inviting and welcoming
* Lease $4,500/mo
* Business $185K
COMING SOON
(please call for details)
ANTIOCH – RCFE FOR LEASE
* 4 BDR/3 BA, 1,782 s.f.
* Charming and cozy
* Call for details
ANTIOCH – RCFE FOR SALE
* Home and business
* 6 BDR/3 BA, 2,237 s.f.
* Well-maintained neighborhood
* Call for details
RCFE MARKET REPORT: Low Supply vs. Low Demand
Continued from Page 1...
Yet, muted demand is being matched up against a muted supply of available care homes to purchase. The inventory dropped to a record low level on January 1st of this year. Yet, the inventory reached what appears to be a peak a couple of weeks ago.
With muted demand, how has the RCFE housing inventory already reached a peak? The first factor is that demand has reached a cruising altitude, stabilized after slowly dropping since the end of March. The second factor, and more importantly, there are fewer care homeowners opting to sell. Fewer homes coming on the market impacts the ability for homes to accumulate on the market and allow the inventory to grow faster. This is a new trend that started in January as mortgage rates were rising.
The giant drop in demand is being matched up against an extremely anemic supply of available care homes. There are fewer buyers participating today, just as there are fewer care homeowners participating. This will continue until mortgage rates shift either higher or lower. Until then, the battle between supply and demand continues.
REVERSIBLE CONDITIONS THAT CAN BE MISTAKEN FOR DEMENTIA
Continued from Page 2...
Hearing and eyesight problems
An issue with a person's ability to hear or see can reduce their ability to take in information. This can cause confusion that makes it look like their mental abilities are affected. To alleviate and even reverse symptoms, make sure your loved one receives professional vision and hearing tests.
Various diseases
Other conditions that may cause dementia-like symptoms include thyroid disease, diabetes, hypoglycemia, Lyme disease, heart and lung disease, and respiratory infections. Early diagnosis and proper treatment of these diseases can help prevent dementia-like symptoms from worsening and, in some cases, reverse the symptoms altogether.
What are my treatment options?
If your loved one has been showing dementia-like symptoms, schedule an appointment with their doctor. The earlier the diagnosis and treatment, the better. If these conditions have appeared suddenly, be sure to get to the root of the problem.
27941 La Paz Road Suite #C • Laguna Niguel • California • 92677
OUR FEATURED LISTINGS
FOR SALE
TUSTIN: RCFE FOR SALE - 7 BDR, 3 BA, 3,178 S.F.
PROPERTY: $1.5M – BUSINESS: $75K
SCAN QR CODE FOR MORE DETAILS!
*
www.RCFEresource.com Thinking of Buying or Selling?
*
(949) 397-4506
THINKING OF BUYING OR SELLING?
Let our RCFE Resource team of professionals bring proven expertise to help you get the highest sales price for your RCFE or ARF!
(949) 397-4506 • www.rcferesource.com
27941 La Paz Road Suite #C • Laguna Niguel • California • 92677
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Artwork Approval Form
Return signed approvals to:
FAX: 419-241-3035 or
Email: [email protected]
22oz Colossal
2.5 "
3.625 "
CUSTOMER NAME:
PRODUCT#:
PRODUCT NAME:
By signing this form, I authorize Tolco Corporation to proceed with this order. I certify that the art work, as represented here, is correct and accurate in terms of design, working and spelling. I accept full responsibility for any errors or omissions. Your artwork request contains images and or verbiage that may be protected by trademark. By signing this document you acknowledge that you have the authorization to use the artwork and or words
and thus release Tolco Corporation from any conflict regarding the use of the artwork and or words provided.
APPROVED BY:
DATE:
/ /20
By signing this form, I authorize Tolco Corporation to utilize reproductions of my imprint as shown for use in marketing
materials. If you do not approve the use of your imprint, please check the box labeled, "Decline Marketing Use".
DECLINE
MARKETING
USE
PLEASE SIGN:
Fire Red
Warm Red
Rubine Red
Rhodamine Red
Brilliant Orange
Primrose Yellow
Medium Yellow
Emerald Green
Dark Green
Light Blue
Process Blue
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Dark Blue
Violet
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White
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SELECT INK
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ORDER ON HOLD PENDING APPROVAL
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Business Office
Vendor Registration Form
Mohave Community College --- Business Office
1971 Jagerson Ave Kingman, AZ 86409
VENDOR REGISTRATION FORM
(Please type in forms and print or email to [email protected])
- Completed W9 form must accompany this to become an approved vendor
- Proof of any required licensing, bonding, insurability or other industry requirements must accompany this form to become an approved vendor
COMPANY NAME__________________________________________________________
MAILING ADDRESS _____________________CITY____________ STATE____ZIP_____
BUSINESS PHONE_____________________FAX NUMBER_______________________
*E-MAIL ADDRESS__________________________________________________________
COMMODITY/SERVICE(S)
PROVIDED_____________________________________________________
FEDERAL TAX ID#: ________________or SOCIAL SECURITY #: __________________
OWNERS(S): _____________________DATE EST. _______________________________
Remittance Address if Different From Above:
COMPANY NAME__________________________________________________________
MAILING ADRESS______________________CITY___________STATE_____ZIP______
BUSINESS PHONE____________________FAX NUMBER________________________
CONTACT_________________________________________________________________
*required if vendor wishes to participate in submitting quotes or bids to the College
I CERTIFY THAT:
I, as officer of this organization, am duly authorized to certify the information requested herein: To the best of my knowledge, the information provided herein is accurate and true as of the submittal date; and my organization shall comply with all State and Federal equal opportunity and non-discrimination requirements and conditions of employment in accordance with ARS Title 41, Chapter 9, Article 4. I also acknowledge that I have read and understand the vendor agreement posted at XXXXX and agree to abide by said agreement.
Name: _____________________________ Title: __________________________
Date: _____________________________ Signature __________________________
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Enterprise Zone Board Meeting
Notice of September 29, 2021 Meeting to be Held Virtual via WEBEX
RE: Information to Virtual Meeting Via WEBEX of the September 29, 2021 Enterprise Zone Board Meeting
To Whom It May Concern:
Due to safety precautions there will be no attendance held at the meeting locations in the Chicago office (located at 550 W. Monroe Street) Chicago, IL 60601 and Springfield Office (607 East Adams Street, IL-12 Conference Room, Springfield, IL 62701) DCEO locations. This scheduled EZ Board Meeting for 9:00 am on September 29, 2021 will be held via a WEBEX meeting. Once connected into the meeting, please mute your phone line while attending the WEBEX.
Wednesday, Sep 29, 2021 9:00 am | 1 hour 30 minutes | (UTC-05:00) Central Time (US & Canada)
Event number: 2460 279 1907
Event password: 9m2ZKKuERw5 (96295583 from phones)
Join by phone
+1-312-535-8110 United States Toll (Chicago)
+1-415-655-0002 US Toll
Access code: 246 027 91907
Interested parties may contact Department staff at [email protected].
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THE ROCHE SCHOOL
Setting and Small Groups Policy
This policy which applies to the whole school is saved on the school shared system and upon request a copy (which can be made available in large print or other accessible format if required) may be obtained from the School Office.
The Roche School's Setting and Small Groups Policy applies to Key Stage 1 and 2 at The Roche School.
The procedures described comply with the Independent Schools Standards Regulations (The Education [Independent School Standards, England] Regulations 2010, as amended from January 2013) also known as the ISSRs.
In accordance with, and beyond the requirements of these regulations, The Roche School makes its policies available to view on the public area of the school's website – www.therocheschool.com.
As an independent school, The Roche School is able to 'cap' its class sizes at 18-20, thus enabling adequate teacher time and attention for every child across the curriculum. Our staff to child ratio is high and, in addition to full-time class teachers, we employ a range of specialist teachers in Sport, Art, Music, Spanish and French so that children are able to engage with a breadth of opportunity in a wide range of subjects.
It has long been a tradition at the school that, in the key areas of English, Phonics and Maths, we break the year group down into smaller groups – creating an extra group or groups in any one year group. This is because the founding Principals of the school – James and Carmen Roche - strongly believe that all pupils should experience a high level of personal attention in the classroom and that they should also be able to progress at the most appropriate pace.
We take a considered approach to grouping in English, Phonics Reasoning and Maths. Consistent, high-quality teaching in these areas in smaller groups reaps dividends for them in a competitive system. We also group in Upper School sport so that their own Games lessons are appropriate to what they need and are both motivating and enjoyable.
Our English groups across the school are flexibly grouped according to matters of pace and consolidation. During Key Stage 2, when children are explicitly preparing for the 11+ examinations, a currently higher attaining (CHA) group will prepare for school entrance that pitches significantly above the Expected Standard.
Maths is more closely streamed with all children covering the same, aspirational syllabus but at different speeds.
When identifying the children that may be more suitable for a currently higher attaining (CHA) group, we consider the following:
In English:
* A particular proficiency to comprehend literature pitched above the age-appropriate standard, with suitable oracy skills to demonstrate this
* Consistently secure demarcation and transcription skills in creative writing
* Speaking and listening skills significantly beyond the current year group expectation
* Consistent use of 'flair' in creative writing, either influenced by ambitious reading choices or a well-developed imagination
* Mature learning behaviours, such as curiosity, resilience, independence etc.
In Maths:
* A particular proficiency to comprehend increasingly complex areas of Maths, with suitable related problem-solving skills
* Consistently secure understanding and demonstration of the current year group expectation, with the ability to 'play' and 'take risks' with said skills and to apply these skills across a variety of contexts
* Consistently secure understanding and demonstration of number and place value facts
* Consistently secure understanding and demonstration of operational written methods, including employing a range of approaches, recognising which are most appropriate to solve a given problem.
* The ability or willingness to investigate Mastery-style questions pertaining to content pitched above the current year group expectation, using reasoning and systematic approaches to tackle unfamiliar questions in increasingly complex scenarios
* Mature learning behaviours, such as curiosity, resilience, independence etc.
At The Roche School, we adopt a Growth Mindset approach to teaching and learning, understanding that skills, ability and attainment levels are not fixed. Because of this, our groupings are considered fluid.
To be read in conjunction with the SEND Policy and Higher Attainers Policy.
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The Implant Treatment Pathway
1. INITIAL FREE CONSULTATION
Written summary sent to patient and referring dentists
2. HEALING REVIEW &/OR DIAGNOSTICS
Clinical and radiographic (CBCT scan) review proposed site 8 weeks post extraction, for multiple teeth a diagnostic 'mock up'
3. IMPLANT PLACEMENT
Under strict aseptic conditions
4. IMPLANT EXPOSURE
Generally 6-8 weeks after placement, 12 weeks if bone augmentation was necessary
5. RESTORATIVE STAGES
By Audley Dental Solutions or by referring GDP with support from Chris or Martina
6. REVIEW
1 year post treatment completion, OH reinforced, "Biological stability" confirmed
The patient will be given a guide to cost at the initial consultation. A fixed quote will be provided once a definitive treatment plan has been agreed (which may be after any necessary diagnostic work eg CT scan or 'mock up').
We use the latest techniques 3D imaging (following ADI guidelines) to carefully plan implant surgery.
At the end of restorative treatment, a letter with relevant radiograph will be forwarded to the referring clinician. The relevance of scrupulous oral hygiene will have been emphasised to the patient.
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Average First-Year Retention and Six-Year Graduation Rates: By Ethnicity Prescott
Source: Institutional Research. Cohort = Fall term, first-time, full-time BS degree-seekers. Most recent three cohorts combined. Retention = Re-enrolled the following fall term (as of census) at DB or PC in any degree program, even if different from the original campus/program.. Graduation = Obtained a BS degree from DB, PC, or WW, even if different from the original campus/program; rates are cumulative (i.e. all students who graduated up to that point). Not shown (too few): American Indian/Alaskan Native, Native Hawaiian/Pacific Islander.
ERAU One-Year Retention Rates: By Ethnicity
Source: Institutional Research. Cohort = First-time, full-time, bachelor's degree-seeking students (as of fall census).
> Columns - entering cohort, as defined by their entry year (fall term). Decreases in a cohort's Initial Headcount over time reflect the exclusion of deaths that occurred within the stated interval.
> Rows - status at each interval after entry (as of fall census): Returned = Enrolled at DB or PC (any degree program). Attrited = Not enrolled at DB or PC.
Change in Ethnicity reporting - Before 2010, students self-identified by selecting only one of the following: Hispanic/Latino, American Indian/Alaskan Native, Asian, Black/African American, White. As of 2010, students instead first identified themselves as to whether or not they were Hispanic/Latino, then further as one or more of the following: American Indian/Alaskan Native, Asian, Black/African American, Native Hawaiian/Pacific Islander (new), White. The results are summarized according to the following hierarchy:
(a) Nonresident Alien (Int'l Students)
(b) Hispanic/Latino
(c) each of the five ethnic categories (if only one was chosen)
(d) Two or more races (if more than one of the five categories was chosen).
Greyed out cells are unavailable either due to the 2010 reporting change or an internal system issue that was later discovered to have misclassified those in the Hispanic/Latino, Two or more, or Unknown categories.
ERAU Six-Year Graduation Rates: By Ethnicity
Source: Institutional Research. Cohort = First-time, full-time, bachelor's degree-seeking students (as of fall census).
> Columns - entering cohort, as defined by their entry year (fall term). Decreases in a cohort's Initial Headcount over time reflect the exclusion of deaths that occurred within the stated interval.
> Rows - status at each interval after entry (as of fall census): Returned = Enrolled at DB or PC (any degree program). Attrited = Not enrolled at DB or PC. Graduated = Obtained a BS degree from DB, PC, or WW (in any degree program); rates are cumulative.
Change in Ethnicity reporting - Before 2010, students self-identified by selecting only one of the following: Hispanic/Latino, American Indian/Alaskan Native, Asian, Black/African American, White. As of 2010, students instead first identified themselves as to whether or not they were Hispanic/Latino, then further as one or more of the following: American Indian/Alaskan Native, Asian, Black/African American, Native Hawaiian/Pacific Islander (new), White. The results are summarized according to the following hierarchy:
(a) Nonresident Alien (Int'l Students)
(b) Hispanic/Latino
(c) each of the five ethnic categories (if only one was chosen)
(d) Two or more races (if more than one of the five categories was chosen).
Greyed out cells are unavailable either due to the 2010 reporting change or an internal system issue that was later discovered to have misclassified those in the Hispanic/Latino, Two or more, or Unknown categories.
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Turning the Hunted into the Hunter via Threat Hunting: Life Cycle, Ecosystem, Challenges and the Great Promise of AI
Caroline Hillier and Talieh Karroubi
School of Computer Science, University of Guelph, ON, Canada,
[email protected], [email protected]
Abstract—The threat hunting lifecycle is a complex atmosphere that requires special attention from professionals to maintain security. This paper is a collection of recent work that gives a holistic view of the threat hunting ecosystem, identifies challenges, and discusses the future with the integration of artificial intelligence (AI). We specifically establish a life cycle and ecosystem for privacy-threat hunting in addition to identifying the related challenges. We also discovered how critical the use of AI is in threat hunting. This work paves the way for future work in this area as it provides the foundational knowledge to make meaningful advancements for threat hunting.
Index Terms—Threat Hunting, Threat Intelligence, Advanced Persistent Threat, Emerging Threat, Artificial Intelligence.
1 INTRODUCTION
The process of threat hunting is involved with proactive use of manual or machine-based methods by cybersecurity analyst to find security incidents or threats that previously spread automatic detection techniques missed. In order for analysts to succeed at threat hunting, they need to understand how to arrange their tools into detecting the threats [1]. In addition to having sufficient knowledge of malware, exploits and network protocols, they need to be able to navigate the vast quantities of data, including logs, metadata, and packet capture (PCAP) data. Proactive defence has received a research focus in recent years [2] [3].
There are systems like Intrusion Detection Systems (IDSs) [4] that have reactive mechanism in nature and detects intrusions which have already been in the system. As a result, reactive mechanisms are far behind and are not be able to handle actions taken by clever adversaries. However, there is proactive defense that has been designed to detect potential attackers and/or mitigate the impact of intrusions ahead of their penetration like IPSs [3].
Threat hunting is a branch of proactive defense that deals with emerging and unseen threats. It is the act of detecting and eliminating cyberattacks that have penetrated your environment without creating any alarms, unlike traditional cybersecurity investigations and responses, which activated by system alerts, and are carried out after possibly malicious activity has been spotted. Therefore, a threat hunter is discovering and uncovering new threats [5]. Figure 1 shows how threat hunting turns the hunter into the hunted. The malicious actor that is posing the threat becomes the target of the hunt by cybersecurity professionals. Indeed, in Figure 1 the hunter represents the malicious actor that is trying to hack into a target entity. The deer represents the entity that is the malicious actor’s target.
Threat hunting is a sensitive area which requires attention [6]. Though the cybersecurity tools developed by companies are strong, adversaries frequently find a way invade the system. Therefore threat hunters have the responsibility to find adversaries quickly, to prevent further damage. Within threat hunting there is a wide array of stages and areas of applications so this broad topic is challenging to fully understand [7]. This literature review survey aims to provide a holistic understanding of current work regarding threat hunting. Although there are some surveys regarding threat hunting, there is insufficient work to fully investigate current advancements and their benefits as well as upcoming need related to this area. In this paper we discuss the recent developments and their relations with each other and conclude the possible future predictions of the integration of AI and other future applications.
Big industrial companies such as CISCO [5] [8], Palo Alto [9] and Dragos [10] are working on threat hunting. In recent years, threat hunting has been of great interest to the research community as well [11] [12]. Academia is following the industry via defining theses [13] [14] and projects [15], offering courses [16], building labs [17] [18], presenting lectures [19] and organizing competitions [20]. However, the academic research community still looks lagging behind the industry. Although there might be some related survey papers, they have shortcomings, which motivate our work in this survey. Some of them are very general others are too specific.
The rest of this paper is organized as follows. Section 2 presents a review on existing survey and their shortcomings in order to highlight our motivations for our work in this paper. Section 3 discusses the problem of emerging threats. Sections 4, 5 and 6 study the life cycle, ecosystem and challenges of threat hunting. Section 7 develops a future roadmap for future research on threat hunting and lastly,
Section 8 concludes the paper.
2 Existing Surveys
The literature comes with many surveys related to threat management [21]. However, some of them or too outdated for such a fast-moving research area [22] [23]. Others do not focus on threat hunting [24]. Some of existing surveys fail to develop a future road map [25] [26]. Most of them do not discuss the role of AI [27]. Moreover, some relevant surveys discuss threat hunting in a specific area [28]. These shortcomings motivate our work in this paper.
2.1 Surveys on Threat Management
This section explores the topics covered in the existing research of the threat hunting life cycle. The sections explore some recent developments in threat management, hunting, and the role of AI [29], [30]. Subsection 2.3 includes a table that directly compares the threat hunting features noted in the papers discussed in this section (Table 1).
The article [24] stated that with the rapid development of technology, companies are constantly competing to have an advantage over their competitors [24]. Because of this change, some companies ignore their duty to consider the security measures that should be taken, to prioritize production speed [24]. The researchers enforced that it is crucial for companies to consider and address all security implications that come with their new technologies [24]. Threat management concerns have been investigated and solutions have been proposed by industry researchers.
Multiple studies have initiated the partitioning of resources for threat hunting and mitigating is a somewhat new sector for businesses to consider [26]. The authors of [25] developed a deep learning model systems that will allow for constant moderation and quick detection of potential threats in their systems. Deep learning tools will assist in managing the rapid technological development and the consistently growing attack surfaces that create challenges for modern security frameworks [26]. When faced with managing the security for a company, there are many approaches to take and perspectives to consider, which will be discussed in this section and visualized in table 1.
The management of security in companies has become a paramount focus for most, which has led to the requirement of security reports from companies [31]. In [31] it was observed that many of these reports are failing to provide complete and thorough reports on the attack trends because they are strictly based on internal data. These researchers used the data from some of these reports a meta-analysis was completed to identify common trends of malware and ransomware attacks [31]. Combining these incomplete reports, the researchers were able to provide valuable information that may be used by companies to assist in formulating risk models and estimating potential losses post-attack [31].
When considering attackers, understanding the approach of common Advanced Persistent Threats (APTs) is highly beneficial to security [32]. The authors of [33] determined that each APT has a defined target and the campaigns are typically launched by an established organization. They emphasized that security professionals need to understand how these intrusion methods are executed and how to detect them [33]. These sophisticated threats require more than normal IDSs as the attackers are highly knowledgeable [33]. The authors concluded that organizations need to understand the stages and aspects of APT to prepare for the attack and ensure that they can identify the threat in the early stages [33].
The number of “things” connected to the internet is on the rise. More devices are merged through the internet to make day-to-day life easier [24]. When considering the Internet-of-Things it is difficult to fathom the extent of high-value data traffic that is transmitted every day. The authors of [24] stated that as devices are added to the internet, the threat potential also increases. Protecting this data from threats is a colossal issue that security professionals, corporations, and governments are responsible for keeping [26]. The research completed in [26] has examined the many layers in the internet of things (IoT) (perceptual, network, and application) and applied their attributes to a variety of datasets to understand the threats that each level may attract or be vulnerable to. Suggested problems to consider have also been proposed. The authors of [24] listed these suggestions as the efficacy of threat detection in
the IoT, the implementation of machine learning (ML), and the development of standardization.
2.2 Surveys on AI-Assisted Threat Management
The authors of [25] have recognized the daunting task of leading Insider Threat Detection for organizations. It was understood that many malicious activities can go undetected with the different privileges associated with users, and the rate that digital footprints can get lost in large networks [25]. These researchers have compiled datasets to provide a clear understanding of Insider Threat Detection in Deep learning [25]. In [25] it was discovered that Deep Learning solutions have the ability to enhance the capabilities of Log based Anomaly Detection when processing large sets of data. The CERT Insider Threat Dataset, along with others were used in the research to test a Deep Belief Network (DBN), Autoencoder approach four Recurrent Neural Networks (RNN), and a Convolutional Neural Network (CNN) [25]. Each of the approaches had unique benefits and downfalls, but ultimately the researchers suggested to transition from academic to industrial solutions [25]. To do this, the researchers suggested to integrate the Elasticsearch-Logstash-Kibana (ELK) toolset into Deep Learning Models [25].
2.3 Surveys on Emerging Threats
Cyber intrusions are evolving exponentially as computer systems advance [22], [34]. The articles [22] [23] [35] all observed a consistent rise of threats and vulnerabilities that are constantly challenging the updated computers, mobile phones, and other products. Specifically, [23] stated that threats faced today go beyond the well-recognized email spam, and have advanced to more complex threats such as botnets, or ransomware. [22] clearly stated that the current threats have led to a requirement for modernized intrusion detection technologies supported by current research. Attackers have also been observed to still be using older, simple tools for intrusion as well as the modern, advanced threats, so security professionals require a more diverse and tiered knowledge on how to approach the potential threats [23]. The article [35] highlighted that some threats are so discreet that many times they are not recognized until they have fully infiltrated the target network.
A common emerging threat called Denial of Service (DoS) is a type of threat that exploits a network by overwhelming the contact point so that the network or server is left impaired [27]. These attacks are usually used to attack in-demand services such as online banking, streaming, and social media [27]. The article [27] noted that as the internet matures, new layers are being introduced which require modern security methods. The researcher explained that the transport layer provides an opportunity for attacks. They further suggested that the current tactics for security from DoS attacks are still valuable but modernizing them to account for new paradigms will ensure strength [27]. For example, the article [27] encourages using cloud environments as they provide a cost-effective DoS evasion technique.
In [35] it was stated that mobile device security is important to consider as smartphones become more connected and integrated into our lives. The researchers state that mobile security can be improved by ensuring that care is taken to use verified tools when visiting websites and downloading applications. In [35] it was expressed that malicious files can be stored in third party apps and unauthorized websites that attackers have built to look like commonly used platforms, so moderation is extremely important.
Individual phone numbers are linked to each phone and are a very important piece of Personally Identifiable Information (PII) [36]. Due to the reach of phone numbers, compared to other PII such as email addresses, the article [36] explains that phone numbers are more enticing for attackers to target. [36] further discusses that it is somewhat easy for attackers to generate large sets of valid phone numbers that can be exploited later for malicious activities. [23] says that every level of threat, simple or advanced, can have catastrophic effects on the target so it is important to be aware of the potential attacks and how to be cautious. As the smartphone landscape increases, security professionals and average users will have to aim to recognize and mitigate attacks [23]. [22] noted that any organizations and individuals use Network IDSs to protect themselves against attacks. The users in [22] write extensive detection rules to maximize the detection system’s effectiveness. To best prepare for these attacks, the authors emphasized the importance to understand the attacks by making a comprehensive dataset with an array of metrics for testing and decision making [22].
2.4 Surveys on Threat Hunting
Threat hunting is important for all types of technologies. In [28] it was identified that there is a lack of research regarding non-Windows operating systems. There is constant development of hunting techniques for Windows malware, but there is a lack of work regarding Linux protection [28]. The article [28] explained that IoT devices are typically run using Unix-based architectures so there is a high risk of exploitation due to researchers’ lack of preparation. Since IoT devices are so integrated into our homes and lives, there could be severe repercussions after an attack [28]. In [28] it was stated that ML-based threat hunting has been overwhelmed by the big data problem of IoT devices. The authors proposed a creation of a new platform and CPU instruction set, along with an updated taxonomy of developments could be the solution to fulfilling this gap of protection [28]. The work [28] also stated that a comprehensive analysis of current research to hone in on the lacking fields for future research is required.
Table 1 shows the features of existing threat hunting surveys in regards to the topic of threat hunting, and the main discussion points involved.
Indeed, in Table 1, the first column shows the reference number of the survey analyzed in that row. The next column (Year) is ordered in most to least recent year of publication. The column Threat Hunting in Table 1 indicates if the survey directly discusses threat hunting. The discussion of future possibilities and research suggestions is indicated in the following column (Roadmap). Finally the column General lists if the survey generally discusses threat hunting.
Looking at the content of Table 1 it can be seen that many of the discussed surveys do not explicitly focus on threat
TABLE 1
A Summary of Existing Surveys
| Works | Year | Threat Hunting | Roadmap | AI | General |
|-------|------|----------------|---------|----|---------|
| [28] | 2021 | Y | Y | Y | Y |
| [31] | 2021 | N | Y | N | N |
| [33] | 2021 | Y | N | N | Y |
| [24] | 2020 | N | Y | Y | N |
| [25] | 2020 | N | Y | Y | Y |
| [26] | 2020 | N | Y | N | Y |
| [27] | 2018 | N | Y | N | N |
| [35] | 2016 | N | N | N | N |
| [36] | 2016 | N | Y | N | Y |
| [23] | 2014 | Y | Y | N | Y |
| [22] | 2011 | Y | Y | N | Y |
hunting, but rather highlights the general application in the field. Majority of the surveys did propose some suggestions for application and future development of the area of focus. Within the studies there was some discussions of the integration of AI, but there was little direct explanations of AI's role. Overall, the surveys did discuss the general properties of threat hunting, and analyzing the collection as a whole gives good insight to the current work and future direction (Table 1). In Table 1 it can be seen that the article [28] provides a comprehensive understanding of general and specific threat hunting topics, and the future of threat hunting with the integration of AI.
3 THE CRITICAL PROBLEM OF EMERGING THREATS
In this section we discussed that With the emergence of cyberthreats, you can no longer control or safeguard network borders [37], the supposition is in identifying the breach as soon as possible so you are able to minimize its impact. However, there are some ways to identify new threats including new ML method [38].
[39] Studies logic solution for emerging Worms and viruses and botnets indicated that hackers are no longer content just to compromise and control individual computers, as they have now turned their attention to virtual networks of zombie systems, which they use to commit wicked actions [39]. In spite of the fact that botnets are comparatively novel and developing threats, the lawful structure supports strong solutions [39]. In another paper Emerging Cyberthreat Events in Twitter Streams is discussed [40]. A new ML and text information extraction method is presented in [40] to identify new and growing cyberthreat incidents on Twitter. In addition, the offered method give the option for the ranking of cyberthreat events in terms of their significance based on extracting the tweet terms that can be considered as named objects or keywords [40].
Another article discusses about Automated discovery of Emerging Network Security Threats. The Internet community confronts significant issues in terms of system and network security. The rise of hi-tech crime poses a threat to the expansion of an online business [41]. The security community has grown and used technologies that allow it to stay up-to-date on new threats [41]. In addition to observing unlawful Internet traffic, data analysis is needed to recognize novel and developing threats among the abundance of unlawful, but identified, traffic [41].
Additionally, [42] explained a consensus-based approach to assessing the effectiveness of modern security products for detecting and containing emerging threats [42]. With the emergence of cloud computing and cyberthreats today, people and companies alike have realized several things [42]. First, there are no longer any network borders under you can control and safeguard. Second, Due to the essence of threats, they are often dispersed both in time and setting that makes recognition very problematic [42]. Third, rather than supposing you can avoid infections, the working supposition is the speed at which can you notice the breach and how do you most lessen its influence [42]. It was shown that transportation networks in current society must be harmless, protected, and well-organized [43]. Possessors and operators of these networks are growingly using IoT technologies in order to increase their general success [43]. The conducted research suggested that, to the domain-particular security issues, slight emphasis has been committed that emerge when IoT is applied inside the transport area [43].
In [44] explained that Most network management use traditional rule-based IDSs based on identified attack signatures, which do not identify novel attacks. As a result of the inadequate statistical validation of base truth data, which is used to shape regular network behavior, irregularity detection solutions are known to be inclined to to great false positive proportions. [44] presented the scheme, execution, and assessment of Citrus, a new ID structure that can identify and organize hostile behavior using graph-based metrics and ML algorithms to solve developing threats [44].
It was shown in [45] that it is becoming growingly difficult for users to locate used IoT devices and comprehend their goals and potentials due to the rise in smooth combination of IoT sensing and activating devices. [45] Providing a mechanism of mapping the IoT and tackling stakeholder needs is one method. IoT maps may, nonetheless, divulge a number of vulnerabilities that will require to be solve. The STRIDE model was used for two case studies to find possible weaknesses and approaches for addressing them in the IoT maps setting. [45].
Furthermore, [46] argued that Block chains and decentralized file storage systems have allowed a broad scope of novel applications and opportunities due to the extensive acceptance of the new generation of decentralized architectures. In article [46] blockchain and the broadly used DFS systems was studied and their main challenges and opportunities, especially their immutability and its effect on General Data Protection Regulation (GDPR) compliance is discussed.
It was shown in [47] Organizations with a high reliability rating (HRO) function in dangerous and safety-critical settings where failure prevention takes precedence over conventional performance measurements and cost productivity. Five key HRO features have been recognized by investigation in the military, air traffic control, and similar domains [47]. Additionally, In this research [48], the interpretation errors made by Alexa, the speech-recognition engine that controls the Amazon Echo family of devices
is examined. [48] describes a novel type of attacks, called skill squatting attacks that exploit shared misinterpretations made by Alexa, and its security implications [48].
The authors of [49] explained that Virtual hosting for lightweight operating systems is possible with container technology. Multi-tier distributed applications are altered greatly by the mentioned technology coming into the view. There are some security issues still associated with allowing several containers to share a single operating system kernel on a multi-tenancy container cloud service due to an imperfect implementation of system resource isolation mechanisms in the Linux kernel [49].
It was shown in [50] that throughout history, cryptocurrencies have been used by cybercriminals for the privacy and pseudo anonymity they provide. Collecting datasets to train protective systems to identify and examine these attacks by cybercriminals is a substantial challenge for researchers [50]. Authors of [50] found that there is a substantial amount of research covering the finding and examination of high produce investment programs and pump and dump attacks.
The authors of [51] argued that Firewall technology is an essential first step in safeguarding networks of any complexity or scope against attacks as a result of the growing threat of attacks and malefactor activities. Current greatly spread, active, and varied settings make it particularly problematic to design and manage firewall policies, severely limiting their effectiveness. Hence, it is required to automate the firewall configuration if possible [51].
4 THREAT HUNTING: LIFE CYCLE
Figure 2 shows the five stages of the threat hunting life cycle discussed in this paper, in order of occurrence.
The threat hunting life cycle is compromised of five stages that can be seen in 2. The first stage is Hypothesis Building which includes details on the development of arguments regarding threat hunting (Section 4.1). The next is Consensus Reaching where cybersecurity professionals analyze and classify the threat (Section 4.2). The next step, Threat Triaging involves planning and delegating tasks to manage the treat in the best possible manner (Section 4.3). Threat Identification is the next stage and includes threat emulation and threat quantification. More information can be found in section 4.4. Threat Reporting includes the processes of threat warning, threat modelling, threat recording, and threat visualization (Section 4.5). Finally, Threat Containment includes threat tracking and monitoring (Section 4.6). The life cycle starts with hypothesis building and cycles through each stage until the threat has been successfully hunted and defeated, then the process starts again as there are constant emerging threats.
4.1 Hypothesis Building
Threat hunting life cycle is 6 steps including hypothesis building, consensus reaching, threat triaging, threat identification, threat reporting and threat containment. In this section we investigate the importance of each step and examples of using them. Threat hunting is scientific in nature and begins with steps in the threat hypothesis phase that are designed to create a logical argument regarding an existing threat, next follows with steps in the threat hunt phase intended to validate the argument [52]. Threat hunting hypothesis must create a correlation and causal relationship between a threat and an asset and stick to the scientific method for the exercise to be defined and measured accurately, and produce valuable and repeatable results [52]. By failing to hold to the scientific method, threat hypotheses often present unacceptable or unrelated propositions, which decreases return on investment in cybersecurity defensive efforts because of wasted cycles of threat hunting [52].
In [52] paper, Collect Analyze Relate Validate Establish (CARVE) is proposed as a scientific method for developing valid threat hunting hypotheses in the context of a specific organization’s information system and environment. In a case study based on the U.S. Computer Emergency Readiness Team (US CERT) technical alert “TA17-293A,” the CARVE model is defined as the following: Collect, Analyze, Relate, Validate, and Establish [52].
4.2 Consensus Reaching
Consensus identifies new threats as malicious or not when \((n/2+1)\) security products agree on the nature of the threat over time. The method was developed as a simplified extension of the well-known Byzantine Agreement protocol, first discussed by Leslie Lamport [53].
To test the ability of commercial gateway and endpoint security services to classify and categorize different types of web traffic (malicious content, malicious activity, and non-malicious content), the authors have developed benchmark metrics [53]. This methodology was used to evaluate eight gateway protection services for identifying malicious traffic, command and control (C2) communications, and non-malicious content. Consensus is a key component of the methodology [53].
4.3 Threat Triaging
Experts can determine whether a suspected malicious file is similar to existing malicious files and triage them accordingly that is one of the quickest ways to identify and assess numerous malicious samples [54]. Using the most appropriate triaging method can significantly improve the precision of further static and dynamic analyses, as well as saving a great deal of time and effort [54]. There are
currently three popular and proven triaging methods: fuzzy hashing, import hashing, and YARA rules, which you can use to determine whether, or to what degree two malware samples are similar. The mechanisms among these three methods differ significantly, and comparing them is difficult [54].
The authors of [54] evaluate three different approaches for triaging four of the most relevant ransomware types: WannaCry, Locky, Cerber, and CryptoWall. The study evaluates their triaging performance and run-time system performance, emphasizing their limitations.
### 4.4 Threat Identification
Most companies use signature-based commercial antivirus products that do not provide organizations with the sensitivity needed. In addition to antivirus products, ML techniques can also perform a significant role in malware detection [55]. Performance-based malware target recognition is extended in [55], which currently relies exclusively on static heuristic features. In experiments, the architectural component achieved a detection accuracy of 98.5
Insider threats are more problematic to discover since insiders may know more about an organization’s information security policies and procedures than outsiders [56]. The insiders in an organization have access to their organization’s information systems, as well as legitimate functions to carry out that require the use of these systems [56]. In [56] an insider threat detection prototype is evaluated against a set of experiments that evaluate its ability to detect scenarios that have not previously been considered or seen by its system developers. Without prior knowledge of what scenario is present or when it occurs, this paper shows the capability of detecting a variety of insider threat scenario instances embedded in real data [56].
In [57], it is explained that a computer system’s integrity depends on the integrity of its kernel code and data. Kernel modifications are tougher to detect than their user-level equivalents. However, the tampering pattern has so far been limited to hiding malicious objects in user space. In this case, kernel data structures are manipulated in order to intercept user requests and change the user’s view of the system [57]. Thus, defense techniques are based on detecting such hidden behavior. These kind of attacks are hidden so they damage the system without being understood by the user or IDS, and they states a systemic problem inside the kernel. The recent generation of kernel integrity monitors can’t discover this kind of attack without prior knowledge of its signature [57].
The authors of [58] explained that a continuous monitoring of systems is necessary for the threat hunting process to keep indicator of compromise (IoC) and thresholds of normal behavior up-to-date and match changes in the monitored systems. Google’s Rapid Response (GRR) is capable of collecting huge numbers of artifacts from a large number of clients in a timely and distributed manner [58]. Nevertheless, the options for exporting the data collected are still under development, and this might pose a challenge for large-scale threat hunting [58].
Study [59] explained that an evaluation index system for radar threat identification is constructed, and a radar threat identification method based on Entropy-TOPSIS is proposed as a method of identifying radar threat quickly and efficiently. The method emphasized the uncertainty of the target attribute and avoided the subjective assumption of the traditional TOPSIS method. By solving the problem of threat sequencing, the method is proven to be valid and feasible [59].
It was shown in [60] that navy Research Lab developed MISTI to detect potential threats with gamma rays from a distance. The MISTI system has been used to demonstrate a new technique for localizing sources at standoff using proximity techniques [60].
In [61] paper, the authors explained that it is necessary to create security of the system in the early Phases of the software Cycle of Software Development since each year, large amount of money are lost because of bugs in software security caused by inadequate or incorrect security processes. Numerous breaches of security happen on software systems. Many solutions have been suggested in the scientific literature to solve security issues [61].
According to [62], the Traditional security methods are useless toward insider threats. The identification of insider attacks plays a crucial role in detecting insider threats. An effective method to detect an entity that pretending to be another entity is to monitor the user’s unusual behavior [62]. To build a database that stores user’s behavior trait information, this method uses a weight-changeable feedback tree augmented Bayesian network [62]. However, the amount of information is massive, and a process information model of user’s behavior attribute needs to be established based on dimensionality reduction using rough sets of data [62]. When user behavior departs from the characteristic model, the minimum risk Bayes decision can effectively identify the real identity of the user [62].
It was shown in [63] that the number of reported security threats hitting organizations has increased recently. It is believed that some of them result from the assignment of inappropriate authorizations on organizational sensitive information to users [63]. Therefore, organizations must identify risks as early as possible by identifying the risks resulting from inadequate access rights management, and finding solutions that would prevent such risks [63]. The article [64] explained that Organizations have reported grow in security threats lately. In some cases, they result from users having incorrect permissions on sensitive organizational data. Therefore, it is essential that organizations identify as early as possible the risks that arise from improper access right management and find solutions to avoid them from occurring [64]. The article [65] described that collaboration across domains, devices, and service composition is becoming increasingly common in business applications. In addition to its isolated systems, security should focus on the general application scheme, comprising interaction between its units, devices, and services. Security Threat Identification and testing is a toolkit that [65] introduce to assist development teams with security testing of their underdevelopment applications with the aim of identifying delicate security logical errors that may go hidden by using existing industrial technology [65].
It was shown in [66] that to capture the distributed digital footprints of malicious insiders among a variety of
audit data sources over a prolonged period of time, current methods usually use scoring mechanism to arrange alerts produced from several sub-detectors. Mentioned reaches lead to great deployment complexity and extra cost [66]. The authors of [67] explained that US Navy with the help of Stottler Henke extends and improves enhance the Intelligent Surface Threat Identification System (ISTIS). ISTIS enhances Littoral Combat Ship (LCS) Surface Mission Module including threat ID process, quality and productivity [67].
As software’s importance in modern society grows, so does the threat to it. IT’s greatest problem is building software that is invulnerable to these threats [68]. By analyzing UML models, this work of [68] possibly fills a void of threat identification methodologies, and a void of automated methods for detecting threats based on UML models [68].
Studies in [69] noted that radiological threats in city and country are located within +/- 10m in range by Mobile Imaging and Spectroscopic Threat Identification system. The data acquisition system for MISTI was developed using the most up-to-date commercially available hardware [69].
An analysis of the usage of process modeling and insider problem is presented in this work [70]. Initially, it is explained the work of a process with process modeling. Next, the agents who are performing specific tasks conduct various analyses to decide the way process may be compromised [70]. Based on [71] real-time security risk assessment practices usually rely on IDS alerts as the only source of risk information. As network security becomes more complicated, their assessment outcomes are more susceptible to of false positives. By making use of many risk factors, this paper [71] offers an online fusion model for dynamic network risk assessment.
In [72] it is mentioned that MISTI, the Mobile Imaging and Spectroscopic Threat Identification system developed to operate in urban and rural settings, is now going through characterization activities [72]. MISTI is a mobile origin discovery and imaging system that can locate a radiological source within +/- 10 meters of the location of the source. Data acquisition system developed by MISTI uses the newest commercially beneficial hardware to meet MISTI’s needs [72].
The objective of this brief report [73] is to present valuable statistics for networked defense analysts including in threat identification on a controlled experiment. In these statistics, the correctness of top-central actor results taken from relational data typically detected in practical data-sets is estimated. [73] During the experiment, cellular social networks are included with four types of data errors including missing links, missing actors, extra links, and extra actors [73].
The article [74] explained that In order to neutralize terrorism and espionage efforts, quicker, more precise, and simpler to execute threat identification systems for hidden electronics are required. A new, non-intrusive, repeatable, consistent, expandable, and simple-to-implement recognition and identification system is presented in this paper [74] for identifying threats using unintentional radiated emissions (URE).
in [75], Many groups have expanded millimeter-wave and terahertz (THz) imaging systems for hidden weapon detection over the past several years. System design at millimeter-wave span usually provides decent transmission power via clothing materials, however have very limited spatial resolving power at spaces greater than a few meters for practical aperture sizes [75]. The article [76] explained that Protecting critical data from being demolished and taken illegally is best achieved by understanding the situation of network attacks, and then detecting the threats. This article [76] focused primarily on the new energy plant, and plan to examine network attack scenarios in order to identify all the possible scenarios that may arise. In [77], the Internet-of-Things model have created a vast security gap, as well as opportunities. There are many studies exploring security via device identification, cryptography, and network security protocols, but the problem of whether we can rely on the metrics and data being sent by IOTs, remains a challenge in spread wireless scenarios [77].
Due to the fact that contemporary smart grid operation is greatly depend on spread microprocessor based control, there is a necessity for interoperability standards to deal with varied data in smart grids. [78] starts the article by studying the Sampled Measured Values Protocol and its advantages, and it then analyzes its vulnerabilities and identifies the linked cyberthreats. Next current security measures is outlined and, lastly, whether neural network predictor can identify spoofed samples is explored [78].
It was shown in [79] that administrators face numerous challenges in securing heterogeneous and complex networks that can address by the tool called Security Information and Event Management to control and detect the threats. [79] solve the issue of performance by offering a Latent Semantic Analysis in order to lessen the redundant noise in an enormous data produced from devices [79]. The authors of [80] explained that Cyberthreat intelligence efforts are centered on internal threat feeds such as antivirus and log files. Although this approach is beneficial, it is reactive and depend on practice that has already taken place. [80] Organization can better safeguard their infrastructure and offer enhanced CT, if they learn about malicious hackers prior to an attack [80].
In [81], The Cyber-Physical System contains a mixed combination of physical and computer components that are usually watched by computer-based algorithms. [81] Nevertheless, it has been necessary to protect insiders from penetrating the probable code of conduct in keeping very important data and assets of organizations. Using human brainwaves with applying deep learning algorithm has been displayed to be beneficial in [81] identifying threats to create attacks in critical infrastructure. Paper [82] explains that businesses face a significant threat from malicious emails. To protect against email threats, such as targeted attacks, traditional signature, rule-based email filters and advanced sandboxing tools each have their own shortcomings. The article of [82] offers a predictive analysis method that achieves detection and forecast on unseen emails productively uses static analysis and ML to distinguish legitimate from malicious emails.
According to [83], in order to specify the rate of insurance coverage more accurately, the organization’s assets must be specified. These parameters probably demonstrated by indicators to plan the influence of particular cyberthreats
on an organization’s information systems. It is essential to model the communication between parameters and cyberthreats based on parameters that are important at the start of algorithm [83]. In paper [84] it was noted that The National Oceanic and Atmospheric Administration has been managed to start proactively assessing catastrophic oil and other chemical releases from soaked sources following new events in our National Marine Sanctuaries and throughout our country. Data from federal, national, and private sources are gathered in the Resources and UnderSea Threats (RUST) database, which is used to list this possible threat and specify its range via analysis [84]. Based on a logical probabilistic method on a collection of security properties which consider the details of botnet attacks, a method to identify and act against the negative impacts of a botnet using estimates of the risks of botnet attacks exist for any object-risk business network [85]. Study [86] demonstrates how three closely joined swarming pattern analysis designs including profiling, clustering, and forecasting improve each other’s results greatly. It also indicates that systematic assessment experiments approve the research hypothesis [86].
According to [87], Mobile devices become targets of financial gain attack because they keep confidential personal information including credit cards and passwords. In [87] study, they identify threat patterns in order to detect mobile malware. Using the suggested method, malicious behavior on Android mobile devices can be identified by analyzing function calls and data flow. It was shown in [88] that politicians and healthcare providers are concerned about electronic protected health information. Healthcare providers have to ensure information security in because of the growth in data breaches and the cost linked with them. The study [88] found that transitive information risks have significant consequences for healthcare organizations and supervisors. Information security in the healthcare setting will be considerably boosted by detecting these risks [88].
The study [89] was conducted to recognize visible events associated with insider sabotage. Almost 71% of the cases they studied did not have a noticeable malicious action before attack. Earlier to the attack, most of the events detected appeared to be behavioral, not technical [89]. The installation of software onto the target company’s IT systems accounted for approximately 33 percent of the detected technical incidents before an attack [89]. Using an outcome-based learning model to identify emerging threats, the authors in [90] introduce simulation and experimental results. In order to provide a framework for the study of emerging threats, this model contains judgment, decision making, and learning theories [90].
The research in [91] indicated that, Often times, managers and coworkers observed signs of stress, dissatisfaction, or further issues on the part of insider criminals but did not raise an alarm. Psycho-social sings are difficult to use because the indicators are not identified and behaviors are not recorded as a result they cannot be evaluated [91]. To evaluate employee behavior connected with higher risk of insider malbehavior, a psycho-social model was established [91]. In [92], the widespread use of wireless networks in daily life makes them an important attack target for criminals. In [92] paper, a methodology is presented for the systematic identification of vulnerabilities connected with wireless access protocols, as well as a quantitative assessment of the consequential risks for mobile operators by using attack trees taking into account existing legal structures. [92]. A biometric of intent (Bol) is based on AI that offers a novel method to biometric identification. Based on the analysis of facial expressions, [93] proposed Bol framework that allows law enforcement agencies to use a systematic preventive security method designed to lessen the likelihood of illegal attacks by malefactor individuals by understanding their emotional state [93].
Study [94] stated that the transitivity threat is when an unrelated action reveals information to an unintentional audience. A transitivity threat related to social networking sites is when automated transmission of data occurs. As part of [94] study, they model social network content, friends, friendship relations, and privacy policies as access permissions to content. In [95], Various government agencies and organizations are only start to take advantage of the great potential of visualization for stopping, identifying, and reduce security threats. The article [95] used classifications and visualization approaches of insider behavior to create a pattern of satisfactory actions based on workgroup orderings [95]. The authors of [96] stated that religious extremism supports violence in the service of God, including killing. The paper [96] used a method to forecast future threats involving religious extremism in Sri Lanka. In this study, a ML model and opinion dictionary were taught using cautiously selected social media text data, and each text was categorized into religious-extreme [96]. The article [97] explained that We are arriving a time when critical services and applications will be reliant on on ‘coalitions of systems’ due to the development of cloud computing and system-of-systems. CoS are a form of system resembling to systems-of-systems, except that they focus on covering self-benefits instead of a broad mission [97].
It was noted in [98] that a cloud computing infrastructure comprises multiple virtual machines running on a host, which is a physical platform. The virtual machines are checked and controlled by software based on kernels such as hypervisor or Virtual Machine Monitor (VMM) [98]. The vulnerabilities in VMMs make them susceptible to attacks that may be carried out by insiders or outsiders. The virtual trusted platform module, trusted virtual domains, and virtual firewalls are all security methods that must be employed to safeguard a secure virtualized cloud computing infrastructure [98]. In [99], sensitive information are shared through online discussion forums and other platforms. Attackers can exploit this information in order to attack critical infrastructures. Many of the studies on the hacking of computer networks have emphasized on improving classification of cyberattacks but have ignored the exchanging information between the related actors. The paper [99] used automated analysis tools to examine the language of the attackers and detect possible threats for critical infrastructures.
Runtime verification methods analyzed in the paper [100] as a means of identifying and solving to cyberthreats. For this purpose, it examines the effectiveness of runtime verification for novel threats and discusses the specific use of mentioned methods by state actors. [100]. In article [101], it is showed that Attacks by insiders have the capability to
lead to severe consequences, financially, reputationaly, and even complete breakdown of the company. The paper [101] present a method that comprises several views, including a tool that detects irregular activity of users and a plan that makes user and role behavior visible over time. The article [102] explained that Communication and collaboration tools that are facilitated by technology offer numerous advantages, but there are also some drawbacks. Online malicious behaviors can undermine the usefulness of these tools. A research [102] of the antecedents of online deviant behavior indicated the likelihood of computer users being hostile to others increases when they act without fore though and feel guilty [102].
4.4.1 Threat Emulation
The use of this approach help organizations to discover advanced attack mechanisms and measure their ability to detect attacks [103]. As opposed to traditional approaches that emphasize on identified threats including vulnerability assessment and penetration testing, new unknown threats can be identified and addressed with this method [104].
In addition, the authors of [105] stated that When dealing with APT, defenders must detect the area where an adversary is spread as soon as possible. The discovery occurs as part of an incident response operation called Threat Hunting, during which defenders identify attackers within the compromised network [105].
4.4.2 Threat Quantification
Regarding threat quantification, we can mention to [106], this model can be used to describe complicated network attacks [106]. It defines the threat of an attack and the quantization method of each index in order to introduce complexity and harmfulness of network attack. Next, it proposes a method to analyze network threats that is not target-oriented [106]. Additionally, In [107] explained a great number of novel and different attacks happen frequently, and inadequate security experts and tools make it problematic to examine and address them. [107] provided an approach of analyzing the threat of IoC for cyber incidents, and of calculating its value as a measureable value to check the precedence of cyber incidents that happen in large numbers [107].
4.5 Threat Reporting
Threat reporting includes four processes; threat warning, threat modelling, threat recording, and threat visualization. In the following we address them.
4.5.1 Threat Warning
One of the application of this threat warning is in hit avoidance system. In this regard, [108] introduces a signal processing chain for a double hand, infrared, imaging threat warning system with small degree processing for clutter suppression. There are steps in the system that carry out frame registration, adaptive clutter suppression, adaptive threat discovery, taxonomy, and tracing [108].
4.5.2 Threat Modeling
Threat modelling has fundamental three practices. First is identifying information and services that are necessary for the system. Second is creating a summary about how assets are kept and processed [109]. And finally, identifying threats that impact the identified system assets. These important activities make software engineering secure [109]. The purpose of [110] paper is to provide a theoretical framework to model frameworks or sample-based attacks that are broader than a single exploit deployed against a solo target. Methods comprising Cyber Kill Chain, STRIDE and the MITRE ATT&CK structure model actions can be used to attack or stopped to secure organization have various levels of detail [110].
4.5.3 Threat Recording
Threat recording happens frequently when cybersecurity practitioners are confused with tackling cyberattacks because there is not adequate attack-defense mapped framework to safeguard their systems and network from threats [111], [112]. Cyberthreat dictionary provides immediate practical solutions and methods to address this issue by mapping MITRE ATT&CK Matrix to the NIST Cybersecurity framework [112].
It was shown in [113] that the information which is provided by the MITRE ATT&CK including attackers’ tactics, techniques, and procedures would be very useful to diagnose and mitigate attacks. Using ML analysis on APTs and generated reports by this framework regarding software attack is able to predict new attack techniques based on the old ones [113].
4.5.4 ThreatNew technology cause many applications to arises Threat Visualization
Visualization is an important tool that help security analyst to safeguard modern organizations [114]. THACO is an open source threat analyst console that adapt to DNS-based network threat analyst requirements through using scalable visualization technique, a multi-grouping, zoomable treemap [114]. In [115] It is stated that the newest item into the congested field of imaging technologies is THz imaging. The T-ray has greater capacity in the area of concealed objects detection than X-rays because it is not dangerous to humans. Due to the poor quality of THz imaging systems, it is necessary to integrate them with the high-resolution images from a vision camera. By using THz and VIS cameras the authors of [115] aimed to create a system safe to humans that can identify concealed objects. Based on THz and VIS cameras, [115] introduced a multispectral passive imaging system for picturing of concealed threats.
According to [116] as a result of current developments in computing, communications, software, and hardware technologies, the IoT has grown beyond its state of beginning and is a subsequent advance technology in changing the Internet into a completely unified Future Internet. [116] introduced a new threat visualization tool for wireless sensor networks which is called VisIoT. It is a visualization tool with human interactive capability that can monitor and find anomaly in systems. It also can detect destroying security attacks such as wormhole attacks and Sybil [116].
The article [117] stated that decreasing the processing time of data is one of the most demanding tasks in the arena of information security. Precise data visualization enhances the analysis process by decreasing the data processing time that is the most demanding task in the information security. The visualization technique introduced in [117] contains two and three dimensional demonstration of the threat model.
In [118], The As cyberattacks are becoming more complicated, identifying and mitigating them in a timely manner is becoming increasingly difficult. An innovative cyberthreat detection and visualization platform was offered in [118]. A version of it is accessible and being used in real-life scenarios: it is a cyberthreat platform that gathers 107 million malware events from different data sources and deliver visualization and alerts in real-time for more than 2.7 million of infected unique IPs distributed all over the world [118].
[119] Toward a visualization-supported workflow for cyber alert management using threat models and human-centered design
In [119], tools are required for cyber analysts to assist them combine the data they previously have and support them to create proper minimum point in opposition to which for comparing anomalies. In addition, existing threat models, which cyber analysts often use to form their research, are rarely incorporated into support tools. The authors of [119] describes their work with cyber analysts to comprehend logical process and how one model, the MITRE ATT&CK Matrix, is used to form their logical thinking. As part of their threat model design, they attempt to map particular data required by analysts into their visualizations [119].
The integration and distribution of modern networking systems, applications, and services [120] has become more complicated, making them more difficult to manage and safeguard [121]. In this regard, [121] proposed an approach that uses attack graphs and layered security method to create attack scenarios. It focuses on threat identification and helps with the decision making practice. [121].
In [122], daily network and security operations require the ability to identify typical, malicious, abnormal, and unanticipated behaviors in routing update streams. [122] explained Bigfoot, a Border Gateway Protocol (BGP) update visualization tool, which is developed to emphasize and evaluate a kinds of behaviors within update streams. IP geolocation is fundamental to Bigfoot, which visualizes the announcement of network prefixes. Various representations of polygons for network footprints are examined in [122] and how simple implementations of IP geo-location can lead to representations that are hard to understand is demonstrated [122].
4.6 Threat Containment
Threat containment includes threat tracking and monitoring. When malware breaches an enterprise, incident responders need to be on the lookout and act fast to contain the threat until it can be eradicated from the environment.
According to [123] the development of robotics has considerably augmented the difficulty and amount of issues that groups of robots can resolve. The purpose of [123] is to resolve a multi-threat control issue by using alike and autonomous robots that create dynamic teams. An analysis of methods that use and do not use wireless communication is presented by an emphasizing on the impacts of using wireless [123].
Based on [124] It is essential to have an elastic and scalable factory network in order to deal with the growing number of devices and causing traffic. This can be understood through softwarization technologies including Network Function Virtualization (NFV). [124] developed their prior work to demonstrate threat detection by building an NFV-based on-premises IDS that is combined into their industrial-specific network services. [124].
Threat-aware deployment of sensors and systems of robots can work in pair to identify, evaluate, quarantine and hold threats. [125] presents a model, a scheme and a categorized architectural operation of a threat detection system. Using a convergent architecture, [125] propose a varied set of operationally independent systems, ranging from in situ sensors, sensor robots (mobile sensors) to aerial reconnaissance sensors, each of which is capable of working in combination. As a way to improve the handling of a threat, [125] suggest a deployment strategy arranging in order of rank, which is especially attentive to data integrity and false alarm lessening [125].
An adversarial formulation is used in [126] to inspect cyberthreat spread over networks. The authors of in [126] suggest an analytical framework to explain the accidental dynamics of cyberthreat spread in varied sub-networks, based on Kendall’s birth-death-immigration model. The problem has two formalizations, which are both based on zero-sum games between two adversaries: an adversary proceeding cyberthreats through the different sub-networks, and a defender delivering countermeasures to lessen the threats [126].
The problem of modeling and having several cyberthreats spreading through many subnets of data network is inspected by [127]. This work made use of the Birth-Death-Immigration model to present that the features of this model can be exploited to offer best resource allocation through the attacked subnets [127].
4.6.1 Threat Tracking and Monitoring
The threat monitoring process or solution is responsible for constantly monitoring among networks and/or endpoints for signs of security threats such as efforts at intrusion and data exfiltration [37], [38]. Monitoring threats gives IT professionals the ability to monitor the network and the users who access it, allowing them to take stronger measures to safeguard data and stop or reduce the damages caused by breaches.
In [128] ransomeware is one of the best attack vectors for threat actors that has been used for financial benefit. It has resembling patterns in their malicious code that can be helpful for identifying them. To identify the source of the attack, first, features and signatures of great quantity of malware samples should be gathered. [128] paper offers a productive fuzzy analysis method to collect ransomware samples.
Cyberthreats are found by an Internet cyberthreat monitoring system by making use of network sensors used on the Internet at a specific points [129]. This system examines
factors regarding attacks including time, source, type and next creates a visual analysis of the result [129]. Currently, existing systems only display statistics by country or hourly fluctuations in attacks. The use of these systems makes it problematic to recognize the adversary source, spreading, and relationship between the origin of the attack and the target [129].
4.6.2 Vulnerability Hunting
The potential financial losses incurred by smart contract vulnerabilities have raised a lot of concern [130]. It has been confirmed that matching-based finding methods extrapolating recognized vulnerabilities to unknowns can be effective on other platforms. A direct adoption of the technology to smart contracts is, however, hampered by two issues, namely, variety in byte-code generation causing from fast development of compilers and interference of noise code simply produced by the uniform business logic. As a solution, the author of [130] propose byte-code-oriented standardization and part techniques to enhance byte code matching [130].
5 THREAT HUNTING: ECOSYSTEM
As technology expands into more commonly used tools the ecosystem for potential attacks also grows. Each of these new integrations has associated vulnerabilities. Because of these threats professionals are working to develop the correlating security tools.
Subsection 5.1 discusses the real world tools that are being converted to ‘smart’. This subsection also discusses some of the newly recognized associated risks. Subsection 5.2 then explains the areas of defense that can be used to protect these new devices, focusing on specific techniques and tools. The final subsection 5.3 explains the importance of hunting for the attack and some associated methods.
The threat hunting ecosystem is compromised of the Enabling Technologies and the Application of those technologies. The ecosystem is also complimented by the Related Hunting Techniques which can all be seen in Figure 3. The enabling technologies include AI, data analytics, and threat intelligence and are discussed in section 5.2. The application of threat hunting can be seen in smart homes, smart cities, IoT, industrial cyber-physical systems, Windows and Android systems, time and safety-critical systems, software defined networks, and critical infrastructures (Section 5.1). These technologies and applications are accompanied by hunting techniques including malware hunting, attack hunting, and vulnerability hunting, which are discussed in section 5.3.
5.1 Applications
5.1.1 Smart Homes
With the development and integration of technology into everyday life there has been more integration of computers into homes [131]. These new ‘smart home’ features make users life easier and enhances the functionalities of the home [132]. [132] identified that IoT devices collect a huge amount of data that is constantly being transported between the gadgets and the homeowner, which requires analysts to formulate solutions to overcome the current security limitations [132]. They explained that threat hunting can be used to understand the vulnerabilities of these gadgets, which will allow researchers to gain a better understanding for responding to new threats and mitigating breaches [132]. The article [132] identified that the best way for analysts to hunt for threats is to initiate a cognitive middle ware for cooperation with the homeowners’ gateways. This connection would allow for automatic reconfigurations to prevent threats as well as mitigation and remediation in the event of an attack [132]. The article [132] concludes that the assurance of privacy is ensured for homeowners’ as well using this method with the use of two stage concealment protocols [132].
5.1.2 Smart Cities
Smart cities have been proposed in new development plans. Software-Defined Networking (SDN) [133] has changed the landscape of networking and has encouraged the success of efficiently dealing with network resources and initiating programmability [134] [135]. [134] explained that flexibility and adaptability are achieved by SDN by compartmentalizing the control and data of the environment. [134] explained that when SDN infrastructure is combined with ML models an elevated threat hunting system is created. This system allows for automatic handling of threats such as lateral movement with a high level of accuracy [134]. With the development of large ‘smart cities’ there will be an exponentially high demand for security solutions [136]. Using an intelligent threat hunting system will be a crucial asset to managing the large amount of data traffic that will be produced [134]. The article [134] concluded that intelligent system proposed will allow for better network security as constant updates and threat hunting can be facilitated [134].
5.1.3 IoT
The IoT is a diverse ecosystem [137]. The article [138] noted that all of the devices that are a part of the IoT environment are targets for attack because of their diverse application. To achieve security of these devices the authors of [138] proposed a multikernel SVM, which utilizes the gray wolves optimization techniques. This model secures the IoT cloud edge by optimizing the selection process of determining if applications are malicious or benign [138]. The study explains that far less training is required compared to the models predecessor is required to achieve meaningful results [138]. [138] concluded that the multikernel SVM produces more accurate results with less computational cost and training time.
5.1.4 Industrial Cyber-physical Systems
As study was conducted in [28] to address the problem of industrial cyber-physical systems (ICPs) facing an emerging threats in cybersecurity. An additional research project [139] identified that these threats are due to the large scale and complexity of the systems. The authors of [139] developed a federated deep learning model for threat hunting against ICPs that emulates the temporal and spatial frameworks of the network data. The model has been designed to deploy on suitable edge servers and can maintain reasonable resource delegation [139]. From [139] the authors determined that privacy of users can be maintained while efficiency of the program is improved.
5.1.5 Windows and Android Systems
As previously discussed in section 5.1.3 IoT devices are facing many attacks [138]. The researchers in [138] created an SVM to optimize model training. This method can also be applied to Windows and Android systems for security at the cloud edge [138].
5.1.6 Time and Safety-Critical Systems
The challenge of time is of paramount importance in many scenarios [140]. So many real world safety risks are dependent on the functionality of a computer, such as military bases and ships [141]. The article [141] discusses how these crucial assets are dependent of the success of the security professionals working to protect them. The article further explains that meticulous care needs to be taken to ensure that effective cyber protection measures are taken [141]. With this extreme dependency comes a dire need for strong architecture that works around the physical and logical constraints of each asset [141]. The authors in [141] emphasize the importance that security measures are able to protect large datasets with active cyber detection, and can react in a time efficient manner.
5.1.7 Software-Defined Networks
SDN has given the opportunity for improving network resources more efficiently [142], [143] and providing a foundation for programmability [144], [145]. SDN is used for complex networks such as the smart cities discussed earlier. The article [144] explains that SDN works by virtualizing the network and separating the control and data planes. The authors in [144] propose that SDN can be used with ML to enhance threat hunting. This advancement would include intelligent response to DoS, repeat, and man in the middle attacks [144]. The article [144] concludes that intelligent model will be able to manage the rising amount if traffic demands while maintaining quality of service.
5.1.8 Critical Infrastructures
Intrusion Detection and Prevention Systems (IDPD) is studied in [146] and the authors have identified many valuable advantageous solutions, but are also new and have some security gaps. The identified faults include zero-day attacks, unknown anomalies and false positives [146]. The authors in [146] explain that critical infrastructures need supporting mechanisms to fill in the gaps. A web-based platform called TRUSTY is proposed in [146]. TRUSTY is a tool capable of collecting, storing and analyzing the detection results of IDPD for many different industries [146]. The authors in [146] explain that network traffic data is collected by Honeypots that can then be transferred to the supporting tool to provide more insight to the threats. Using a tool like this will fill the vulnerable gaps discussed previously [146].
5.2 Enabling Technologies
5.2.1 Threat Intelligence
Crypto-ransomware is an emerging threat that works by a threat accessing the victim’s data and encrypting it [147]. The article [147] discusses how attacker keep encrypted data and render it useless to the victim unless they pay a ransom for it to be unencrypted. If this threat is detected early it could be stopped before compromising the entire machine’s data [147]. The authors of [147] go on to explain that timely detection depends on how quickly and accurately a system log can be mined to hunt and stop the attacker [147]. In [147] using Sequential Pattern Mining was proposed to find Maximal Frequent Patterns will provide useful techniques in ransomware hunting. Stream Data Mining techniques can also be used to cut down the ransomware response time [147]. The article [147] concludes that the patterns can also help distinguish ransomware families and identification, which can then help develop profiles for threat actor groups.
With the diversity of threats, there is no way to perfectly protect your data. Cyber threat intelligence (CTI) is a technique proposed in [148] and can be used to quickly map out an overview of the security threat at hand. This method has been widely adapted by many organizations to gain insights and prepare for the cyberattacks that may be used to target them [148]. The authors of [148] explain that CTI is done by first designing a threat intelligence meta-schema to visualize the commonalities of infrastructure nodes. The next step is to design a meta-path and graph to measure the similarity between infrastructure nodes and convolutional networks to identify the threat types associated with each node [148]. It was concluded that this CTI method will provide assistance to analysts with the extensive amount of analysis work they are required to do, which will result in efficient protection from threats [148].
5.2.2 Artificial Intelligence
Existing IoT systems have monolithic architecture which is implemented in a single solution [149]. In [149] the authors
stated that the architecture is useful for its intended system but has poor scalability, and an overload may crash other functions which would require more work and maintenance. Because of these challenges, the authors of [149] proposed a new microservice architecture has been introduced. The new architecture splits up a single solution into manageable components so that they can run and be managed independently of each other [149]. The article [149] explains that the amount of microservices can be changed depending on the load requirements. The implementor should also take into consideration “service discovery, interservice communication, data integrity, security, monitoring and health check, and quality assurance” [149]. The previously mentioned tool TRUSTY developed in [146], can also be used for tracking and ensuring the integrity of data. The authors of [149] concluded that AI can also help with the collection and prediction of valuable information generated by devices and humans. AI-enabled microservices can enhance the scaling of data sources and improve intelligent services [149].
5.2.3 Data Analytics
Regarding data analytics, we can consider this work [146]. This paper considered a Reinforcement Learning (RL) model, which decides about the number of honeypots that can be deployed in an industrial environment. Indeed, this decision is converted into a Multi-Armed Bandit (MAB), which is solved with the Thompson Sampling (TS) method. The evaluation analysis demonstrates the efficiency of the proposed method.
5.3 Related Hunting Techniques
5.3.1 Malware Hunting
A Remote Access Trojan (RAT) is a malware that is installed on a victim’s machine and gives C2 access back to the attacker [150]. The article [150] explains that an attacker will be able to steal sensitive information, spy on the victim and control the hosts machine with the access from these tools. The RATs have been advanced so that firewalls have a very difficult time detecting them and they may be left unnoticed for a period of time [150]. The authors of [150] also note that malware detection is a very important part of threat hunting and needs to be updates as the malware types are also advanced. Tools can be used to scan the host machine to look for forensic evidence or artifacts that may have been left behind by the attacker [150]. In [150] it is explained that running special tools in the memory and on the hard drive can provide an effective solution to finding advanced malware.
5.3.2 Attack Hunting
In [151] Ethereum smart contracts are explained ad programs that are used in blockchain and managed by a peer to peer network. The article [151] describes that there are attacks that use re-entry that aim to steal the cryptocurrency Ether, which is stored in deployed smart contracts. In [151] a mitigation tactic for this type of threat that includes dynamic analysis that creates its own smart contracts is investigated. Though this approach requires a high cost and thorough preparation so the researchers looked for another method [151]. The solution from [151] is RA, a re-entrancy analyzer, which is a combination of symbolic execution and equivalence checking by a satisfiability modulo theories solver to analyze smart contracts vulnerabilities against the threat concerns. RA excels above other tools as it can perform analysis without prior knowledge of attack patterns and without cost [151]. RA can also verify the presence of vulnerabilities without the use of smart contracts and is not expected to produce false positive or false negative results [151].
Another tool for blockchain analysis is described by the authors of [152] is Decentralized finance (DeFi). DeFi has become one of the most common application for public blockchains, such as Ethereum discussed previously [152]. DeFi allows users to freely participate in complex blockchain transactions with the use of contracts and low costs [152]. But due to the flexibility of DeFi there is an inevitable amount of threats introduced. A solution called BLOCKEYE has been introduced in [152] that mitigates these threats. The article [152] explains the capabilities of BLOCKEYE, which include an automated security analysis process, which produces a threat reasoning solution for data flow, as well as a transaction monitor that is installed off chain for an at risk DeFi project. Transactions are sent to the project for security analysis and potential threats are flagged when a violation is detected in a critical invariant [152]. The authors of [152] conclude that BLOCKEYE provides a solution for flagging real-time attacks from end-to-end of the project.
5.3.3 Vulnerability Hunting
Researchers are working to find a solution that detects buffer overflow vulnerabilities in C code. One approach proposed in [153] utilizes a light weight smart fuzzer to generate string based inputs. This concept was developed on the evolutionary algorithm which is a combination of genetic algorithm and evolutionary strategies [153]. The approach from these researchers is an advancement from others as it is able to generate inputs though it does not know the constraints explicitly [153]. The smart fuzzer is able to automatically generate inputs while generating inputs dynamically [153]. The authors of [153] conclude that this model does have some vulnerabilities, specifically to BoF attack, but there are certain checks and protection measures that that can be implemented to mitigate the threats.
[153] An Evolutionary Computing Approach for Hunting Buffer Overflow Vulnerabilities: A Case of Aiming in Dim Light
6 THREAT HUNTING: CHALLENGES
With a good understanding of threat hunting, it is now crucial to consider some challenges and how to overcome them for an effective search. Subsection 6.1 describes some tools for categorizing threats and the associated indicators, events, and actors. Subsection 6.2 discusses locations of possibly suspicious activity and methods that have been used to protect each.
The major challenge of threat hunting is the amount of potential locations that a hunter may find a threat or attack. Threat indicators, events and actors are all important for hunters to be aware of and monitoring. These threats are
explored in 6.1 and specifically include discussion of APTs. After understanding what needs to be hunted the potential locations they may be found can be seen under *Where to hunt* in 4. These locations include threat intelligence knowledge bases, social networks, reputation systems, network traffic, and device specific storage, data, audit records, configurations, documents, and binary codes. Specific details on these locations are discussed in 6.3
### 6.1 What to Hunt
#### 6.1.1 Threat Indicators
One prevalent challenge in cybersecurity is knowing where to hunt for threats as information is usually hidden and scattered [154]. In [154] it is explained that an understanding the threat landscape is crucial to discovering important information about the threat actor. The authors of [154] propose a knowledge graph approach to provide a foundation for building a threat profile. They explain that this graph could recognize a named threat entity and pull related information or related entities from media or blog posts [154]. This process would assist in the automation of developing a comprehensive threat landscape and assist researchers in timely decision making [154]. The article [154] closes with the notion that this model may also give opportunity for future development to build stronger and more accurate automated systems.
Another way to increase threat awareness is through communication. The sharing of CTI has grown in popularity and has proven to be one of the prominent functions to protect users [155]. Unfortunately CTI is not always available or guaranteed to be accurate or trustworthy [155]. Security professionals have been looking for a solution to estimate the IoCs in fields such as domain names, URLs, and IP addresses [155]. A new method has been proposed in [155] to estimate the maliciousness of IoCs more accurately through a graph convolutional network (GCN)-based approach. The authors explain that the GCN approach can be used to estimate the maliciousness of individual IoC features and their related information [155]. This model provides higher accuracy compared to conventional supervised learning models and graph based methods [155].
Another article [156] on threat indication describes how certain threats, such as malware, can go undetected as the attacker can disguise the infiltration deep in the system. This is possible because attackers use techniques, such as packers, to avoid malware detection systems [156]. The researchers of [156] have invested time in malware analysis to try and understand and prevent these attacks, and use techniques such as reverse engineering. They successfully developed an analysis method to create IoCs in the YARA rule format [156]. The authors of [156] describe how YARA is implemented as a tool for detecting malware using the indicators that were identified during analysis [156]. They further explain that the indicators used are the bytecode of common malware samples, emails, and dictionary attacks [156]. When the IoC no longer finds other malware located in the directory it can be considered successful [156].
#### 6.1.2 Threat Events
There are a plethora of threats that jeopardize the safety of life, belongings, and communities, which influence the way we behave with our assets [157]. In [157] operational skills are described and are usually in place to ensure that proper procedure is followed in high stress situations. Organizations typically develop the structure on the foundations of structure, information, and leadership [157]. Technology has provided those that plan these procedures the tools and automation for their tasks [157]. The authors of [157] describe that training programs are working to develop a common approach using systematic and logical procedures
but emerging threats are constantly changing and needing updated procedures.
Despite research efforts to mitigate distributed threat events there has been little improvement due to the complex associated challenges [158]. A new network centric approach proposed in [158] uses a holistic approach, consisting of spatially interconnected elements for the detection of these dispersed threats. This new model is compromised of two layer random fields to explain the time variance of the traffic forwarding behavior [158]. The authors of [158] explain that the bottom layer describes the connections between the network elements under the action of network elements. The top layer involves each network element’s traffic patterns that are molded by the underlying behaviors [158]. The authors of [158] conclude that their work is not limited to a specific scenario, so it can be used for an array of different threat detection scenarios.
To recognize the threat events a probabilistic model for intentional behavior has been developed in [159] to enable the generation of models used for methods in Technical Intelligence and Operational Intelligence. The components included are measurement, inference, planning and control [159]. The authors of [159] explain that it is best to solve the predicting agent components separately then combine them systematically later on to gain the best view of the threat.
Another way to identify threat events is looking back into history. There are many current and historic social events that have triggered cyberattacks, producing a need for a social dimensional threat model [160]. To do this, researchers in [160] investigated the likelihood of a cyber-attack, which would lead to the ability to form predictions about impending attacks. Then the methods for the attack, the estimated targets, and the duration could be inferred [160]. The researchers of [160] proposed a concept lattice that can be used to organize the known information and then find patterns, commonalities, and specific details about historical social events that can be applied to current.
A heuristic situation recognition approach has been developed in [161] as another event detection system. The purpose of this approach is to enhance Security Management Systems and aims to eliminate the severity of consequences from human faults and sensor faults [161]. The authors in [161] explained that the approach can be used for a variety of sensor/ alarm dependent systems and can be used while on or offline. The article concludes that model quickens the decision making of the detection systems and also does not require specific AI modelling formalization [161].
### 6.1.3 Threat Actors
Understanding the mass amounts of threat actor profiles is a daunting task to complete effectively. The researchers in [162] have developed a knowledge graph of threat actors to assist in organizing all the information. This graph was created by building an ontology of threat actors and the named entity recognition system, which can be used to automatically extract cybersecurity information from the internet [162]. The article explains that the harvested information is automatically used to create a knowledge graph for the threat actor [162]. This knowledge can be used to identity the group when the attack is or has happened.
Cybersecurity professionals are challenged with formulating ways to describe non-uniform and unstructured data, but a solution to this is required to enrich sharing in the field [163]. Commonly agreed upon vocabularies for characterizing threat actors is crucial for information exchange at a higher, more meaningful, level [163]. The researchers in y agreed upon vocabularies for characterizing threat actors is crucial for information exchange at a higher, more meaningful, level [163] have developed a method to automatically infer the types of threat actors based on personas and understand their behavior while accounting for potential changes in the future [163]. A set of characterization attributes can enhance the data held about a threat actor [163]. The article [163] explains that using deductive reasoning cybersecurity professionals can now automatically infer an attacker’s nature.
### 6.2 Advanced Persistent Threats (APTs)
Although Web Application Firewalls have capabilities to defend against known methods they are still vulnerable to web APTs that use an array of unfamiliar attack methods [164]. To fight against the advanced threats a Web-APT-Detect system was created by the authors of [164]. The system implements self translation machine through an encoder and decoder using an attention mechanism [164]. They article explains that these mechanisms can increase the quality of the systems used to recognize malicious patterns in HTTP requests [164].
Another mechanism POIROT, is a casual correlation aided semantic analysis system that has been developed to unify the current systems created to detect APTs [165]. The authors of [165] explain that POIROT can detect multi-stage threats over a extended period of time and automatically determines relation between similar events which assists in alert chains. The program also uses Latent Dirichlet Allocation to help reproduce the ATP scenario for further information [165]. The article summarizes that with these tools researchers will be able to map the potential influence of each attack stage [165].
Data Backup and Recovery (DBAR) techniques when defending against these advanced groups. In [166] specific techniques have been developed as an ATP defense mechanism which can overcome the drawbacks of previous repair models [166]. Using dynamic model characterization the problems with the previous model can be reduced and made more cost effective [166]. The researchers in [166] proposed an SDN enabled simulation environment needs to be used for the DBAR strategies to be implemented effectively.
Repair is an additional important factor when considering recovery. But there are many challenges associated with developing effective repair strategies after an attack has been executed. In [166] it is stated that organizations that do the repairs need to establish an evolution model for the expected state. This is where the impact of the lateral movement can be judged [166]. The authors in [166] assume that the attacker will try to maximize the potential benefit so the organization will try and minimize loss. Next the organization develops a system for calculating an equilibrium for repair [166]. Once the APT response has been established, game theory can be applied and ‘Nash equilibrium can be
determined [167]. The article explains that the organization must finally perform comparisons with random attacks to conclude the equilibrium of APTs [166]. The authors summarize by stating the collected information can be used to address APT response problems and insecurities.
To mitigate the impact of an APT attack organizations must be able to isolate infected devices. There is a challenge while doing this that requires a custom dynamic quarantine and recovery plan [168]. In [168] the optimal control theory is explained. The researchers have proposed a concept for normal potential optimal (NPO) control [168]. This concept functions by comparing NPO with the old scheme they found an increase of effectiveness for defending against attacks [168].
Adversarial Tactics Techniques and Common Knowledge (ATT&CK) is a matrix that has been developed previously to detect APT attacks that is based on an array of potential classifiers. The classifiers include credential dumping techniques, behavioral features and other systems [169]. The Strange Behavior Inspection (SBI) has been introduced in [169] with the purpose of detecting an attack before it advances to a severe issue. SBI detects the APT at the first target during attack and prevents them from taking full control of the victim’s machine [169].
### 6.3 Where to Hunt
#### 6.3.1 Threat Intelligence Knowledge Bases
Open source information sources are a great way to gain intelligence. Open-source Cyber Threat Intelligence (OSCTI) has provided researchers with threat behaviors and have highlighted the gaps that need to be addressed [170]. In [170] THREATRAPTOR is developed as a system to automate threat hunting using the OSCTI foundation. THREATRAPTOR’s functionalities include an unsupervised NLP pipeline for unstructured data, a domain specific query language, an automated TBQL query synthesis method, and a query engine for big data [170]. The researchers explain that THREATRAPTOR has been tested using a broad set of data from attack cases and has proved to be accurate and effective [171].
The authors of [172] developed the tool CTI ANT. CTI ANT is an automated system that has been developed to analyze Chinese CTI and increase threat intelligence visibility. CTI ANT includes an automatic classification system, a recommendation system, and a web API to label threat techniques [172]. The findings from the system include a cybersecurity article classifier, a cyber topic recommendation system, and a MITRE ATT&CK detector [172]. Together these tools provide cybersecurity professionals with strong knowledge bases for protection and further research.
#### 6.3.2 Documents
A malicious document detector, named Forensor, has been developed in [173] to help with protection against attacks. Forensor uses open source tools to inspect file formats and retrieve objects inside then decrypt using simple methods and determines if the contents is malicious [173]. Forensor uses a emulator to verify the presence of shellcode, if it is present then the file is malicious [173]. This tool can be very useful for determining the legitimacy of documents before opening them and possibly infecting the device.
#### 6.3.3 Binary Codes
A solution has been presented in [174] that addresses the challenge of determining IoCs. The new code includes hashes that are organized using an inverted index, which provides constant time for getting the files that contain code hash. The solution also provides support for getting code similarity and quick updates [174].
There is another method proposed in [175] that uses static and dynamic hunting techniques to distinguish malicious and benign binaries quickly. This method can identify signature-based anomalies, and pinpoint the behavior changes that arise when malware is activated [175]. The static hunting is used to classify discovered artifacts based on comparison with other known patterns [175]. Dynamic hunting is used to find behavioral outliers [175].
#### 6.3.4 Network Traffic
IoT devices are being exploited with botnets such as Mirai [176]. The article [176] looks at wide network sessions were used with big data analysis to try and gain an understanding about the severity of these botnets. cNetS is a system developed in [176] that can scan a system and alert to the presence of a botnet, and providing information on its location and behaviors in the network [176].
#### 6.3.5 Network Logs
#### 6.3.6 Kernel Audit Records
POIROT is a system developed in [177] that takes advantage of the correlations between CTI indicators to map the steps of a good campaign. Kernel audits are used as a source for correlation of data flow and to model the hunting with pattern matching [177]. A similarity metric that assess the fit of a query graph and a provenance graph was used to further the research [177]. The researchers in [177] discovered that PIRIOT can search the inside of graphs in a few minutes and effectively portray that CTI correlations are substantial artifacts in threat hunting. The PIRIOT algorithm is designed to find the threat behavior of the provenance graph of the kernel audits [177].
#### 6.3.7 System Configurations
Role Based Access Control (RBAC) security is reliant on the quality of the roles and finding the correct roles is often difficult [178]. A new spectral clustering algorithm has been proposed in [178] to account for user similarities and abnormalities. An abnormal configuration hunting method is then introduced to search for improper assignments and then make suggestions for the proper configuration regarding the clustering results [178]. At first a permission sensitive model with adjustable scaling was proposed, but then the researchers in [178] decided on an abnormal configuration for hunting rules was implemented.
#### 6.3.8 Memory
Logs in the memory are an important place to investigate for attacks. Automated security tools formulate logs to organize the patterns used to make new tools [179]. The authors of [179] explained that some design tools are limited in the ways they collect the logs. To create valuable logs researchers have proposed generating malicious code alerts
and binding memory forensic processes for active threat hunting [179]. The article [179] concludes that these methods will assist in the generation of log memories and only have the malicious entries produce RAM alerts.
6.3.9 Data and Storage
SWIFT is a threat investigation system which provides a high traffic causality tracking and real time causal graph generation capabilities [180]. An intelligent memory database was designed in [180] to enable memory savvy graph storage and online tracking using as little disk as possible. The researchers conceptualized a storage system that manages forensically relevant parts of the graph and disregarding the rest to the disk [180]. The authors in [180] describe how asynchronous cache eviction policy that computes the most untrustworthy section of the causal graph and stores it in the main memory. This tool assists with threat hunting in data storage. Furthermore, the author of [181] provides comprehensive descriptions of how to approach these searches and important features to look for. A comprehensive list of locations and techniques are provided [181].
6.3.10 Reputation Systems
A new feedback system using Mean Bisector Analysis and Cosine Similarity (MBACS) has been proposed in [182] to find malicious users in online reputations. The article [182] describes how MBACS is a useful tool for detecting a malicious rating and compile the true ratings, by focusing on rating values and the user domain. [182] concludes that using MBACS can reduce the impact of unfair ratings and preserve an accurate reputation.
6.3.11 Social Network
A decoy plan has been introduced in [183] to assist in mitigating threats against Supervisory Control and Data Acquisition (SCADA). The planned decoy will take unknown threats so that researchers can find the gaps in data [183]. Professionals can use SCADA to increase detection abilities more than compared to traditional mechanisms [183]. This tool will help defenders identify malicious attacks in social networks. Another system for automatic verification is XHunter [184]. The authors of [184] explain that XHunter computes proper conditions for common strings and compares those to ones observed from social networks. The results found many unidentified malicious attacks in web applications [184].
6.4 Other Challenges
Towards other challenges, there is a viable work, [183], that shows last line of defense in reliability through inducing cyber threat hunting with deception in SCADA networks.
7 Future Roadmap: The Promise of AI
We anticipate that research on threat hunting will move towards quantum-inspired AI-assisted and bio-inspired AI-assisted threat hunting in near future. Our reason for such an anticipation is the existence of the trends discussed in Subsections 7.1 through 7.6.
7.1 AI-Assisted Malware Hunting
Cybersecurity is a growing problem in today’s world due to the use of computers and the Internet by more people. Malware is one of the most prevalent threats on the Internet as stated by antivirus companies. This paper [185] used deep learning algorithms for grouping and creating novel malware samples to tackle this problem [185].
7.2 AI-Assisted Threat Management
Threat management is a challenging and growing task that professionals face. AI has been introduced in a few different ways to help assist in the processing of different aspects [186]. The article [187] explains that an outcome based learning model can take advantage of judgement, decision making, and learning theories to identify the behavior’s of emerging threats. Though the authors explain that the model may need more work to function more effectively with other parameters and factors [187].
One AI based approach is deep learning neural nets, which have been introduced to organize threat intelligence sources quickly and accurately [188]. In [189] CNNs are used with the Google TensorFlow program to examine images and train a ML model to recognize malicious files [189]. The algorithm used in [189] can classify the images based on if the user information was malicious or not. Similarly, a deep RNN solution has been proposed in [190] as a short-term memory that makes use of randomization to limit random network initialization. The final method in [190] has reduced complexity and results in better accuracy and higher MCC and AUC compared to previous methods. AI can be used to deal with Fifth era (5G) systems. 5G sees a huge amount of data traffic that needs updated security. A new framework has been suggested in [191] and recognizes the dangers regarding 5G and uses learning strategies with facts from the network stream to ensure security. These highlights register all types of traffic and monitor for malicious traffic evidence [191].
There is a dire need for an optimized ML cyberthreat detection model to minimize false positive rates [192]. An efficient ML algorithm was developed in [192] and functions to gather data, then uses prediction, classification, and forecasting algorithms to produce analytical and empirical evaluations.
There are many different AI systems that can be used in the future. DBN, decision tree, and SVM are the ML techniques that have been used to evaluate some of the most threatening cyberthreats in the cyberspace [193]. The article [193] describes how these techniques have been used in spam detection, intrusion and malware detection and the precision and accuracy of each has been measured and compared. Having a deep understanding of these tools will allow for better future development.
An advancement on current architecture is proposed in [194]. A cascaded CNN architecture with a binary classifier has been proposed for detection and a multi class model for classification of cyber related tweets [194]. The results of the classification test were okay, but the model needs further training and testing for robustness [194]. The authors in [194] explain that there has also been a classifier model designed to moderate and generate related IT infrastructure
The classifier approach considers two approaches: a model for the IT ensemble and one for several parts of the infrastructure [195]. The authors conclude by emphasizing that single classification system is preferable other complex systems, and multi layered nets with SVM attributed the best balance between true positives and negatives [195].
Considering where and who cyberattacks are coming from is an important factor. Deep learning models have been implemented to attribute Threat actors based on threat reports obtained from various Threat Intelligence sources [196]. The article [196] discusses how neural nets that are used to perform the attribution proved to be more accurate than previous techniques and gave better performance.
Looking back on past attacks can give insight to what may happen in the future. In [197] ML was used to recognize some complex examples of threat information dependency on previous knowledge, and what expectations are present. This ML model can be applied to cybersecurity as a mean to predict, identify and advert the complex threats [197].
Fuzzy neural nets have been developed in [198] to formulate the conception of intuitionistic fuzzy reasoning. The learning algorithms showed that this method can enhance credibility of threat assessment and improve the quality of each assessment with a high level of accuracy [198].
The Internet of Medical Things (IoMT) is on the rise, and threats against certain systems and protocols is closely following [199]. Researchers in [199] have introduced an intrusion detection and prevention system to automatically reduce and mitigate the threats using ML techniques. They explain that this system created reduces the attack surface and helps detect multi layer cyber attack [199].
The Insider threat detection via Probabilistic pairwise interaction and Heterogeneous Event’s entity embedding (IPH) is a probabilistic model that plots the likelihood of heterogeneous event sequences [200]. The model can preserve nonlinear relationships and compute sequence pairwise interactions [200]. Tests have shown that the model is effective and is advantageous compared to previous models [200].
Sorting possible threats is an important factor in proper preparation and response. A attribute classification insider threat detection method was created in [201] to detect events and extract features with attribute classifiers and an anomaly calculator for a end to end framework. The researchers conducted tests and the results support this proposition and the performance was validated [201].
A network based model that uses ML methods to profile mobile threats and analyze the network flows for malware connections was proposed in [202]. The researchers found that the model can be used to combine outputs and it was found efficient for detecting known and unknown threats [202].
To better the security and stability of the industrial Internet, researchers in [203] have investigated the industrial control network traffic threat identification based on ML and uses heuristic methods for selecting parameters and speed up real time detection. They found that these methods are faster and perform better than other identification methods [203].
Large scale companies must ensure that they can manage possible threat scenarios. National Critical Infrastructure has a duty to protect their sensitive information. In [204] it is explained that NCI security can be increased using a significant proof of concept system to detect the threats via fitness evaluation by EEG signals. This is done by using deep learning algorithms to classify the range of mental states into the four categories of the risk matrix [204]. In similar research [205], the tree structure method has been used to analyze user behavior, form feature sequences, and combine the Copula Based Outlier Detection (COPOD). These methods can be used to visualize the difference between notable sequences and outstanding users. The article summarizes by saying that the systems were able to analyze data without limitation on the number of dimensions and had fast computation speeds with little parameters [205].
AI has also been used in threat prevention and sensing engines for two factors that form the critical points [206]. The authors of [206] explain that the two relevant factors are intelligent packet inspection and intelligent first reaction. Though the article concludes that no single approach will create a holistic solution for threat prevention and many more are required [206].
A new framework has been proposed in [207] for constructing a user-centered ML based insider threat system for many granularity levels. The results of testing the framework showed that the ML based detection system learns from the limited knowledge and can detect unrecognized malicious threats with a high level of accuracy [207].
AI can also be used for network intrusion detection. The article [208] describes how network intrusion detection has been advanced with the integration of CNNs using LeNet-5 to classify the threats to the network. This CNN detection method has improved the accuracy when detecting intrusions and used enhanced features to classify threats [208].
Universal communication is important for sharing techniques and advice. Deep cross-lingual models have been used to jointly learn the common representation from two languages [209]. The model from [209] exceeds the functionality of previous monolingual models previously used to translate non-English cyberthreats. This tool can be used for corporations to implement universal protocols. The authors of [210] discuss standardized response protocols. In [210] it was hypothesized that a challenge response protocol provides bettered security on a public domain. The researchers use eight classifiers to demonstrate that the new method has a slight impact on security standards but increases usability and comfort, as well as enhances the advantages compared to current standards [210].
Having a good understanding of data can ensure its accuracy. Unified conceptual and computational framework with progressive learning algorithms can be used for research, analysis and comparison for learning capacity and prediction accuracy for datasets and the cloud domain [211]. In [211] it is explained that extensive amounts of metrics have been used for predicting the future of domains for security and imaging. The results of [211] show a structured framework for automatically generating network threat detection with emerging threats through development.
ML models using decision trees, Bayesian network, and deep learning can be used for quick response and organization of APT attacks on specific datasets [212]. The article [212] emphasized how it is important to consider sensitivity,
specificity, accuracy, false negative rate, and F-measure and investigated during the choice and use of each model.
7.3 AI-Assisted Threat Intelligence
The authors of [213] explains that the IoT systems require a strong connection between Space, Air, Ground, and Sea networks to suggestion automated services to users and companies. Security and safety issues can arise with these networks if IoT systems are not protected successfully [213]. Security experts are now using Threat Intelligence to comprehend cyberattacks and to protect SAGS networks with AI design. This study [213] offers a novel TI structure constructed on deep learning that can identify cyberthreats within SAGS networks [213].
Increasingly, our nation’s critical infrastructure is being attacked by cyberattacks [214]. This study [214] offers, develops, and examines a Cyberthreat Intelligence structure. Results of simulated attacks on a dataset from an Industrial Control System displays along with the extracted indications of compromise [214].
7.4 AI-Assisted Threat Hunting
As SDN has gained popularity, it has introduced a tendency of novel technologies in the networking area [144]. In a network environment, SDN provides elasticity and compatibility via splitting the control plane from the data plane by means of virtualizing the network hardware [144]. This report [144] presents a model for advanced threat hunting that merges SDN infrastructure-based threat hunting techniques with ML models for managing network threats including DOS, and MITM attacks [144].
Because ICPs are complex, large-scale, and varied, identifying cyberthreats is a difficult task [139]. The study of [139] offers a new federated deep learning model that captures the temporal and spatial features of network data in order to hunt cyberthreats against ICPs. This paper presents a descriptive micro-service placement method to improve micro-service utilization by leveraging the collaborators’ computational resources to address the latency problem of an ICSP [139].
The purpose of [215] work is to introduce a secure self-optimizing, self-adapting system-on-chip (S4oC) architecture design and optimization structure. By making real-time modifications, we can reduce the impact of attacks to the smallest amount including hardware Trojans and side channels [215]. S4oC is vulnerable to many security measures and attacks since it learns to reconfigure itself. In addition, the target applications’ data types and patterns, environmental settings, and sources of variation are combined [215].
Digital society and Internet continue to be at risk of malware [216]. Currently, malware hunting methods usually rely on one solo view including using dynamic information or op-codes only [216]. In order to overcome these restrictions, [216] offer a multi-view learning approach that uses op-codes, byte-codes, header information, permission, attacker’s intent, and API calls to search for malicious programs. Authors of [216] showed that their method is very precise with low false positive rates with experiments conducted on several Windows, Android, and IoT platforms [216].
Network intrusion detection research based on ML has a huge problem because the experimental environments do not reproduce real-world scenarios where unidentified attacks are continuously emerging. Since they have used one data set for training and testing, the discovery influence is overestimated because all test attack types are identified in training, while the test cases will be alike to the training data. The paper presents a novel method to create test data with updated traffic with attacks types not found in training data [217].
7.5 Quantum-Inspired AI
In this subsection we discuss studies that are inspired by quantum including Reinforcement Learning (RL) regarding UAV-Mounted Wireless Networks and Robot Navigation, Neural Network for Data Classification and Multidirectional Associative Memory.
The objective of this article [218] is to examine a wireless communication with the satellite transmission situation in which a vehicle that has no crew and fly on air functions as a base station to gather data from users on the ground. By using quantum-inspired RL the direction planning issue is improved without previous knowledge of the ground users including their locations, channel state information, and transmission power [218]. Here is another example of Quantum-Inspired reinforcement learning (QiRL) [219] article offers a new training model caused by quantum computation for profound RL with experience repetition. To reach an equilibrium between investigation and exploitation, the offered quantum-inspired experience replay system selects experiences from the replay buffer adaptively and according to the complication of the experience as well as the number of times it has been replayed [219]. Moreover, for navigation control of autonomous mobile robots, an original quantum-inspired RL (QiRL) algorithm is suggested by [220]. A probable action selection strategy and a novel reinforcement approach in QiRL are encouraged, by quantum measurement failure and quantum computation domain strengthening. A number of simulated experiments of Markovian state transition confirmed that QiRL is stronger than out-of-date RL when compared to learning degrees and early conditions [220]. In [221], research in quantum-inspired computing has considerably enhanced the potentials of traditional algorithms. Generally, quantum information processing in neural frameworks is represented by quantum-inspired Hopfield associative memory. A quantum inspired multidirectional associative memory (QMAM) with a single report learning model, and QMAM with a self-convergent repetitive learning model (IQMAM) is presented in [221].
It was discussed in [222] that neural networks (NN) execute based on a diversity of factors including the structure, early weight, quantity of concealed layer neurons, and learning proportion. A challenging problem is enhancing NN grouping performance without altering its structure [222]. In terms of precision, correctness, and uniqueness, the offered Q-FNN model [222] outperforms state-of-the-art approaches on 15 genuine standard datasets.
7.6 Bio-Inspired AI
The human system is an amazing tool. Implementing biological system processes into computing systems may have many advantages [223]. In [224] Visual attention prediction (VAP) was explained as an important challenge for computer vision. A new approach to VAP is proposed in [224] that combines low-level features and high-level semantics similar to a human eye for visual mapping. The article [224] explains that the new VAP method performs stronger than the other current methods.
Moving from the eye, we now look at the face. Facial aesthetics has peaked the interests of researchers [225]. The previous standard was not able to accurately represent human perception [225]. The authors of [225] designed a biological based project to trace eye movements and recognize human features. The system in [225] uses this data to create a Bio-Inspired Facial Aesthetic Ontology, and involve a CNN to train a set of human feature detectors. The system can then accurately categorize if a face is considered beautiful, and list the determining reasons [225]. The new model is able to identify very specific parts of the face which provides extra support for the decision.
Beings other than humans can also provide interesting techniques for computers to replicate. In [226] hummingbirds are studied as they have very interesting movement patterns. The article [226] describes how hummingbird movement can be used to develop RL. RL can assist or even take over conventional stabilization techniques [226]. The robot using RL from [226] was able to use rapid escape maneuvers and complete full body flips.
RL has also been used in [227] for autonomous navigation where the system learns to interact with the environment and learn behaviour for maximum benefit. The researchers in [227] created a system with very few rewards so the RL algorithm is highly trained in identifying the goal reward. This training adds additional robustness for the prediction methods in the CNN model [227].
The article [228] explores bio-inspired methods to analyze email datasets. Multiple ML models including Naive Bayes, SVM, Random Forest, Decision Trees, and Multi-layer Perceptron were considered in [228] to evaluate these datasets. Though these tools are powerful, the bio-inspired algorithms Particle Swarm Optimization and the Genetic algorithm proved better for this analysis [228].
Relating back to the topic of IoT, the authors of [229] implemented human interaction techniques for bio-inspired self-learning coevolutionary algorithm (BSCA). BSCA essentially just optimizes the interactions between the internet connected devices by reducing the energy used, increase diversity of intersections, and search methods to cope with multiple requests [229]. The study [229] proved that BSCA performs better than the current algorithms for high dimensional problems [229].
Learning practices for machines and humans are both important areas that need constant development. BOLE is a MATLAB interactive learning environment that was developed in [230] for the development of automated aerial vehicle path planning. BOLE helps with learning as it focuses on fundamental concepts and breaks down problems into introduction, recognition, practice and collaboration based on the problems complexity [230]. The article [230] concluded that BOLE is an excellent tool to compliment traditional teaching and because it is bio-inspired it is very intuitive for human use.
The topics seen throughout the threat hunting life cycle are all generally moving towards AI based models which take inspiration from biological specimens and quantum processes. The development from current procedures to the future can be seen in Figure 5. The three main areas of current threat hunting is the hunting of malware, threat management, and threat intelligence. Combining the features of each of these we can see the development to the future of threat hunting.
Figure 5 shows how the complex topics discussed in this article correlate with each other and influence the future of threat hunting.
The present topics of threat hunting can be advanced using bio-inspired and quantum-inspired AI assistance (Figure 5). *AI-assisted malware hunting* (Section 7.1), *AI-assisted threat management* (Section 7.2), *AI-assisted threat intelligence* (Section 7.3), *AI-assisted threat hunting* (Section 7.4) are all present topics that are leading to the integration of *quantum-inspired AI* (Section 7.5), and *bio-inspired AI* (Section 7.6) to better threat hunting practices.
8 CONCLUSION
This paper provides a comprehensive review of the current threat landscape, specifically focusing threat hunting through an array of specified methods and tools. The life cycle stages and ecosystem are thoroughly discussed with support of recent research in those areas. We also identify many challenges that are currently seen in present literature regarding threat hunting. The review shows that the future of threat hunting will utilize bio-inspired AI and quantum inspired AI. The AI techniques have great potential to broaden the scope and increase automation of threat hunting to assist the cybersecurity professionals. This work provides researchers with a holistic understating of present work and gives insight as to the future direction of the field.
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University of Montana
ScholarWorks at University of Montana
Syllabi
9-2012
PSYX 100S.00: Introduction to Psychology
Benjamin R. Eisenreich University of Montana - Missoula
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This Syllabus is brought to you for free and open access by the Course Syllabi at ScholarWorks at University of Montana. It has been accepted for inclusion in Syllabi by an authorized administrator of ScholarWorks at University of Montana. For more information, please contact [email protected].
Course Syllabi
PSYC 100: Introduction to Psychology Fall 2012
Instructor: TBA
Email: TBA
Office: Skaggs Building 053
Office Phone: (406) 243-6347
Office Hours: TBA
Course Description:
Psychology is the science of human and animal behavior and mental processes. You will learn to understand the nature, structure and historical developm ent of human organizations and/or relationships in multiple ways. In this course, you will be taught the role of historical events in shaping human organization, including how these events shaped our own field. From multiple angles (behavioral, physiological, social, cognitive), you will be taught how the human mind - the basic building block of all human organizations and relationships - functions. And you will be taught this through the eyes of multiple psychological theories, ranging from behavioral, physiological, social, and cognitive approaches. Further, by being exposed to actual research results throughout the term, and discussing the meaning of those results, we w ant you to learn how to interpret and think about these data. Finally, we w ant you to see directly the significance of social phenomena through relevant examples and through classroom demonstrations of psychological research.
As a survey course, Introduction to Psychology provides an overview of the methods, terms, theories, and findings in the field. By understanding principles of psychology, you will learn more about yourself, others, non-human animals, and relationships. The course primarily employs a lecture format, although your comments, questions, and discussions are strongly encouraged. Throughout the semester, visiting guest lecturers and/or films may be presented in class as well.
Required Texts: Weiten's Psychology: Themes and Variations. 8th Ed.
Optional Material: PsykTrek CD-ROM and/or Themes and Variations Study Guide
NOTES:
A. Academic misconduct. All students must practice academ ic honesty. A cadem ic misconduct is subject to an academ ic penalty by the course instructor and/or a disciplinary sanction by the University. All students need to be familiar with the Student C onduct Code. The Code is available for review online at http://life.um t.edu/vpsa/student_conduct.php.
B. Incompletes: Departmental and university policies regarding incompletes do not allow changing "incom plete" grades after one year has passed since the "I" was granted.
C. Disabilities And Special Learning Needs:
It is your responsibility to inform your Instructor, at the outset of this course, of any disability and the ways that you and the DSS have determined are necessary to accom m odate your needs.
D. Announcements:
Students are responsible for any announcements m ade in class. These may include changes in policy, due dates, or assignment requirements.
Course Grade:
Your final grade for the course will consist of a total of all quiz scores, Midterm Exam score, Final Exam score, and participation points earned in the lab.
Your final grade is based on the percentage of the total possible points that you earn. Because we do not curve grades, every student has the opportunity to earn an A in this course. Alternatively, every student can fail this course if they fail to m eet criteria.
Structure of the Course:
This course is designed to help you learn a large am ount of material at a m anageable pace. To achieve this goal, the semester is broken up into 2-week cycles. In the first week of each cycle, you will attend lecture M onday through Thursday. In the second week of each cycle, you will attend lecture M onday and Tuesday only. On Wednesday of the second week, you will participate in a Lab Section (which occurs in a different room than normal lecture), which includes an active learning task and quizzes on that cycle's material. On Thursday of the second week, you will have the opportunity to retake the quiz (more on that below).
Elere is an example of a two-week period:
What is a Lab Section?
The Lab Section is run by an undergraduate proctor, who has excelled in Introductory Psychology. Two things happen in Lab Section. First, you will participate in a laboratory activity designed to highlight a small subset of the course content from the current unit. Second, you will take 2 multiple-choice quizzes on that week's two chapters.
What's the lab activity? And why do I need to do it?
Lab activities are designed to highlight material covered in lecture and the text. The lab activities are NOT designed to be a comprehensive review Tor the quizzes. Proctors are instructed to demonstrate an activity that highlights a small subset ot something (sometimes, just one thing) you were taught in lecture or in the book. The goal o tth e lab is NOT quiz preparation but rather demonstration ot a narrow piece ot knowledge. (Research suggests you will remember better in the long term it you are taught in this way). Proctors may occasionally do a short review game, but they are allowed by the Director ot the entire psych 100 program only 1 -2 ot these per term. So do not expect something Trom your proctors that they are not allowed to do!
Please note that you are required to be present Tor the 20-minute lab activity led by your proctor. The lab sessions are worth 10 participation points, 5 points Tor attendance and 5 points Tor participation. Students will lose these points Tor the lab activity it they: 1) do not show up (loss ot 10 points): 2) leave early (loss ot 5 points); or 3) do not participate in the activity (loss ot 5 points).
Misbehavior during the lab sessions will NOT be tolerated under ANY circumstance. Such misbehavior will result not only in loss otyour lab points, but also in talking with your instructor, and (itthe behavior persists) having an unpleasant discussion with the Director o tth e whole psychology 100 program (with severe accom panying penalties).
What can I expect on the quizzes and exams?
Lectures will follow the chapters in the book but may contain extra material. We will cover all chapters in the book (except chapter 9 and 13) as well as address some additional topics. Quizzes and exams will include material covered in lecture and in the text. Note: If you fail to return your quizzes or exams, you will forfeit the quiz or exam points, in addition to facing other penalties!
Who has to take the Thursday Retake Quiz?
IT you have scored a 7 or higher for both units (70%), you do not need to take the Thursday Retake Quiz. However, it you Tail to m eet the 70% criteria, you are required to show up on Thursday to take a new quiz on that unit. No make-ups are given for Thursday Retake Quizzes.
What happens it I d o n't get a 7 on W ednesday and don't take the Thursday retake?
You get a zero for that chapter, even it you scored a 6 on Wednesday.
What it I got a 7 or higher but w ant to improve my grade?
We encourage you to com e to every Thursday retake unless you earned perfect scores on Wednesday. Your highest score will be used, so there is no penalty for trying.
What it I earn a 5 on Wednesday and a 6 on Thursday, will I receive a 0?
You will earn a 6, the higher score for the tw o quizzes; however, since you earned a 5 on Wednesday, YOU MUST attend the Thursday make-up in order to earn a score for that quiz.
IT I skip the Wednesday quizzes and only take the Thursday quizzes, will my Thursday grades count?
No. IT you skip the Wednesday quizzes, you will not only lose your participation points for the lab, you will also earn zeroes on both quizzes, even if you take the make-up quizzes on Thursday.
Am I able to keep my quizzes?
No. Failure to return any portion otyour quizzes in lab will result in a zero for that quiz.
Midterm and Final:
You are required to take the multiple choice Midterm and a Final Exam. The Midterm will be administered during your regular class time in your regular lecture room. The Final Exam will be on Tuesday evening during Finals week From 7-9 PM. Please note that this time is different than the time noted in the UM wide class schedule.
For the Midterm and Final Exam you will need to bring a #2 pencil and an NCS Test Sheet 50/50, form No. 95142, you can purchase this BLUE Scantron form in the UC for 15 cents. Please note that no student will be allowed to start the mid-term or final once another student has com pleted the exam and left the room.
f t NOTE: Study guides are typically not provided for quizzes and tests; you are expected to know all the material from the textbook and lecture (unless otherwise indicated).
Plan to be on time for exams.
Make Up Policy:
To make up a missed quiz or exam, you must m eet the following criteria:
* Notify your Instructor before the time of the quiz/exam and bring proper docum entation.
* You must have legitimate docum entation verifying the reason for your absence. Examples of docum ented circumstances that may merit approval include the following:
illness or accident
death or family em ergency
University-sanctioned activity
* Remember, prior notification and docum entation are mandatory!
Research Experience:
Psychology is a science built on systematic research of both human and non-human animals. A critical aspect of this course is becom ing familiar with how that information is obtained. There are two ways to m eet this course requirement and they may be com bined in any manner to m eet the 8-credit research experience requirement.
The research experience portion of this class is not graded but it is required for a grade in the course. You may choose either or both of these options (e.g., 4 credits of research participation with 4 credits for reading about research for 8 total credits) but this requirement must be met by the end of the semester.
1) Participation in original research. In this option, you will sign up to participate in actual psychology experiments. Individual experiments may range from 1 to 8 credits. Typically, each credit takes about 30 minutes. Sign-up sheets will be posted on the tables on the second floor lobby of the Skaggs Bldg near room 246.
Each experiment will be assigned a letter code and you must sign up for experiments designated by DIFFERENT letters. Once you have participated in an experiment assigned a letter (e.g., B), you may not sign up for any other experiment with the same code (again, B). If you do, you will only receive credit for the first experiment. Some psychological research projects require participants who possess special characteristics. You may have the
opportunity to participate in an in-class screening/testing day to be eligible for those experiments. The results of the assessments are confidential, and participation in the screening/testing day is optional.
You will keep track of your hours on an experiment tracking sheet. Do not lose your tracking sheet. This is your record of your participation and you are responsible for it as you would be for any other required assignment.
Once you have com pleted your research experience credits, hand in the experimental tracking sheet (the last page of the syllabus) to your instructor, in person. Do not give your tracking sheet to your proctor and do not slide it under the office door as these could lead to your tracking sheet being misplaced.
2) Reading about original research. In this option, you will find, read, and briefly summarize an original 1 -2 page article. Each summary is worth 2 research credits. A separate handout is available outside Skaggs 053 with details.
What happens if I d o n't finish the research experience requirement?
Students who do not com plete their research experience credits will receive an Incomplete for the class. Students with Incompletes will be allowed to finish their research experience requirement only through the reading about research option. Consistent with university policy if you do not resolve your Incomplete within one year, your grade will revert to one letter grade lower than w hat you would have received otherwise. Be aware that if you earn an "Incom plete" in any course at UM, an "I" remains on your record permanently, even if you eventually com plete the work.
Screening/Testing Day
Screening/Testing day is designated to provide you an opportunity to earn research credit (2 credits) and to provide researchers an opportunity to screen Psychology 100 students for other studies later in the semester or hand out short questionnaires. Screening/Testing day is in place of lecture for that day only and is not in your normal lecture room; therefore (if you wish to attend screening/testing day) you will need to attend class in order to hear the announcem ent about its exact location. You are NOT required to attend screening/testing day. If you do not attend, you will not receive the 2 credit points, but no penalty will be assessed. If you do attend Screening/Testing Day you must go to the correct section and time to get your points.
COURSE CALENDAR
RESEARCH REQUIREMENT RECORD SHEET
Name: ____________________________________
Instructor: _______________________________
You are expected to participate in 8 credits (2 credits/hour of participation) of research credit to successfully com plete Psychology 100. Failure to com plete all 8 credits will result in an "incom plete" for the course (there is no benefit to earning more than 8 credits of research credit). The top row is for you to record the time, location and co nta ct information for earning research credits. The bottom row is for the researcher to fill-out. Pland in this sheet to your instructor when you have com pleted all 8 credits of research credit. Please contact your instructor if you have any questions.
1.
Experiment Code Date
Location
C ontact
Points
Researcher Signature
Lab Stamp
Date
2.
Experiment Code Date
Location
C ontact
Points
Researcher Signature
Lab Stamp
Date
3.
Experiment Code Date
Location
C ontact
Points
Researcher Signature
Lab Stamp
Date
4.
Experiment Code Date
Location
C ontact
Points
Researcher Signature
Lab Stamp
Date
5.
Experiment Code Date
Location
C ontact
Points
Researcher Signature
Lab Stamp
Date
6.
Experiment Code Date
Location
C ontact
Points
Researcher Signature
Lab Stamp
Date
Psyx. 100 Syllabus 8.
Please Remove this Page from Your Syllabus
This is not a legally binding document; it is a written acknowledgement on the part of the responsible college student that you have read and understand the policies and guidelines of this course.
SIGNATURE OF ACKNOWLEDGEMENT
I,___________________________________ (PRINT YOUR NAME) hereby acknowledge that I have received a copy of the Introductory Psychology (Psyx. 100) syllabus for Fall 2012. I have read the syllabus and understand all of the course policies and requirements. I recognize that it is my responsibility to seek clarification regarding any aspect of the syllabus, the course requirements, or the grading policies if they are unclear to me.
Signature
Date
CODE NAME INFORMATION
I do not post grades with student identification numbers, therefore you will need to provide me with a "code name" if you would like your grades posted following tests or deadlines. Please be certain that you choose a code name that is familiar to you, so that you remember it when it comes time to look up your scores. Words of caution: I will not a cce p t code names that are inappropriate (racist, sexist, general bad taste).
C odenam e: _______________________________
CONTACT INFORMATION
Please provide your email address for your lab proctor and myself to co nta ct you if we have questions concerning your quizzes or participation in this class.
Email Address: _____________________________
Enrolment Information
In the space below, please tell me why you are taking this class.
Please return this sheet to your instructor on or before the second d a y o f class.
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HG2015 Series
HG2015-3666
HG2015-4166
HG2025 Series
HG2025-3266
HG2025-4266
HG2015-5466
HG2025-5366
Himax Brushless Gearmotor
Himax Brushless motors are manufactured to high standards for the discerning modeler. Designed for lightweight, high efficiency, and durability these Himax motors are sure to make today's radio controlled models perform. Please read the entire operating manual to ensure correct functionality and best performance. The HG2015 and HG2025 series is made for small models from 8 ounces up to approximately 30 ounces.
Features:
High Efficiency, High Power, Lightweight, Replaces 280-370-400 motor
Specifications:
Weight: HG2015-xx66 64g(2.3oz), HG2025-xx66 82g(2.9oz)
Max Power: HG2015-xx66 110W, HG2025-xx66 175W
Gear Ratio: 4.43:1, 5.33:1, 6.6:1 included
Max Motor RPM: 60,000 RPM
Shaft Size: 3.0mm, (.118")
Mounting: 10 x 10mm square stick mount
Maximum Motor Case Temperature: 100 o C, (212 o F)
4.0mm Shaft size
Electrical Specifications:
```
HA2015-5400 Kv = 5400, Rm = .120, Io = 1.0, Efficient Operating Current = 6-15A HA2015-4100 Kv = 4100, Rm = .141, Io = .80, Efficient Operating Current = 5-12A HA2015-3600 Kv = 3600, Rm = .295, Io = .54, Efficient Operating Current = 3-8A HA2015-2800 Kv = 2800, Rm = .355, Io = .40, Efficient Operating Current = 2-7A HA2025-5300 Kv = 5300, Rm = .044, Io = 1.4, Efficient Operating Current = 15-25A HA2025-4200 Kv = 4200, Rm = .075, Io = .75, Efficient Operating Current = 10-20A HA2025-3200 Kv = 3200, Rm = .144, Io = .53, Efficient Operating Current = 6-15A HA2025-2700 Kv = 2700, Rm = .169, Io = .47, Efficient Operating Current = 5-12A
```
Operation:
1. Himax Brushless motors require brushless sensorless speed controls. Failure to use a brushless sensorless electronic speed control (ESC) can result in damage to the motor and/or ESC. A Castle Creations Phoenix series ESC is recommended for best performance. The standard setting for timing advance is recommended for best operation.
2. The three wires of the motor can be connected to the three output leads of the ESC in any order. Check the direction of rotation of the motor. If the motor spins in the wrong direction switching any two of the motor wires will reverse rotation. Be sure to insulate the wires to prevent shorting which may damage the ESC.
3. Do not shorten the motor wires. Shortening or cutting the motor wires voids the warranty and may cause motor failure. If the supplied connectors are not to be used, remove them by desoldering. DO NOT CUT THE CONNECTORS OFF!
4. Allow for proper cooling of the motor during operation. With extremely high capacity batteries, care must be taken to prevent excessive motor temperature. Overheating of the motor is not covered under warranty. Insufficient cooling can result in overheated motors, even when operated at moderate power levels.
5. Do not disassemble the motor. Disassembling the motor voids the warranty. If service is required please return the unit to Maxx Products for service.
REV: A, 6/21/04 6. Install the propeller after proper rotation has been determined. Consult the ESC operation manual for proper arming and use procedures. Be sure the prop is clear before starting the motor. Once the battery is plugged in stay clear of the prop, electric motors are capable of extremely high torque and can be very dangerous.
MAXX PRODUCTS INTERNATIONAL, INC.
815 OAKWOOD RD, UNIT D, LAKE ZURICH, IL 60047, USA
Phone: (847)438-2233 Fax: (847)438-2898 Website: www.maxxprod.com
How to pick the right gear motor? First look at the motor suggested by the plane manufacturer.
* Use HG2015 series, if the plane calls for 280, 370 type gear motor, GWS100/300/350 series gear motor, or B20S type brushless motor.
* Use HG2025 series, if the plane calls for 370, 380, 400, 480 type gear motor, GWS350/400 series gear motor, or B20L type brushless motor.
What if I already know the weight of my plane? If you already know the weight of your plane, here are some quick guidelines to select the right gear motor.
* 3-D Aerobatic Airplanes – doing a lot of hovering – the thrust should be about 150% of the take off gross weight. For example, if the gross weight of the plane is 10 oz, you need about 15 oz of thrust to ensure optimum performance.
* High Performance Aerobatic Airplanes – the thrust can be between 75% and 100% of the take off gross weight. For example, if the gross weight of the plane is 10 oz, your thrust needs range between 7.5oz and 10 oz. You have plenty of room to tailor your thrust weight ratio. Use higher thrust for performance and lower thrust for duration.
* Sport Airplanes – 50% thrust to weight ratio will give you good flight performance and duration. Really? Only 50%? Yes, the thrust to weight ratio of Boeing 747 is around 35%. It is the lift – generated by forward speed – that suspends the airplane in the air.
What about gear ratio?
Remember Himax gear motors come with 6.6:1 gear set installed. This is probably the most common one to use. However, we also include the 5.3:1 and 4.4:1 gear sets for you to swap. Installation is very simple. Use the performance guide below and play with the propeller combination to select the optimum setup for your plane.
Can I use a different propeller?
Of course you can. Just make sure you follow the power rating so you do not push the motor beyond its rated power limit.
Warranty:
Himax motors have a two year limited warranty to the original owner, excluding wear items. All motors are guaranteed to be free from manufacturing defects within two years of date of purchase. Not covered under warranty is crash damage, customer abuse, improper use, or overheating. Warranty claims should be handled directly with Maxx Products. Be sure to include contact information and a description of the problem including which ESC, battery, and prop was being used.
Service:
Himax motors in need of service should be sent to Maxx Products, 815 Oakwood Rd, Unit D, Lake Zurich, IL 60047. Please include a note explaining the problem. Return shipping for non-warranty repair estimates must be prepaid.
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Access Free 1990 Honda Accord Service Manual Free Download Pdf
Honda Accord 1994-1997 Honda Accord 2003-2011 Honda Accord 1998-2002 Honda Accord 1981 Service Manual Honda CRF1000L Africa Twin from 2016-2019 Haynes Repair Manual Spitfire Manual 1940 Honda Accord Owners Workshop Manual Honda Accord Owners Workshop Manual OBD-II & Electronic Engine Management Systems Organizational, Direct Support and General Support Maintenance Manual (including Repair Parts List and Special Tools List) for Crane, Truck Mounted Hydraulic 25 Ton (CCE) Grove Model TM S-300-5 (NSN 3810-01-054-9779). Foreign Service Manual Foreign Service Manual The Service Manual Chilton's Import Emission Diagnosis and Service Manual with Vacuum Circuits Honda Prelude CVCC, 1979-1989 Chilton's Import Auto Service Manual The Indigo Book Honda Accord 1984-1989 G.K. Hall Bibliographic Guide to East Asian Studies New Serial Titles Manual on Human Rights and the Environment Manual on Maintenance of Systems and Components Important to Safety Honda Civic 2001 Thru 2010 & CR-V 2002 Thru 2009 VW Golf, GTI, Jetta and Cabrio, 1999 Thru 2002 Australian National Bibliography Tallinn Manual 2.0 on the International Law Applicable to Cyber Operations Catalog of Copyright Entries. Third Series Gyn/Ecology Traffic Signs Manual The Ladies' Book of Etiquette, and Manual of Politeness; A Complete Hand Book for the Use of the Lady in Polite Society Como Mantener Tu Volkswagen Vivo Department of the Interior and Related Agencies Appropriations for 2003 107-2 Hearings: Department of The Interior and Related Agencies Appropriations For 2003, Part 7, March 13, 2002, * Model T Ford Service Popular Mechanics Honda Civic Petrol and Diesel Owner's Workshop Manual Researching Country of Origin Information Bash Reference Manual Toyota Highlander Lexus RX 300/330/350 Haynes Repair Manual Traffic Signs Manual
Organizational, Direct Support and General Support Maintenance Manual (including Repair Parts List and Special Tools List) for Crane, Truck Mounted Hydraulic 25 Ton (CCE) Grove Model TM S300-5 (NSN 3810-01-054-9779). Jan 24 2022
The Ladies' Book of Etiquette, and Manual of Politeness; A Complete Hand Book for the Use of the Lady in Polite Society May 04 2020 This work has been selected by scholars as being culturally important, and is part of the knowledge base of civilization as we know it. This work was reproduced from the original artifact, and remains as true to the original work as possible. Therefore, you will see the original copyright references, library stamps (as most of these works have been housed in our most important libraries around the world), and other notations in the work. This work is in the public domain in the United States of America, and possibly other nations. Within the United States, you may freely copy and distribute this work, as no entity (individual or corporate) has a copyright on the body of the work.As a reproduction of a historical artifact, this work may contain missing or blurred pages, poor pictures, errant marks, etc. Scholars believe, and we concur, that this work is important enough to be preserved, reproduced, and made generally available to the public. We appreciate your support of the preservation process, and thank you for being an important part of keeping this knowledge alive and relevant. Honda Accord 1998-2002 Aug 31 2022 Haynes offers the best coverage for cars, trucks, vans, SUVs and motorcycles on the market today. Each manual contains easy to follow step-by-step instructions linked to hundreds of photographs and illustrations. Included in every manual: troubleshooting section to help identify specific problems; tips that give valuable short cuts to make the job easier and eliminate the need for special tools; notes, cautions and warnings for the home mechanic; color spark plug diagnosis and an easy to use index. Foreign Service Manual Dec 23 2021
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Researching Country of Origin Information Sep 27 2019
Honda Civic Petrol and Diesel Owner's Workshop Manual Oct 28 2019 This is one in a series of manuals for car or motorcycle owners. Each book provides information on routine maintenance and servicing, with tasks described and photographed in a step-by-step sequence so that even a novice can do the work.
Honda Accord Owners Workshop Manual Mar 26 2022 Haynes disassembles every subject vehicle and documents every step with through instructions and clear photos. Haynes repair manuals are used by the pros, but written for the do-it-yourselfer.
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Spitfire Manual 1940 May 28 2022 How to fly the legendary fighter plane in combat using the manuals and instructions supplied by the RAF during the Second World War.
Traffic Signs Manual Jun 24 2019
Australian National BibliographyOct 09 2020
Honda CRF1000L Africa Twin from 2016-2019 Haynes Repair Manual Jun 28 2022 With a Haynes manual, you can do-it-yourself...from simple maintenance to basic repairs. Haynes writes every book based on a complete teardown of the vehicle, where we learn the best ways to do a job and that makes it quicker, easier and cheaper for you. Haynes books have clear instructions and hundreds of photographs that show each step. Whether you are a beginner or a pro, you can save big with a Haynes manual! This manual features complete coverage for your Honda CRF1000L Africa Twin built between 2016 and 2019, covering: routine maintenance, tune-up procedures, engine repair, cooling and heating, air conditioning, fuel and exhaust, emissions control, ignition, brakes, suspension and steering, electrical systems, and wiring diagrams. The specific CRF1000L models covered by this manual include: CRF1000A, 2016-2019 CRF1000D (DCT), 2016-2019 CRF1000A2 Adventure Sport, 2018-2019 CRF1000D2 (DCT) Adventure Sport, 2018-2019 Manual on Maintenance of Systems and Components Important to Safety Jan 12 2021 This user's manual provides Member States implementing the IAEA Codes and Safety Guides (NUSS) with practical examples of management organization, good practices, methods and techniques for the maintenance of systems and components important to safety. It contains a detailed description of management systems, administrative controls and procedures for maintenance activities and some aspects of surveillance and verification activities.
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G.K. Hall Bibliographic Guide to East Asian StudiesApr 14 2021
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Department of the Interior and Related Agencies Appropriations for 2003 Mar 02 2020
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OBD-II & Electronic Engine Management Systems Feb 22 2022 This manual takes the mystery out of Second-Generation On-Board Diagnostic Systems allowing you to understand your vehicles OBD-II sytem, plus what to do when the "Check Engine" light comes on, from reading the code to diagnosing and fixing the problem. Includes a comprehensive list of computer codes. Computer-controlled car repair made easy! For all car and light truck models manufactured since 1996. Understand your vehicle's On-Board Diagnostic system How to deal with that "Check Engine" light--from reading the code to diagnosing and fixing the problem Comprehensive computer codes list Diagnostic tools: Powertrain management fundamentals OBD-II "monitors" explained Generic trouble codes that cover all models! Manufacturer-specific trouble codes for GM, Ford, Chrysler, Toyota/Lexus and Honda/Acura vehicles Let your car's computer help you find the problem! Component replacement procedures Glossary and acronym list Fully illustrated with over 250 photographs and drawings
Chilton's Import Auto Service Manual Jul 18 2021 Contains general information for technicians on the specifications, MIL resetting and DTC retrieval, accessory drive belts, timing belts, brakes, oxygen sensors, electric cooling fans, and heater cores of twenty-one types of import cars.
Honda Prelude CVCC, 1979-1989 Aug 19 2021 Haynes disassembles every subject vehicle and documents every step with thorough instructions and clear photos. Haynes repair manuals are used by the pros, but written for the do-it-yourselfer.
Chilton's Import Emission Diagnosis and Service Manual with Vacuum Circuits Sep 19 2021
Gyn/Ecology Jul 06 2020 This revised edition includes a New Intergalactic Introduction by the Author. Mary Daly's New Intergalactic Introduction explores her process as a Crafty Pirate on the Journey of Writing Gyn/Ecology and reveals the autobiographical context of this "Thunderbolt of Rage" that she first hurled against the patriarchs in 1979 and no hurls again in the Re-Surging Movement of Radical Feminism in the Be-Dazzling Nineties.
Honda Accord 1984-1989 May 16 2021 Haynes disassembles every subject vehicle and documents every step with thorough instructions and clear photos. Haynes repair manuals are used by the pros, but written for the do-it-yourselfer.
The Indigo Book Jun 16 2021 This public domain book is an open and compatible implementation of the Uniform System of Citation.
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Designed by a team that included Childe Harold Willis, Joseph Galamb and Eugene Farkas, the Model T had a front-mounted four-cylinder engine that produced 20 hp and had a top speed of 45 mph. It was a rearwheel drive vehicle with wooden wheels, and featured a two-speed transmission plus a reverse gear. Although models varied - and many revisions took place over two decades of production - the original version weighed about 1200 pounds. Created in the 1920s and featuring information about the original Model T and the "New Model T" of 1925, this maintenance manual is an invaluable resource. It was originally intended to educate the men tasked with assembling, repairing and maintaining the Model T, and offers a plethora of information about the car, its design and operation. The text includes chapters on how to take apart and put together the car, how to overhaul the engine and transmission, valve grinding and carbon removal, rod bearings, fitting pistons and rings, correcting noisy timing gears, installation of camshaft bearings, cleaning oil lines, oil leaks, transmission band installation, axle overhauls, refurbishing and replacing springs, radiator repair, starting motor overhaul, and more. It also includes troubleshooting and general servicing information. A must have for any Model T owner, this book is also a terrific reference for the docent, historian, or anyone who ever wondered, "how did that work?" Traffic Signs Manual Jun 04 2020 This publication supersedes the 2008 edition (ISBN 9780115529252)
Access Free 1990 Honda Accord Service Manual Free Download Pdf
Access Free oldredlist.iucnredlist.org on December 3, 2022 Free Download Pdf
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Proposed Extension of the Kennington Conservation Area
(Bishops Ward)
Report by the Director of Environmental Services
Consulted Formally: CEO, B.SOL, EDFCS & EDHS
Authorised for submission by:
Paul Duffield, Director of Environmental Services
Contact for enquiries: Brian Miles - Manager of Planning & Transportation Services (0171 926 0133)
PURPOSE
To extend the Kennington Conservation Area (CA8).
RECOMMENDATIONS
(1) That the Committee approve the extension of the Kennington Conservation Area under section 69 of the Planning (Listed Building & Conservation Areas) Act 1990 as shown on Plan No. DES/PP/397.
(2) That the Committee approve the detailed boundary of the area as shown on Plan No. DES/PP/397.
For decision
1. Context
1.1 The function of the planning system is to regulate development and use of land in the public interest. The best of the Borough’s built and landscaped environment can be valued and protected as part of this regulation through the designation of new conservation areas or the extension of existing ones. The enduring quality of these areas adds to the quality of life of the residents by protecting and enhancing the local scene, and sustaining the sense of local distinctiveness and civic pride. This is of particular importance when it comes to protecting local landmark buildings such as the former Regal Cinema (later Gala Bingo) on Kennington Road, which has been a prominent landmark and popular centre of entertainment in Kennington for over 60 years.
1.2 The proposal to extend the Kennington Conservation Area to include the former Regal Cinema and the adjoining public house falls within the general objectives of the Environmental Services Committee as reported to Committee on the 15th June 1995 (Ref. ES 20/95-96). That report included principles promoting civic pride (1.6) and the objectives for service areas including ‘sensitive planning and conservation’ (11). It also set out the objectives for the committee and the work programme.
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Treasurer David Damschen (UT)
David Damschen was appointed as Utah's 25th state treasurer by Utah Governor Gary Herbert on December 11, 2015 to complete the final year of his predecessor's term, and was re-elected on November 8, 2016.
As state treasurer, David is responsible for the state's banking, cash and debt management, investment of public funds (including the $12 billion Public Treasurers' Investment Fund), and administration of Utah's Unclaimed Property Division.
David also serves on seventeen governing boards and commissions, including Utah Retirement Systems, the Utah State Bonding Commission, the School and Institutional Trust Fund, Utah Housing Corporation, Permanent Community Impact Board, Utah Navajo Trust Fund, and the Utah Capital Investment Board.
Prior to becoming state treasurer, David served for seven years as Utah's chief deputy state treasurer.
Before entering public service, David was Senior Vice President and Director of Treasury Management Services at American West Bank. He spent most of his 20 years in the banking industry in the institutional trust & custody, treasury management, and retail divisions of U.S. Bank.
A veteran of the U.S. Coast Guard, David holds a degree in finance from the University of Washington's Foster School of Business and the Certified Treasury Professional (CTP) credential. He was inducted into the University of Washington's chapter of Beta Gamma Sigma.
He is a past president of the Association for Financial Professionals of Utah, and spends his winter weekends serving as a volunteer member of the Powder Mountain Ski Patrol. David and his wife Jody raised their three children in Layton, Utah.
Matt Hoeskstra, Principal, Williams & Jensen
Matthew Hoekstra joined Williams and Jensen in 2007 and became a Principal in 2016. Mr. Hoekstra represents clients before Congress and the Administration on healthcare, tax, energy, financial services, and other matters.
Mr. Hoekstra has worked with Fortune 500 companies, leading trade associations and universities to develop and execute legislative strategies and serves as a resident political expert for clients. He served in a volunteer capacity at the 2008, 2012 and 2016 Republican National Conventions, serving as a liaison to media outlets, working with the Rules Committee, and assisting with external affairs. Over the last decade, Mr. Hoekstra has also played a role in a variety of campaigns, and has played a leadership role in several election deployments.
Prior to his time in Washington, Mr. Hoekstra was an All-American, nationally ranked chess player. He has been a guest lecturer at Duke University. Mr. Hoekstra holds a degree in Political Science and has also completed work in the field of Latin American Studies.
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University of Maine System Policy Manual Section 103 Board of Trustees: Bylaws Article V - Indemnification, Section 5
Trustee Practice on Indemnification
Subject to the provisions of law or policies of the Board of Trustees, the University System shall indemnify any person who was or is a party or is threatened to be a party to any threatened, pending or contemplated action, suit or proceeding, whether civil, criminal, administrative, or investigative by reason of the fact that such person was or is a trustee, officer, employee or agent of the University System, or was or is acting in the course and scope of such person's duties or at the request of the University System against expenses, including attorney's fees, judgments, fines and amounts paid in settlement actually or reasonably incurred by such person in connection with such action suit or proceeding.
No indemnification shall be provided for any person with respect to any matter as to which the employee shall have been finally adjudicated in any action, not to have acted in good faith in the reasonable belief that the employee's action was in the best interest of the University System or, with respect to any criminal action or proceeding, had reasonable cause to believe that his conduct was unlawful. The termination of any action by judgment, order or conviction adverse to such person, or by settlement or plea of nolo contendere or its equivalent, shall not of itself create a presumption that such person did not act in good faith in the reasonable belief that the action was in the best interests of the University System, and, with respect to any criminal action or proceeding, had reasonable cause to believe that the conduct was unlawful. Any provision of this subsection to the contrary not withstanding, to the extent that a person has been successful on the merits or otherwise in defense of any action, or in defense of any claim, issue or matter therein, that person shall be indemnified against expenses.
Any indemnification of an officer, employee or agent, unless ordered by a court, shall be made by the University System only as authorized in the specific case upon a determination that indemnification of the person is proper in the circumstances because he has met the applicable standard of conduct set forth above. Such determination shall be made by the Board of Trustees. Such a determination once made by the Board of Trustees may not be revoked by the Board of Trustees, and upon the making of such determination by the Board of Trustees, the person may enforce the indemnification against the University System by a separate action notwithstanding any attempted or actual subsequent action by the Board of Trustees.
The right to indemnification may be enforced by a separate action against the University System, if an order for indemnification is not entered by a court in the action wherein he was successful on the merits or otherwise.
Expenses incurred in defending an action may be paid by the University System in advance of the final disposition of such action in the case of a trustee, officer, employee or agent provided that in the case of an officer, employee or agent the University System receives an undertaking by or on behalf of the person to repay such amount, unless it shall ultimately be determined that the person is entitled to be indemnified by the University System as authorized herein.
The indemnification provided by this section shall not be deemed exclusive of any other rights to which those indemnified may be entitled, and shall continue as to a person who has ceased to be a trustee, officer, employee or agent and shall inure to the benefit of the heirs, executors and administrators of such a person. A right to indemnification may be enforced by a separate action against the University System, if an order for indemnification has not been entered by a court in any action in respect to which indemnification is sought.
Any person who seeks indemnification under these provisions, (a) shall give notice of the action to the University System within a reasonable time after knowledge of the fact that it is threatened and in all events within 20 days after service of the process or notice of its commencement, provided, however, that such notice need not be given if the University System is also a party in the action; and (b) shall give the University System a reasonable opportunity to defend, or to participate in the defense of, the action.
These indemnification provisions shall not apply in any action in which the University System is the plaintiff, or moving party, against the person who might otherwise be entitled to indemnification hereunder.
In the case of expenses of officers, employees and agents of the University System, the indemnification provided pursuant to these provisions shall be effective and enforceable only to the extent that the expenses to be indemnified exceed payments on account of such expenses from insurance proceeds, whether the insurance proceeds arise from insurance maintained by the person, by the University System, or by any other party.
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TOWN OF MASONVILLE
STATE OF NEW YORK COUNTY OF DELAWARE TOWN OF MASONVILLE
June 2, 2021
The Town Board of the Town of Masonville was called to order at 7:34 pm.
PRESENT:
Supervisor: Betty Scott
Council: Bill Thomas, Jeri Brayman & Steve Roff
Town Clerk: Linda Bourn
Highway Superintendent: Chuck Smith
ABSENT:
Karleen DuMond
PUBLIC:
Present: Steve Tiska, Andrew Pastore, Ron Longwell, Angela Ellis, Patti Rude, Jesse Rude, Ron Longwell, Karla Terpstra, Nick Genovese & Linnea Wilson
PLEDGE TO THE FLAG: Led by Betty Scott.
MINUTES:
Motion by Steve Roff, seconded by Bill Thomas to approve the May meeting minutes, all in favor, motion carried.
FLOORTIME:
1. Steve Tiska is still asking for road signs. He states that any prior notices need to be kept on file for 5 years. He brought a newspaper article that the Town of Colchester was having the same issue. He suggested that we go to our insurance carrier so see if we are liable if there were an accident on Pine Hill. At this time, the board still does not feel that they want to bring this to a vote.
2. There is a grant from Delaware County Public Health for $3,000 to be spent on Rural Physical Activities. We would have to apply before July 1 st and the money would need to be spent by December 31, 2021.
3. Angela asked if the town did a cleanup day for the park and walking trails would it be covered under our insurance? Betty said that anything the town puts on would be covered. She asked that Angela contact Mr. Bullock to approve and inform of the Grant and timeline, also to copy Betty on those
correspondences. Betty also suggested that Angela look into the differences between a walking trail or Hiking Trail.
4. Angela gave us an update on the park. The bushes have been trimmed and the lawns mowed, but no other work at this time. Mr. Bullock said they would have done by the end of June.
5. There was some discussion about the parade and possibly getting a committee next year to make it bigger and have some activities at the school after. Angela said she would like to do the planning next year. The highway crew did not put a truck in this year, because Chuck said he did not know the parade was happening for sure.
CORRESPONDENCE:
- Received a check from the Town Clerk for money collected in May of $1337.50.
- Received a check from the court for April $2,467 and May $564.
- Received a check from the county for $203.38 for snow removal.
HIGHWAY SUPERINTENDENT REPORT:
- Sweeping Roads
- Hauling in sand for winter
- Resurfaced parts of Bundy Hollow Rd
- Helped Town of Afton pave
- Received 700 gallons of waste oil
- Filled potholes
- Ditching Teed and McLaughlin Roads
- Put down dust control on Beal's Pond and Teed Hill Roads
- Started roadside mowing
- Installed 1 driveway pipe extension and 2 reset pipes
- Repair and brace 1 overhead door assembly due to rot
- Put up flags and mowed cemeteries for Memorial Day
- Had several tress down from storm on May 27 th
- Cleaned up a few trucks in case we had the parade
- Spent a day with the crew for the camera installations and one morning with the insurance company for all town owned buildings. Inspections, pictures and updates have not been done since 2014
OLD BUSINESS:
- Sidewalk will be done in late June/July.
- Nothing has been done with the trees in the cemetery yet.
- Finger Lakes trail is still looking at taking over the bridge on Church St. They have someone that can inspect it; they want to see what kind of shape it is in now before they agree to do this.
- The plow truck price is increasing each month and is now $265,000 with a 14-18 month completion time frame. Steve suggested that we look at other options/models.
NEW BUSINESS:
- Chuck brought up that he is hearing from some vendors that we are paying our bills late and are being charged finance charges. Betty said that Karen was on vacation last month and they could have been the delay. Betty said she could pick up the checks from Karen and save the time that it takes in the mail.
- Jeri said she talked to Bob Scrafford the State Inspector about the animals at the old Mott Farm. He told her he could not inspect because of a vicious dog at the property. Jeri asked if someone from the town could go with him. Betty said this was not a town issue and should be brought to Ags and Markets.
- We would like to appoint Karla Terpstra as the Deputy Assessor. She would like to take the training, but cannot until she is in a role assessing. There will be no payment from the Town (see Motions).
COMMITTEE REPORTS:
Dog Control Officer's Report:
- Quiet
- Mileage $0
Code Officer's Report:
- May $1,337.50
- No mileage
SUPERVISOR REPORT:
In 2021, the NYS Legislature adopted a temporary program through 2023 for young hunters in counties that choose to participate. Provisions of the new law (ECL 11-0935) include:
- Delaware County passed a local law to allow this hunting opportunity. allows 12- and 13-year-old licensed hunters to hunt deer with a rifle, shotgun, or muzzle loading firearm in areas where and during the hunting seasons in which such firearms may be used;
- allows 12- and 13-year-old licensed hunters to hunt deer with a crossbow during the times when other hunters may use crossbows;
- requires supervision of a licensed adult hunter (aged 21 years or older) with at least 3 years of experience hunting deer who maintains physical control over the youth hunter at all times;
- requires the youth hunter and adult mentor to wear fluorescent orange or pink clothing and to remain at ground level while hunting deer with a crossbow, rifle, shotgun, or muzzleloader;
- Does not authorize black bear hunting by 12- and 13-year-olds with a firearm or crossbow; and
- Westchester and Suffolk counties are specifically excluded from participation; youth hunters in these counties must go elsewhere to participate
RESOLUTIONS:
#12 – Continuation of Operations Plan Specific to a Public Health Emergency involving a Communicable Disease, All in Ayes 3, Nays 0 all in favor carried.
#13 – Notification Policy Policy 1,
Ayes 3, Nays 0 all in favor carried.
MOTIONS:
Motion by Steve, seconded by Bill to appoint Karla Terpstra as Deputy Assessor, all in favor carried.
GENERAL:
HIGHWAY:
ABSTRACT OF CLAIMS:
Motion by Steve to pay all abstract of claims, seconded by Bill, all in favor carried.
Meeting Adjourned at 9:04 PM
_________________________________
Linda Bourn Town Clerk
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Indian Journal of Mednodent and Allied Sciences
Vol. 4, No. 2, June 2016, pp- 64-70
Original Research
Study of Prevalence of Koilocytes in Oral Squamous Cell Carcinoma T. Smitha 1 *, C.V. Mohan 2 , S. Hemavathy 3
ABSTRACT
Ever since Dr. Harald zur Hausen won the noble prize in medicine in 2008 for discovering human papilloma virus (HPV) as the etiological factor for cervical cancer, the research has been robust in this field. More recent data from case–control studies and systematic review indicate that HPV is an independent risk factor for oral and oropharyngeal carcinomas. Oral squamous cell carcinoma (OSCC) represents 90% of all malignant tumours that affect the oral cavity. The most known viral cytopathic effect is koilocytosis, considered to be a major characteristic of HPV infection. Koilocytes are epithelial cells characterised by perinuclear haloes surrounding condensed nuclei and is accepted as pathognomonic (characteristic of a particular disease) of HPV infection. Aim: The aim of this study was to verify the prevalence of koilocytes in OSCCs. Methodology: A retrospective analysis was conducted on 60 paraffin-embedded tissue specimens that were obtained from patients with a histopathological diagnosis of OSCC. Haematoxylin and eosin-stained slides were submitted to examine under light microscopy, specifically for the determination of the presence of koilocytes and were analysed. Conclusion: The results suggest that the presence of koilocytes is reliable for the detection of HPV presence in routine histopathology in OSCCs.
KEYWORDS: Oral squamous cell carcinoma, Oral cancer, HPV, DNA Virus, Oral carcinogenesis
INTRODUCTION
In India, oral cancer constitute around 9.8% of total cancer cases and ranks first among the all cancer cases in males and third most common among females. Age standardised incidence rate varies between 7 and 17/ 1000,000 person/years. The incidence rate is higher than the rate of 3 to 4/1000,000/year found in the western countries [1–3]. Oral squamous cell carcinomas (OSCCs) are characterised by multiphasic and multifactorial etiopathogenesis. Tobacco and alcohol are the most common risk factors for oral malignancy. Other factors, including DNA viruses, especially human papilloma virus (HPV) have been documented to play a role in the initiation or development of these lesions [4].
HPV is epitheliotropic, and it may be present in a latent form, a subclinical form or in a form which in association with other ill-defined factors can induce benign or malignant epithelial neoplasms. Persistent high-risk HPV infection in a subset of subjects with HPV-cytopositive oropharyngeal epithelium induces genomic instability in these cells, making them susceptible to additional genetic alterations leading to cell transformation and to subsequent development of squamous cell carcinoma (SCC) [5]. Oral HPV infection is acquired primarily by sexual transmission, or less frequently by non-sexual direct transmission, by mother to child transmission or by autoinoculation. Persons who practise oral-genital sex, those who have had a number of sexual partners and those who are immunocompromised are at greater risk of acquiring oral HPV
1Professor, Department of Oral Pathology, VS Dental College and Hospital, K.R. Road, V.V. Puram, Bengaluru-560004, Karnataka, India
2Principal & Professor (Director), 3Professor and head, Department of Oral Pathology, Dental Care and Research Centre, Sri Rajiv Gandhi College of Dental Sciences, Bengaluru, Karnataka, India
*Corresponding author email id: [email protected]
infection. Many of the low-risk genotypes and uncommonly high-risk types have been found in the HPV-associated benign oral lesions, oral squamous cell papilloma, verruca vulgaris (common wart), condyloma acuminatum and focal epithelial hyperplasia (heck disease), collectively termed oral warts. The four types of oral warts share the characteristics of being exophytic, sessile or pedunculated, or of having filiform or 'cauliflower'-like surface. The lesions, can be single, multiple or clustered, are usually painless and chronic and occasionally regress spontaneously [6]. High-risk HPV genotypes, in particular HPV-16 and -18, are prevalent in potentially malignant oral epithelial lesions, and in OSCC; in particular, HPV-16 have been implicated in the development of OSCC [7]. The importance of HPV infection in oral carcinogenesis is supported by the ability of high risk HPV to immortalise oral keratinocytes in vitro [8].
Koilocytosis first described by Leopoldo Koss et al. in 1956 is a long-recognised, pathognomonic feature of HPV infection. Koilocytes are commonly present in cervical intraepithelial neoplasia. They are epithelial cells characterised by perinuclear haloes (cytoplasmic vacuolation) surrounding condensed nuclei. Koilocytosis is accepted as pathognomonic (characteristic of a particular disease) of HPV infection (Reid et al., 1982) [9–11].
Histopathological analysis under light microscopy is the most commonly used method for oral pathology diagnosis, and it is a useful method for the observation of viral particles when molecular biology methods are not available. To predict the presence of HPV infection, a retrospective analysis was conducted on 60 paraffinembedded tissue specimens that were obtained from patients with a histopathological diagnosis of OSCC.
MATERIALS AND METHOD
This retrospective histological study was conducted on tissue sections obtained from the biopsy tissue specimens retrieved from Department of Oral Pathology and Microbiology, V.S. Dental College,
Bangalore. The specimens were retrieved from the archives of the Department of Oral Pathology after getting the approval by the Institutional Ethics Committee. The samples were selected from exophytic verrucous or papillary OSCCs confirmed by histopathological diagnosis (Figures 1–3). No cases of verrucous carcinoma or other histological variants of SCCs were included in this study. For this study, 4µm-thick sections obtained from the paraffin-embedded SCC samples were stained with haematoxylin and eosin. Analysis was carried out with emphasis on the grading and cellular details especially for the koilocytic changes and we based simplified histological definitions of koilocytosis on those established by Reid et al. (1982) as follows:
1. Koilocytic cytoplasmic vacuolisation: perinuclear haloes surrounding cell nuclei.
2. Koilocytic nuclear change: pyknosis – nuclear material that may be irregular in size, shape and staining properties. The nucleus is frequently acentric. Binucleation may be apparent. It is now known that 'binucleation' involves multilobules caused by HPV-influenced activity at the G2 cell cycle checkpoint (Cho et al., 2005). In simple terms, large cells with perinuclear clearing take up a majority of the cells with associated nuclear atypia [10].
In this study, the presence of koilocytes in tissue was considered significant if more than five koilocytes per 10 high power fields (HPF) were seen in both neoplastic and non neoplastic areas (just surrounding the neoplastic area). The identification of koilocytes was determined by the presence of a halo or vacuole in the cell cytoplasm surrounding the nucleus (Figure 4).
RESULTS
Concomitantly, the demographic data from the requisition records of the 60 exophytic lesions of OSCCs were analysed. Forty-five percent of the cases (27/60) presented koilocytosis, and were identified as
positive cases of koilocytosis (K+) as shown in Table 1.
Table 1: Prevalence of koilocyte in OSSC cases
| Koilocyte | Number of Cases |
|---|---|
| Positive | 27/60 |
The patients' records showed 13 patients were male and 14 patient were female, ages ranging from 33 to 82 years (mean age = 48.9) in the K+ patients. Although, smokeless tobacco abusers were high in number (11) in this subgroup, most of the tumours were associated with both tobacco plus alcohol habit (23). Three patients did not have any history of habits in their records. The tumour location varied. In the positive K+ cases, gingivobuccal sulcus was the most prevalent site with 11 cases, and the second most prevalent site was buccal mucosa with 8 cases, 4 cases involved the hard palate, 2 cases of tongue and 1 case was involving the floor of the mouth.
Koilocytosis was found in 5–7 per HPF and was present in the 21 cases of well-differentiated carcinomas, in 11 cases of moderately differentiated SCCs and in 2 cases of poorly differentiated SCCs, which is tabulated in Table 2.
Table 2: Koilocyte positivity in different grades of OSSC
The degree of koilocytosis was assessed separately in each section, and it was graded as percentile scores for the nuclear morphology of the koilocytes as shown in Table 3 and a score for the extent of vacuolation within the koilocytes as shown in Table 4 in percentages.
The shapes of the nuclei within koilocytes were also very variable, with rounded, irregular and sickle shaped nuclei being seen. The nuclei were either in a peripheral or central position.
In well-differentiated carcinomas, koilocytes showed changes in the cell with small dark nuclei and perinuclear clearing along with abundant cytoplasm (Figure 5). Pyknosis (intensely stained and irregularly shaped nuclei) was identified in a majority of cases but not in all of the koilocytes. Focal areas showed keratin formation surrounded by koilocytes exhibiting clear cytoplasm and dark stained nucleus (Figure 6).
In moderately differentiated and poorly differentiated carcinomas, altered epithelial cell with vesiculated nuclei and pale abundant cytoplasm were seen (Figure 7). Binucleation was seen in few cases (Figure 8).
Table 3: Nuclear morphology of koilocytes
| | Description | % |
|---|---|---|
| Size | Larger than normal | 23 |
| Shape | Bizarre-angulated, to oval twisted | 19 |
| Staining | Dense, homogeneous, appearance often pyknotic | 58 |
Table 4: Extent of vacuolation in koilocytes
| | Description |
|---|---|
| Grade 1 | Slight clearing to form a clear rim round the nucleus |
| Grade 2 | Perinuclear clearing extending to half of cytoplasm |
| Grade 3 | Extensive clearing, leaving only a thin rim of cytoplasm around cell periphery |
DISCUSSION
HPVs are small double-stranded, circular DNA viruses that can infect epithelial cells. In squamous epithelium, the productive cycle of HPV is intimately linked with differentiation factors expressed within various layers of the host epithelial cell as koilocytes [11]. These changes predominantly affect superficial and intermediate cells and provide the most reliable evidence of HPV infection [12].
Koss et al. coined the term koilocyte for the large cells with relatively small but irregular and hyperchromatic
nuclei surrounded by clear and transparent cytoplasm. As the nucleus seem to be suspended in an empty space for descriptive purposes, they coined the term koilocytic atypia from the Greek word 'Koilos' meaning hollow or cavity as its designation. These koilocytes are squamous epithelial cells that contain an acentric, hyperchromatic nucleus that is displaced by a large perinuclear vacuole. However, the genesis of the cytoplasmic vacuole has remained unclear, particularly because both HPV DNA replication and virion assembly occur exclusively in the nucleus. In clinical biopsies, koilocytosis is observed in both lowand high-risk HPV infections; koilocytosis is promoted by the E6 oncoprotein, which is known to inhibit apoptosis [13,14]. Cytoplasmic vacuolisation could contribute to keratinocyte fragility and the release of viral-laden nuclei from HPV lesions [15].
From a biological point of view, HPV is a DNA oncovirus and is epitheliotropic. There are over 120 different HPV subtypes, including the low-risk types such as HPV 6 and HPV 11, responsible for benign proliferation of epithelium, and the high-risk oncogenic types HPV 16 and HPV 18 which are both wellestablished initiators of over 90% of cervical cancers, 70% of anogenital cancers, 5% of non-oropharyngeal SCC and 20–72% of (OPSCC) oropharyngeal SCC. The oncogenic nature of high risk HPVs is because of the immortalising and transforming properties of HPV oncoproteins E6 and E7, which target the p53 and pRB (retinoblastoma protein) tumour suppressor pathways, respectively, rendering infected cells susceptible to mutations and cancer formation [16].
The biology of HPV-positive cancer is typified by p53 degradation, retinoblastoma protein (rB) downregulation and p16 up-regulation. By contrast, tobaccorelated oropharyngeal cancer is characterised by p53 mutations, down-regulation of p16 and rB up-regulation [16].
A possible involvement of HPV in the development of precancerous lesions and oral carcinoma was first proposed by Syrjänen et al. (1983); based on light microscopy examination, they observed cytopathic HPV alterations (koilocytosis) in 35% of the OSCC biopsies that were identical to those found in precancerous lesions and uterine cervix carcinoma [17]. In a study based on HPV-related histopathological aspects, such as koilocytes, dyskeratosis, papillomatosis, hyperkeratosis, acanthosis and parakeratosis, koilocytes was considered as a pathognomonic sign of HPVassociated oral lesions [18].
In a recent study, there was statistically significant differences for koilocytes between HPV (16,18) positive and negative cases, which indicated that koilocytosis can be reliably used as markers for the diagnosis of HPV in OSCC [19].
Several studies have shown that patients with HPVpositive cancer have a significantly improved overall and disease-free survival compared with patients with HPV negative cancer patients.
Why does HPV positive oropharyngeal cancer have a better prognosis?
1. HPV-positive tumours may harbour fewer or different genetic alterations, which can be associated with better response to therapy.
2. HPV-positive tumours have higher radio sensitivity, probably due to intact apoptotic response to radiation.
3. The absence of field cancerization in HPV-positive tumours.
4. Immunologic response may play a role in the improved response to radio- and chemotherapy in HPV positive tumours (due to the stimulation of immune response directed to viral specific tumour antigens).
5. Younger age, good performance status, fewer comorbidities of HPV-positive oropharyngeal cancer patients may also contribute to improved survival [20].
In our study, the prevalence of HPV infection was around 45%, and the overall prevalence of HPV in OSCC in India has been reported as ranging from 20%
Figure 1,2,3: Figure clinical photomicrograph of oral cavity showing growth in right mandibular vestibule, maxillary anterior region, and palatal region respectively
Figure 4: Koilocytes
Figure 5: Koilocytes with perinuclear clearing
Figure 6: Focal areas showed keratin formation surrounded by koilocytes
Figure 7: Altered epithelial cell with vesiculated nuclei
to 50% in India. The prevalence of HPV in OSCC also shows regional variation. It has been reported as 33.6% in Eastern India, 67% in South India and 15% in Western India. Chocolatewala et al. reported a prevalence of 17.6–41.8% for HPV16 and 0–47.3% for HPV18 in OSCC cases [21].
At present time, HPV status is not reported in the histopathological diagnosis routinely of OSCC. As there is a growing body of evidence that HPV as an aetiological factor in oral cancers, it's our opinion that the status must be incorporated into the pathology report. This will allow for possible targeted therapy in the future for patients with OSCCs.
CONCLUSION
In this study, there was a significant high prevalence of koilocytosis – 45% in OSCCs. Thus, the study points the use of light microscopic feature koilocyte for predicting HPV infection in OSCC, and this has to be incorporated in histopathological reporting of OSCC.
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[16] Zaravinos A. An updated overview of HPVassociated head and neck carcinomas. Oncotarget 2014;5[Jun (12)]:3956–69.
[17] Syrjänen K, Syrjänen S, Lamberg M, Pyrhönen S, Nuutinen J. Morphological and immunohistochemical evidence suggesting human papillomavirus
(HPV) involvement in oral squamous cell carcinogenesis. Int J Oral Surg 1983;12:418–24.
[18] Fornatora M, Jones AC, Kerpel S, Freedman P. Human papillomavirus-associated oral epithelial dysplasia (koilicytic dysplasia): an entity of unknown biologic potential. Oral Surg Oral Med Oral Pathol Oral Radiol Endod 1996;82:47–56.
[19] Khangura RK, Sengupta S, Sircar K, Sharma B, Singh S, Rastogi V. HPV involvement in OSCC: correlation
of PCR results with light microscopic features. J Oral Maxillofac Pathol 2013;17:195–200.
[20] Elrefaey S, Massaro MA, Chiocca S, Chiesa F, Ansarin M. HPV in oropharyngeal cancer: the basics to know in clinical practice. Acta Otorhinolaryngol Ital 2014;34:299–309.
[21] Chocolatewala NM, Chaturvedi P. Role of human papilloma virus in the oral carcinogenesis: an Indian prospective. J Cancer Res Ther 2009;5:71–7.
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The Problem of the State
Michael Mair
Forthcoming with Routledge’s Philosophy and Method in the Social Sciences Series , Series Editor, Phil Hutchinson, available for pre-order here .
Table of Contents
Foreword
Chapter One: The Problem of the State in the Social and Political Sciences
Chapter Two: The Matter Thereof and the Artificer – Hobbes, Weber and the Constitutionalist Approach
Chapter Three: The Government of Men and Things – Foucault's Radical Critique of Constitutionalism
Chapter Four: Problematising the State – Historical and Ethnographic Studies of State Practices
Chapter Five: The Limits of Problematisation – Historical Studies and the Divorce of Discourse from Practice
Chapter Six: Fictions of Practice – Anthropological Accounts and the Fabrication of the Real
Chapter Seven: The Problem of the State Beyond Constitution and Construction
Chapter Eight: What We Talk About When We Talk About the State
Bibliography
Index
Analytical table of contents
An overview of the arguments of the chapters in the book.
Overview
The Problem of the State provides a new perspective on what the social and political sciences can contribute to understandings of the state and the ambivalent place it occupies in our collective affairs. Distinguishing two broad conceptual and methodological approaches to addressing the problem of how to study the state empirically rather than theoretically – the constitutionalist and constructionist positions – the author reviews the grounds and limits of both to reveal their common assumption: that it is up to the social and political sciences to define what the problem of the state is. Building on insights from Marx, Wittgenstein and Ethnomethodology, this book frees the study of the state from that limiting assumption and advocates a return of the problem to its proper environment, in social and political practice.
Foreword
One of the principal points I want to make in the course of the chapters that follow is that when the social and political sciences take up the problem of the state, they are engaging with that problem as a feature of situated social and political practices and rely on methods of understanding which are part of, and so trace from, those practices. While the rest of the book addresses the tangles of issues that empirical investigations into the problem of the state bring to the fore vis-a-vis those situated practices and methods of understanding, this foreword previews the argument; sets out where I argue social and political scientists begin when they set out to study the state – and where I therefore start in studying them; and clarifies where my contribution stands in relation to studies of the state.
Chapter One: The Problem of the State in the Social and Political Sciences
In this chapter I set out a broad characterisation of the argument of the book as a whole and a guide to the chapters that follow. I introduce the constitutionalist and constructionist approaches in turn, setting out the broad bases from which they proceed with reference to an example drawn from the work of artist and novelist Alasdair Gray. I then offer initial indications of the limitations of both positions as well as of the core argument of the book: that the problem of the state should be treated as a problem for the social and political sciences by investigating the ways in which it is treated as a problem in and for social and political practice. I will argue that recognising this enables us to move beyond the impasses that have characterised studies of the state certainly for the last forty years if not much of the century before. Studies of the state have traditionally begun by asking who and what make up the state – the constitutionalist perspective – but have come to ask, more recently, how states come to be made up in the ways that they are – the constructionist perspective. However, while asking who, what and how can be useful, we also need to ask where, when, under what conditions and for whom these questions arise in the context of social and political practices.
Chapter Two: The Matter Thereof and the Artificer – Hobbes, Weber and the Constitutionalist Approach
At the start of Leviathan, Hobbes famously sets out the nature of his inquiry into the state and the problem it must grapple with. He explains it must take into account two things: "the matter thereof and the artificer, both which is man". The state is explicitly recognised as a human creation but Hobbes also treats it as having an independent existence. Inquiries into the state must, therefore, not just examine what the state is, they must also examine how it comes to be constituted as such.
While Hobbes' treatment is philosophical, it sets the stage for the study of the state within the social and political sciences. For much of their histories, they too have treated the state as a human creation, one historically anchored in distinctive social, cultural, political and economic conditions yet nonetheless having an existence over and above them. The state is therefore both socially embedded and a thing unto itself. This duality is found in Weber's work as much as Hobbes' but it is Weber's formulations that have provided one of the principle methodological starting points for empirical studies of the state. Weber's sociological reworking of the problem as introduced by Hobbes thus helped make the state investigable.
Ignoring his more phenomenological pronouncements on the state as an oriented to complex of action and interaction, attention has focused on Weber's pithy ideal-typical rendering in 'Politics as a Vocation': the state is a human community that successfully claims the monopoly on the legitimate use of physical force within a given territory. One of the most well-known 'definitions' in the social sciences, it exercises a grip on the imaginations of social and political scientists to this day. Most importantly, and despite representing a misreading of Weber's nominalism, it provides the basis for the constitutionalist approach which seeks to define what the state is and has to be by exploring the necessary and sufficient conditions of statehood. The basis for the constitutionalist approach is to look at what needs to be in place for a state – or a kind of state, such as a democratic state or capitalist state – to be a state at all. It does not neglect what states do but it treats such matters as constitutionally enabled. The how is, therefore, approached via the what, function via structure or form, and it is the latter which is treated as analytically primitive. Seen constitutionally, an entity cannot be a state unless it has such things, for instance, as a standing army: either to maintain law and order, for the neo-Weberians and liberal theorists, or to enforce the demands of capital and enforce domination, for the neo-Marxists and critical theorists.
The emphasis on the constitution of the state – the elements upon which it is founded, which together make it up and make it possible for it do certain things – has produced a number of waves of research, including that grouped together under the call to 'bring the state back in' in the mid-1980s which involved such figures as Theda Skocpol, Charles Tilly, Anthony Giddens and Michael Mann. More recently, Gøsta Esping-Andersen and research inspired by his The Three Worlds of Welfare Capitalism on the varieties of capitalist welfare state has helped reshape understandings not just of the state but of its relationship to society and economy through investigations of the structural role the state plays in different political economic contexts. Constitutionalist work has, undoubtedly, produced real insights. Nonetheless, it has been subjected to sustained critique. The most powerful of those critiques is that presented by Michel Foucault. For Foucault, the constitutionalist position was conceptually and methodologically unstable: one could not access the what of the state if one relegated the how to a secondary position. The chapter ends with an examination of some of the problems that result from this methodological prioritisation, suggesting the constitutionalist approach has proven illuminating not because of its commitments but in spite of them.
Chapter Three: The Government of Men and Things – Foucault's Radical Critique of Constitutionalism
This chapter examines Foucault's break with the constitutionalist position and how he sought to re-orient research on the state, best viewed as a set of conceptual and methodological proposals rather than substantive points. Foucault notes we talk of the state as a complex of men and things but asks 'what does that mean?'. For Foucault, it cannot merely be a structure in which certain functions are housed. Not only does the constitutionalist vision offer an over-simplified picture of social and political life, it is conceptually and methodologically impoverished. Against the ontological certainties that characterise the constitutionalist position, that the what of the state is clearly and easily accessed, Foucault raises a series of epistemological objections, variants on the question, 'how could we possibly know?'. Foucault's radical insight, one which distinguishes his work from others, was that we can only talk about the state and its structures – we can only know the state – by virtue of arrangements of practices – ways of recording, mapping, documenting, describing, counting, weighing, differentiating, classifying and so on – that enable us to treat the state as an entity in the first place. The structures of the state are not what enable us to talk of the state; rather, we come to know the structures of the state through interwoven complexes of ancillary practices upon which the state rests. Without them, there is no state – it is a product and we do not understand it unless we understand what it is produced by. This is not to say structures are unimportant, they patently are. But they are not analytically primitive, they are secondary – the constitutionalists, on Foucault's reading, are wrong. What is more, the sense in which they are secondary can be empirically examined: we can see how the structures of the state come to acquire their form concretely in different contexts and historical periods. The chapter ends by examining what Foucauldian studies of the state and state practices promise by way of new insights.
Chapter Four: Problematising the State – Historical and Ethnographic Studies of State Practices
Following Foucault's methodological critique of the constitutionalist position through, this chapter discusses a body of social and political research which is organised around a different way of approaching empirical studies of states and governmental practices. That body of work methodologically foregrounds construction not constitution. Within it, the state remains a significant focus of social and political inquiry but this is a state that is recognised as possessing no unambiguous centre, no clearly identifiable loci of control, no core architectures, no permanent, fixed boundaries, territorially or organisationally, no settled modes of operation, no clear functional characteristics and no ultimately definable purpose or telos. Instead of treating Weber's ideal-type as a methodological solution (the constitutionalist position), the ideal-type is treated as posing the problem. Rather than use the ideal-type as a definition of the state, the aim is to deconstruct the models of statehood it projects. This is achieved by bracketing representations (or perhaps better, various acts of representation) of the state as the 'human community that (successfully) claims the monopoly on the legitimate use of physical force within a given territory', the foremost political institution of civil society, and exploring the conditions of their success. In doing so, researchers problematise these idealised representations to demonstrate that they represent the outcome of, and are made possible by, historically, socially and culturally contingent processes and practices in and through which the territoriality, legitimacy, authority and power of the state – Leviathan's dread properties – have taken shape, found voice and been given material form.
There are two main variants within the field of studies which take this approach: those which examine the historical emergence of fields of state practices and those which ethnographically examine the workings of the state in the present. In the first camp we have studies of governmentality, the state effect and legibility projects, such as those undertaken by Philip Corrigan, Derek Sayer, Nikolas Rose, Peter Miller, Timothy Mitchell and James Scott (and paralleled by historicalconceptual work in philosophy such as that of Quentin Skinner among others), and in the second we have a diverse body of work by anthropologists such as Michael Taussig, James Ferguson, Akhil Gupta, Begoña Aretxaga, Yael NavaroYashin, Veena Das and Matthew Hull as well as 'ethnographic' works by archaeologists such as Bruce Routledge and Norman Yoffee and the political scientists Mark Bevir and R.A.W. Rhodes. I will argue these can be separated methodologically and not just by focus. The first kind of study begins with specific claims advanced by the state and tracks backwards, tracing them to the diffuse sets of sites, personnel, bodies of knowledge and objects and technologies from which they originated. The second kind of studies begins with specific claims and tracks forwards, following the social and cultural careers, trajectories, 'biographies', etc., of those claims once they have been formulated and advanced. Where the purpose of the first kind of study is to find out how various acts of naming the state as impersonal power, Hobbes's 'Mortall God', are made possible and to investigate what configurations they rest on, the purpose of the second is to find out what happens once the state has been accepted as such. These contrasting methodological strategies are used to determine what it means to talk of the state in particular socio-political contexts.
Chapter Five: The Limits of Problematisation – Historical Studies and the Divorce of Discourse from Practice
As I will begin to show in this chapter by concentrating on historical studies in the first instance, the constructionist methodological strategies described in the last chapter have their own internal limits and generate conceptual problems of their own. A general goal of constructionist studies of the state is to open up the analytical room needed to inspect the form, substance, origins and subsequent aetiology of the very idea of the state and the claims made about 'it' – in terms of the loosely-woven complexes of social and political practices they are connected to and anchored in – at different moments in time and space. The purpose of this chapter is to turn a critical eye to the ways in which particular constructionist studies effect their problematisation of the state. In a context where the investigator cannot employ formal means of designating their phenomena in advance – in this case, because definitions of the state are held to be problematic – the examples they use come to take on a particularly important role. Rather than trying to define – in the sense of 'writing-out' or 'telling' us – what their phenomena are, these studies attempt to show their phenomena – to exhibit or display how they were recovered in and through their analyses. Although no single, unified set of 'state phenomena' can be specified, the implication is that the phenomena these studies describe – these things and other things like them – exemplify what we should be looking for when we address the problem of the state. The success of the demonstrations thus hinges on the adequacy of the examples. This chapter argues there are several reasons for questioning their adequacy on these grounds. Based on five cases drawn from historical research, from Foucault, Corrigan and Sayer, Rose and Miller, Miller and Scott respectively, I show that the use of examples in constructionist research generates a range of internal methodological difficulties, problems and paradoxes. These in turn are argued to be indicative of a deeper homology with the constitutionalist position.
Chapter Six: Fictions of Practice – Anthropological Accounts and the Fabrication of the Real
This chapter further explores the limits of problematisation as a method in constructionist studies of the state with a focus on a single case-study analysed by James Ferguson and Akhil Gupta (2002). As I will argue, their treatment of that case-study exemplifies many of the conceptual and methodological difficulties with ethnographically-oriented constructionist studies. The aim, ultimately, in discussing this particular study is to show that constructionist and constitutionalist studies share a conviction that models represent solutions to the problem of the state. There are, of course, differences. Constitutionalist analyses operate on the premise that we require a general model to study the state. By contrast, constructionist studies argue that we can only study the state by describing how models of the state are implicated in the state-making and state-maintaining work of local actors in local circumstances – work brought to the fore in constructionist studies. The plurality of such models is taken to show that there are many possible approaches to handling the problem of the state, an insight that led to the investigation of how questions alongside an investigation of the what of the state. Where constitutionalists try to keep model building in-house as the preserve of the analyst, therefore, constructionists outsource the analytical work to those being studied.
However, it is only when we generalise from the specific problems members of society encounter in actual situations, when we attempt to analytically fix the problem of the state in place, that we are tempted to think of models of any sort as a solution. If on the other hand, we deny that there is any single, monolithic problem of the state, if we resist what Wittgenstein termed the "craving for generality" and the "contemptuous attitude towards the particular case" he argued it displays, the path is open for investigations of a different sort, investigations that do not accord authority to models and so avoid the accompanying conceptual and methodological snares and traps. The point of such investigations would not be to deny that models can be useful (recognising that they are useful under some circumstances, not all). They would, however, undercut attempts to treat the use of models as if it were somehow independent of the nexus of social practices and circumstantial considerations within which models acquire whatever utility they can sometimes have. The critical analysis presented in this chapter sets up the focus of the next chapter where an alternative approach to the problem of the state will be outlined.
Chapter Seven: The Problem of the State Beyond Constitution and Construction
What would an approach to the problem of the state that did not repeat the problems of constitutionalism and constructionism look like? In many respects, it would be an approach that took Foucault's radical insights seriously and did not try to reserve a position of authority for the researcher. It would instead look to social and political practices and attempt to grapple with the sense in which the problem of the state is a problem for anyone.
There is a precursor: Marx's lengthy exposition of the circumstances that led up to the collapse of French parliamentary democracy in 1851, following the 1848 revolution, and allowed Louis-Napoleon, the then President of the French Second Republic, to reclaim the Imperial throne his uncle (Napoleon) had been forced to abdicate – The 18th Brumaire. Marx has often been castigated for not offering a general theory of the state in his work. The argument here is that this was precisely the point. In framing his analysis in the way he did Marx is asking us, as readers, to treat what it might mean to describe the state as itself a phenomenon for investigation, a problem within political practice, and a problem, moreover, to which his own text is explicitly addressed. It is this feature of Marx's description of the French state that is worth concentrating on; namely, its insistence on treating the problem of the state in practical political terms. What is most significant about Marx's treatment is that he does not allow us to move from his description to a generalised problem of the state, and so blocks attempts to treat the former as a manifestation of the latter. Indeed, one of the lessons of the account is that the claim there is a general, transcontextual problem of the state has no content and thus lacks an identifiable sense.
Marx's method of analysis in The 18th Brumaire works to prevent the severing of contextual ties by building on the observation that determinations about the state (its proper scope, role, character, structure, powers, activities, jurisdictions, failures, and so on) are made within social and political practices. Approached in this way, the objective in Marx's account then becomes to see how such determinations acquire their sense in, through and as part of practical courses of action. Marx shows us why we should not try to specify in advance what form those determinations will take, where we will find them, or what import they will or can have, but instead look to see if, when and how they become relevant in a given situation. It is in this sense that the account points us in a very different direction to the other forms of investigation that have been examined so far. Marx, like Machiavelli before him, shows us that general problems of the state cannot be identified independently of members of society's specific practical concerns, projects and activities and urges us to explicate the ties between them.
One of the most striking things about The 18th Brumaire is that it is made up of unrelentingly detailed descriptions of complex sequences of events, where the analytical emphasis continually re-centres on a consideration of what was happening at each step within unfolding sequences of practical political action. The significance of any one episode within a longer sequence, such as the question of who did what when ('details' of the sort that are frequently dismissed as trivial by many constitutionalists and constructionists alike), can only be determined with respect to the manner in which it was seen in practice, by the parties involved, as connected to what came before and their orientation to what might come after. In other words, to draw on conversation analytic terminology, Marx is showing us that some possible next political move by any one of the protagonists became intelligible in the context of some identifiably prior move by another. When we read The 18th Brumaire as a specifically interactional account of collaboratively produced 'chains' of political activity, it becomes easier to see why Marx would resist the idea that there could be a general problem of the state: to generalise the problem would be to divorce it from the environments within which the state could come to be a problem for those involved within the political scenarios he is examining.
For this reason, it is not enough to look into the imbrications of structures, functions and socio-historical processes that are implicated in the ways in which members of society pose questions of the state, we must also address the circumstances within which these questions become meaningful, significant, consequential in the specific ways that they do. Rather than treat the problem of the state as having a timeless validity, or trans-historical relevance, investigations would concentrate on looking at the implications of raising particular questions at the specific moments in time and the specific places in which they were raised. Proceeding in this way the ground is thus prepared for a respecification of the 'classical' problem of the state in and through empirical investigations of social and political practices. The central contention advanced in this book is that it is in this sense that 'the problem of the state' can best be addressed, i.e., by returning 'the problem' to its home environment, namely our practices, including the disputes and conflicts that both surround and arise out of them.
Chapter Eight: What We Talk About When We Talk About The State
As a way of concluding my third order study of the study of the state, in this, the final chapter of the book, I return to a question initially raised in its opening chapters: namely, what are we talking about when we talk about the state? The arguments up to this point have been geared to showing that we will not find an answer to that question in constitution or construction treated in isolation because the problem of the state resists narrow treatment in those terms. A focus on either can be illuminating but can also be misleading, depending on the circumstances. Crucially, however, it is the circumstances which determine which is the case. The work of Marx and Machiavelli, and indeed Weber when freed from neo-Weberian interpretations, encourages us to examine the ways in which the problem of the state arises in and as part of social and political affairs for those engaged in them. In so doing, that work allows us to dissolve the problems of constitution and construction by reminding us that we do not need to extend primacy to either, or indeed anything else. Our task on this view is to see how the problem of the state acquires whatever practical relevance and urgency it has in concrete socio-political circumstances and take our lead from that. By taking that lead, I have argued, we can re-ground our studies and acquire a clarity on the problem of the state it is all too easy to otherwise lose. However, I am not the only voice arguing for the need to re-ground our inquiries into the problem of the state and in this chapter I turn my attention to recent work by two of the most prominent figures in this field on that front: Bob Jessop and Bruno Latour. This involves a shift in focus away from empirical research because their work, like mine, is also of the third-order. While they do not offer studies of the state per se, in other words, they do offer metamethodological frameworks designed to guide such studies, albeit in Latour's case indirectly so. Taking up the question of what we talk about when we talk about the state from a different angle, I highlight the points at which the work of both aligns with the position I have argued for in previous chapters as well as where they depart from it. The key issue of contention concerns ontology, our commitment to theories of what there is and what there can be, and whether we need to take a stance on it – Jessop and Latour both believe we do, I believe we do not. Treated as methodologists on a weak reading which brackets out and ignores the ontological aspects of their positions, I argue it is possible to learn much from the work of both; but when read on the basis of the strong ontological claims they advance, however, their frameworks raise many problems. This is primarily because those frameworks disguise the crucial point that we learn from members of social and political communities what we could be talking of in talking of the problem of the state – and hence of the kind of problem the problem of the state could be – not from metaphysical schemas designed to define the forms that problem does or could possibly take. We are not nor could we be legislators in this domain and we need to avoid subordinating our phenomena to our intellectual preoccupations or treating what we find in the world as reflecting our investigative orientation to it for that very reason. The problem of the state isn't ours as social and political scientists; it belongs to social and political practice and ought to be studied in those practices' own terms.
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Serving Manufacturers, Retailers, and Service Solutions Providers
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5 Ways to Improve Your Returns Processing
By Harold Baro, SVP & General Manager, SIMOS Solutions– RLA Bronze Member
The pandemic has caused a surge in eCommerce, which means the number of returned merchandise retailers see each year is growing. Americans returned $428 billion in merchandise to retailers last year according to the National Retail Foundation, which accounted for over 10% of retail sales in 2020.
2. Simplify
Take a look at your returns process. How many steps does it take to process a return and restock it? Are employees forced to take extra steps to find the barcode or return information? Streamlining and simplifying this process is an easy way to speed up your return times.
If done incorrectly, returns processing can be an expensive and difficult business. But handling returns does not have to be a burden on your operation. Here are 5 quick ways to improve your returns processing operation.
1. Prepare your warehouse
Returns take up a lot of space and processing them efficiently means that they are just stuck wherever you have room. Take the time to plan out a space suitable for the process. Ideally, the space should be close to your inbound dock and have adequate staging areas to store and then process returns.
It should also be a place where supplies and equipment are easily located so that returns can be quickly processed and organized back into stock without disrupting your other warehouse operations. Putting thought into your returns space can cut down on extra steps and streamline the process.
20 Reverse Logistics Magazine | Edition 117
Many times the returns process is an afterthought and a process where man hours add up, costing additional dollars to re-handle. This is a work cell that if set up properly, and best practices are utilized, will yield savings and make a positive impact in your bottom line. Returns is an added cost, but there is no reason not to develop processes to keep those costs to a minimum while getting the returned items back into inventory for resale.
3. Plan for trash
Returns generate a lot of trash. Figure out the process for storing, sorting and removing trash and recycling. Doing so means that work is not hindered by a cluttered work area and nothing will get lost. An organized process leads to an efficient process.
4. Control restocking
Some of the best returns operations process returns and restock them within 24-36 hours. They can do this quickly because their restocking process is organized and straight-forward. Identifying and sorting items prior www.RLmagazine.com
to putting them in picking locations can reduce the time required to restock. Having enough storage locations that are well labeled, means that restocking can be quickly completed while reducing your restock labor.
5. Partner with an output-based staffing company
With returns processing, it's difficult to maximize efficiency and cost-savings when your operation is managed based on headcount. A staffing model where you manage your workforce based on output, not headcount allows you to manage staff based on the amount of returns that need to be processed or the inventory that needs to be shipped instead of worrying any people you need in your building.
returns. During peak seasons or changes in eCommerce markets, this can become critical to not losing valuable time and money on returns processing.
AUTHOR
Harold Baro is senior vice president and general manager of SIMOS Solutions, a labor management firm that specializes in improving the ways organizations staff and manage high-touch environments by providing engineering expertise, a
With an output-based staffing strategy like SIMOS, your operation can reduce the number of steps in your production and increase efficiency quickly in your returns processing operation. Managing a workforce based on output means that you have budget certainty with your frontline workforce and management at a guaranteed fixed cost per unit while meeting quality and safety standards. He leads a core of certified engineers and experienced onsite workforce leaders who help optimize processes for budget certainty and increased efficiencies in distribution, fulfillment, reverse logistics and light manufacturing.
21
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Ми – перші!
16 лютого 2018 року на базі Болградського навчально-виховного комплексу почалася очна сесія підготовки вчителів до впровадження Державного стандарту початкової освіти. До присутніх з вітальним словом звернулися начальник відділу освіти Болградської районної державної адміністрації Оріховська А.С., завідувачка методичним кабінетом Звягінцева Н.В.
До нововведень колег готують тренери: методист РМК Стоянова М.І. та вчителька початкових класів Варімеz К.І. Вчителів ознайомили з основними засадами реформування системи освіти, залучали до активних форм роботи, мотивували до розв’язування проблемних питань і вироблення спільних рішень.
Отже, ми, вчителі початкової школи, - перші. Ми готові до змін за викликом часу, ми запалені жагою знань і бажанням змінюватися, вдосконалюватися, розвиватися. Адже кожен розуміє, що саме від нас залежить майбутнє дітей і в цілому - майбутнє нашої країни.
The training was held in the form of a workshop, which included theoretical and practical components. The participants actively participated in the discussions and shared their experiences and ideas.
The participants of the training in Tbilisi, Georgia, 2013
The project was implemented in 2013-2014 and involved 50 teachers from 10 schools in the region. The project aimed to improve the quality of education by introducing innovative teaching methods and technologies. The teachers participated in workshops, seminars, and online courses to enhance their skills and knowledge. The project also included the development of educational materials and the creation of a network of educators who could share resources and best practices.
The project was funded by the European Union and received positive feedback from the participants. The teachers reported that they felt more confident in their ability to teach and that their students showed improved engagement and motivation. The project has since been replicated in other regions of the country, demonstrating its effectiveness and impact on education.
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SOFAR 3K~7.5KTL-G2
Single-Phase
- Built-in zero export function
- IP65 ingress protection
- Max. efficiency up to 98.2%
- Smart monitoring, RS485, Wifi/Ethernet/GPRS (optional)
Dual-MPPT
- 2 MPPT high precision string detection
- I-V curve scanning function
- Built-in sound and light alarm function
## Datasheet
### Input (DC)
| Model | SOFAR 3KTLM-G2 | SOFAR 3.6KTLM-G2 | SOFAR 4KTLM-G2 | SOFAR 4.6KTLM-G2 | SOFAR 5KTLM-G2 | SOFAR 6KTLM-G2 | SOFAR 7.5KTLM |
|----------------|----------------|------------------|----------------|------------------|----------------|----------------|---------------|
| Recommended Max. PV input power | 3990Wp | 4790Wp | 5320Wp | 6120Wp | 6650Wp | 7980Wp | 9980Wp |
| Max DC power for single MPPT | 3500W | 3500W | 3500W | 3500W | 3500W | 3500W | 2*2750W/ 2750W |
| Number of MPP trackers | | | | | | | |
| Number of DC inputs | 1/1 | | | | | | |
| Max. Input voltage | 600V | | | | | | |
| Start-up voltage | 120V | | | | | | |
| Rated input voltage | 360V | | | | | | |
| MPPT operating voltage range | 90~580V | | | | | | |
| Full power MPPT voltage range | 160V-520V | 180V-520V | 200V-520V | 230V-520V | 250V-520V | 300V-520V | 250V-520V |
| Max. Input current per MPPT | 11A/11A | | | | | | |
| Maximum DC input short circuit current per MPPT | 13.2A | | | | | | |
### Output (AC)
| Model | SOFAR 3KTLM-G2 | SOFAR 3.6KTLM-G2 | SOFAR 4KTLM-G2 | SOFAR 4.6KTLM-G2 | SOFAR 5KTLM-G2 | SOFAR 6KTLM-G2 | SOFAR 7.5KTLM |
|----------------|----------------|------------------|----------------|------------------|----------------|----------------|---------------|
| Rated power | 3000W | 3680W | 4000W | 4600W | 5000W | 6000W | 7500W |
| Max. AC power | 3000VA | 3680VA | 4000VA | 4600VA | 5000VA | 6000VA | 7500VA |
| Max. Output current | 13.7A | 16.8A\(^1\) | 18.2A | 21A | 22.8A | 27.3A | 32.6A |
| Nominal grid voltage | L/N/PE, 220Vac, 230Vac, 240Vac | | | | | | |
| Grid voltage range | 180Vac-276Vac (According to local standard) | | | | | | |
| Nominal frequency | 50Hz/60Hz | | | | | | |
| Grid frequency range | 45Hz-55Hz/54Hz-66Hz (According to local standard) | | | | | | |
| Active power adjustable range | 0~100% | | | | | | |
| THD\(_i\) | < 3% | | | | | | |
| Power factor | 1 default (adjustable +/-0.8) | | | | | | |
| Power limit export | Zero export or adjustable power limit export | | | | | | |
### Performance
| Model | SOFAR 3KTLM-G2 | SOFAR 3.6KTLM-G2 | SOFAR 4KTLM-G2 | SOFAR 4.6KTLM-G2 | SOFAR 5KTLM-G2 | SOFAR 6KTLM-G2 | SOFAR 7.5KTLM |
|----------------|----------------|------------------|----------------|------------------|----------------|----------------|---------------|
| Max efficiency | 98.0% | | | | | | 98.2% |
| European weighted efficiency | 97.5% | | | | | | 97.6% |
| Self-consumption at night | < 1W | | | | | | |
| MPPT efficiency | > 99.9% | | | | | | |
### Protection
| Model | SOFAR 3KTLM-G2 | SOFAR 3.6KTLM-G2 | SOFAR 4KTLM-G2 | SOFAR 4.6KTLM-G2 | SOFAR 5KTLM-G2 | SOFAR 6KTLM-G2 | SOFAR 7.5KTLM |
|----------------|----------------|------------------|----------------|------------------|----------------|----------------|---------------|
| DC reverse polarity protection | Yes | | | | | | |
| DC switch | Optional | | | | | | |
| Protection class/overvoltage category | I/III | | | | | | |
| Safety protection | Anti-islanding, RCMU, Ground fault monitoring | | | | | | |
| SPD | MOV: Type III standard | | | | | | |
### Communication
| Model | SOFAR 3KTLM-G2 | SOFAR 3.6KTLM-G2 | SOFAR 4KTLM-G2 | SOFAR 4.6KTLM-G2 | SOFAR 5KTLM-G2 | SOFAR 6KTLM-G2 | SOFAR 7.5KTLM |
|----------------|----------------|------------------|----------------|------------------|----------------|----------------|---------------|
| Power management unit | According to certification and request | | | | | | |
| Standard communication mode | Rs485, Wifi/Ethernet/GPRS(optional), SD card(optional) | | | | | | |
| Operation data storage | 25 years | | | | | | |
### General Data
| Model | SOFAR 3KTLM-G2 | SOFAR 3.6KTLM-G2 | SOFAR 4KTLM-G2 | SOFAR 4.6KTLM-G2 | SOFAR 5KTLM-G2 | SOFAR 6KTLM-G2 | SOFAR 7.5KTLM |
|----------------|----------------|------------------|----------------|------------------|----------------|----------------|---------------|
| Ambient temperature range | -25°C~+60°C | | | | | | -30°C~+60°C |
| Topology | Transformerless | | | | | | |
| Degree of protection | IP65 | | | | | | |
| Allowable relative humidity range | 0~100% | | | | | | |
| Max. Operating altitude | 2000m | | | | | | |
| Noise | < 25dB | | | | | | |
| Weight | 11.5kg | | | | | | 18kg |
| Cooling | Natural | | | | | | |
| Dimension | 405*315*135mm | | | | | | 467*352*157mm |
| Display | LCD display | | | | | | |
| Warranty | 5 years/ 7 years/ 10 years | | | | | | |
### Standard
| Model | SOFAR 3KTLM-G2 | SOFAR 3.6KTLM-G2 | SOFAR 4KTLM-G2 | SOFAR 4.6KTLM-G2 | SOFAR 5KTLM-G2 | SOFAR 6KTLM-G2 | SOFAR 7.5KTLM |
|----------------|----------------|------------------|----------------|------------------|----------------|----------------|---------------|
| EMC | EN 61000-6-2, EN 61000-6-3, EN 61000-3-2, EN 61000-3-3, EN 61000-3-11, EN 61000-3-12 | | | | | | |
| Safety standards | IEC62109-1/2, IEC62116, IEC61727, IEC-61683, IEC60068(1.2, 14, 30) | | | | | | |
| Grid standards | AS/NZS 4777, VDE V 0124-100, V 0126-1-1, VDE-AR-N 4105, CEI 0-21, EN50549, GB3/G59/G98/G99, NB/T 32004; ABNT NBR 16149/16.150 (for SOFAR3KTLM-G2, SOFAR5KTLM-G2& 7.5KTLM) | | | | | | |
\(^1\): For G98 UK standard, SOFAR 3.6KTLM-G2, Max. Output current is 16A.
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From:
Sent:
Sunday, 29 March 2015 7:33 PM
To:
MB_Contact
Subject:
- Redress and Civil Litigation
Child Abuse Royal Commission
Please understand that I find it extremely difficult to express what physical and sexual abuse I suffered as child in care. And how society has burdened me to bury my pain, unresolved but still torturing my daily life.
I submitIt's important that redress be what survivors want, not the simple pay-off and go away that both organisations and government are currently telling the Commission is the best way forward.
Three key things need to be addressed in any REDRESS:
1) Financial compensation;
2) Ongoing support;
3) Proof of guilt.
Explained:
1) Financial compensation, fitting the crime! Pie in the sky amount of one billion dollars per survivor. It won't happen but that amount is closer to the real compensation amount for lives destroyed.
2) Ongoing support of the survivors choosing. Not based on churches or government opinion of individual needs.
3) Victims of institutional abuse where child abuse is know to have occurred including similar facilities (eg: Church homes/sports programs) should ONLY need on prove they were incarcerated/attended facility to be eligible for compensation. Individual victims shouldn't have to bring about protracted legal action against perpetrators to be eligible for compensation and/or help. The onus should be on the organisation to bring perpetrators to justice for crimes against children in their care.
Kind regards
1
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https://caroyalcomm.govcms.gov.au/sites/default/files/file-list/Consultation%20Paper%20-%20Redress%20and%20civil%20litigation%20-%20Submission%20-%20102%20Name%20Withheld%2006.pdf
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March 15, 2023
Simone Rede City Auditor 1221 SW 4th Avenue, Ste. 310 Portland, OR 97204
Dear Auditor Rede,
Thank you for the opportunity to provide a response to your audit update regarding the 2018 Gang Enforcement Team ("GET") Audit. As Police Commissioner, I appreciate the important role of your office to ensure transparency in the work of the Portland Police Bureau and all city bureaus. PPB leadership and I strive to serve in a manner that is both reflective of the values of our community and effective in creating a safe and vibrant city. Since the original 2018 audit was completed, Portland has faced an unprecedented rise in gun violence which has prompted us to find new ways to respond.
As we have discussed, there are significant distinctions between the Focused Intervention Team ("FIT"), the GET, and Gun Violence Reduction Team ("GVRT"). As such, application of prior audit recommendations for those units are incongruous to the FIT. As you know, a key difference of the FIT is the inclusion of real-time input from community members in the Community Oversight Group ("COG"). Importantly, the COG was created first then the FIT was designed collaboratively with COG members. The COG actively participated in developing job descriptions for FIT members, establishing values and expectations rooted in social justice and equity, and evaluating applicants throughout the hiring process. COG members are invested in understanding officer training and routinely make recommendations for additional training and/or suggestions for promoting positive community interactions.
Neither the GET nor the GVRT received oversight or input from the public in this direct manner. Because of these significant differences, my position is that a new audit is a more appropriate path forward rather than superimposing recommendations developed for units that operated very differently. Maintaining my position that this audit does not apply to the FIT, my responses to the audit recommendations as applied to FIT are as follows:
Office of Mayor Ted Wheeler City of Portland
Auditor Simone Rede March 15, 2023 Page 2
I previously requested greater clarity regarding your recommendation that PPB collect demographic and other data on "mere conversations." As noted in the audit, the Bureau publishes and analyzes stops data, including demographic data, and plans to separately analyze stops data for the FIT from its inception in 2022. Because the FIT is operating in a different manner than the GET or the GVRT and stop data is publicly reported, the basis for this recommendation is unclear.
In addition to the legality of collecting such data, we remain concerned with the feasibility of the recommendation as it applies to the FIT. "Mere conversations" encompass every voluntary contact a member of the public has with an officer, regardless of who initiates that contact. This would include small talk while getting coffee or having lunch, or even a person simply asking an officer for directions. Tracking every passing conversation and entering that information into a law enforcement database is a major undertaking.
More importantly, I have significant concern about the chilling effect on community engagement if police officers are required to collect demographic information, as recommended in the original 2018 audit. As PPB works to employ 21 st Century Policing principles and build relationships, community members should not have to worry about their demographics or other information being tracked solely because they spoke to a police officer. This is particularly true for the FIT, which aims to ease tensions in the community and build trust as it works to reduce gun violence. As I have stated previously, I am willing to reconsider my opposition to this recommendation as it applies to the FIT if your team can direct us to precedent that demonstrates the efficacy of this practice.
Regarding the recommendation that "the Gang Enforcement Team set goals to measure the effectiveness of patrol stops and record whether they resulted in contacting a criminal gang suspect," I do not believe this recommendation applies to the FIT. As noted in the same paragraph of the audit, the goal of the FIT is distinct from the goals of the GET and GVRT, so documenting whether FIT officers encounter a "criminal gang suspect" during a stop does not seem applicable. Moreover, this recommendation asks PPB to track a person's gang affiliation, which is inconsistent with the community feedback that resulted in eliminating compiled lists identifying suspected gang members.
Similarly, your recommendation that the Bureau "adopt policies and procedures for collecting and disseminating information about people with gang relationships" in effect directs PPB to create a tracking system for individual gang affiliation, even if that information exists only in officers' memories or witness statements made to police. Then, based on that tracked data, create a process by which people could seek to have that information stricken.
I'm not sure how such a system is feasible, particularly in the case of individual officer knowledge and memory. I would also note that witness statements in law enforcement investigations often include descriptions, allegations, and information that may not always prove to be accurate. I am concerned that if this recommendation were somehow implemented, the result would lead to an unsustainable demand to strike a variety of information that may not have ever resulted in any action by law enforcement at all.
Auditor, I appreciate your team's efforts and consideration in making these assessments. I understand that we may not always agree, but I do value the important dialogue about constitutional policing. I look forward to working with you toward our shared goal of a safer and stronger city for all Portlanders.
Sincerely,
Mayor Ted Wheeler
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Available online at BCREC Website: http://bcrec.undip.ac.id
Bulletin of Chemical Reaction Engineering & Catalysis, 10 (1), 2015, 78-87
Research Article
Stopped Flow Kinetics of Mn II Catalysed Periodate Oxidation of 2,3-dimethylaniline - Evaluation of Stability Constant of the Ternary Intermediate Complex
R. D. Kaushik*, Richa Agarwal, Priyanka Tyagi, Om Singh, Jaspal Singh
Department of Chemistry, Gurukul Kangri University, Haridwar-249404, India
Received: 3rd October 2014; Revised: 4th December 2014; Accepted: 15th December 2014
Abstract
The formation of ternary intermediate unstable complex during the oxidation of aromatic amines by periodate ion catalysed by Mn II has been proposed in case of some anilines. This paper is the first report on stopped-flow kinetic study and evaluation of stability constant of ternary complex forming in the Mn II - catalysed periodate oxidation of 2, 3-dimethylaniline (D) in acetone-water medium. Stop-flow spectrophotometric method was used to study the ternary complex formation and to determine its stability constant. The stop-flow trace shows the reaction to occur in two steps. The first step, which is presumably the formation of ternary complex, is relatively fast while the second stage is relatively quite slow. The stability constant evaluated for D - Mn II - IO4 - ternary complex by determining equilibrium absorbance is (2.2 ± 1.0) × 10 5 . Kinetics of ternary complex formation was defined by the rate law (ln{[C2]eq /([C2]eq-[C2])} = kobs.t) under pseudo first order conditions, where, kobs is the pseudo first order rate constant, [C2] is concentration of ternary complex at given time t, and [C2]eq is the equilibrium concentration of ternary complex. © 2015 BCREC UNDIP. All rights reserved.
Keywords: Stopped flow kinetics; Stability constant; Ternary complex; Mn II catalysed; Periodate oxidation; 2,3-dimethylaniline
How to Cite: Kaushik, R. D., Agarwal, R., Tyagi, P., Singh, O., Singh, J. (2015). Stopped Flow Kinetics of MnII Catalysed Periodate Oxidation of 2,3-dimethylaniline - Evaluation of Stability Constant of the Ternary Intermediate Complex. Bulletin of Chemical Reaction Engineering & Catalysis, 10 (1): 7887. (doi:10.9767/bcrec.10.1.7621.78-87)
Permalink/DOI: http://dx.doi.org/10.9767/bcrec.10.1.7621.78-87
1. Introduction
Aromatic amines are used as intermediates in the manufacture of plastics, dyes, drugs, explosives, rubber, epoxy polymers, azo dyes, aromatic polyurethane products and pesticides [1]. These can come in contact with living organisms by inhalation, ingestion and skin contact and most of these are enlisted as carcinogenic and/ or toxic due to their genotoxic or cytotoxic properties [2,3]. It is of interest to study their new reactions for understanding their role in physiological activities and for developing methods for their detection, estimation and treatment. Aromatic amines have been subjected to oxidation reactions by using oxidants like peroxydisulphate ion [4], benzimidazolium fluorochromate [5] and periodate, etc.
* Corresponding author
E-mail: [email protected] (Kaushik, R.D)
Tel. +917351739000
The kinetics and mechanism of the uncatalysed and Mn II catalyzed non-Malapradian periodate oxidation of some aromatic amines has been the subject of study during the past few years. In these reports, a binary unstable intermediate complex formation between aromatic amine and periodate has been proposed in the
reaction mechanism of uncatalysed reactions [6-16]. Also, there are some reports available which propose the ternary complex formation between periodate, aromatic amine and Mn II in some reactions catalysed by Mn II [17-23].
In continuation to our studies on periodate oxidation of 2,3-dimethylaniline catalyzed by Mn II [23], and in order to make an attempt for the first time for evaluation of stability constant for the ternary intermediate complex being formed in this reaction, the results of stopped flow kinetic studies made on Mn II catalysed periodate oxidation of 2,3dimethylaniline in acetone-water medium are being presented and discussed in this communication.
2. Experimental
2.1. Reagents and Chemicals
The principal reagents used were sodium metaperiodate (Loba Chemie) (CAS no. 779028-5), 2,3-dimethylaniline (Aldrich) (CAS no. 87-59-2) and manganese sulphate monohydrate (Aldrich) (CAS no. 10034-96-5) (here-to-after referred as I, D and Mn II , respectively). All
Absorbance
other chemicals of analytical reagent / guaranteed reagent grade were used after redistillation / recrystallization. Triply distilled water was used for preparation of the solutions. Thiel, Schultz and Koch buffer [24], used for maintaining the pH of reaction mixtures, was prepared by mixing desired volumes of 0.05 M oxalic acid (CAS no. 144-62-7), 0.02 M boric acid (CAS no. 10043-35-3), 0.05 M succinic acid (CAS no. 110-15-6), 0.05 M sodium sulphate (CAS no. 7757-82-6) and 0.05 M sodium tetraborate decahydrate (CAS no. 1303-96-4). Acetone (E. Merck) (CAS no. 67-64-1) was used for preparation of reaction mixtures.
2.2. Kinetic Procedure
All absorbance measurements were made on Shimadzu double beam spectrophotometer (UV-2450). The reaction was initiated by adding temperature equilibrated NaIO4 solution of known concentration to the reaction mixture containing D, Mn II and buffer. The temperature of reaction mixture was maintained in the uvvs spectrophotometer with the help of an inbuilt temperature control unit, Shimadzu TCC-
Figure 2. UV-VIS rapid scan at different time at [D] = 2.0×10 -4 mol dm -3 , [I] = 2.0 × 10 -2 mol dm -3 , [Mn II ] =7.28×10 -6 mol dm -3 , pH = 6.0, Temp. = 35 ± 0.1 o C, acetone =10.0 % (v/v), λmax = 470 nm, time interval = 60 s
Copyright © 2015, BCREC, ISSN 1978-2993
240, with an accuracy of ± 0.1 o C. The absorption maximum (λmax) of the reaction mixture was 470 nm. The value of λmax remained unchanged during experimental conditions as shown in Figures 1, 2 and 3. For stopped flow kinetics study, the progress of the reaction was followed by recording the absorbance change with time at 470 nm on stopped flow apparatus (Applied Photophysics – Stopped Flow SX-20). Desired temperature (±0.01 o C) was maintained with the help of an automatic high precision thermostatic control (Thermo Scientific NESLAB RTE7).
Substrate solution was prepared by mixing known amounts of D (in acetone), Mn II , acetone and buffer solution. After baseline setting to zero absorbance by emptying both syringes loaded with buffer solution, one of the syringes was loaded with periodate solution of known concentration, while other syringe was loaded with substrate solution. The reaction was initiated by emptying the syringes. Collected data were treated by the software (SX-20, Pro-data) for determining the pseudo-first order rate constants.
3. Results and Discussion
3.1. Preliminary Investigation
The absorption maxima of the reaction mixture containing Mn II , D and I differed widely from that of the mixture containing only D and NaIO4. Further, absorbance measurements indicated there to be no observable reaction between Mn II and I or Mn II and D. On mixing D and I, the solution turned light yellow and the nature of spectrum (Figure 1) was quite different from the individual spectra of D and I indicating the formation of complex or adduct, D I. The λmax of this adduct was found to be 470 nm, which did not change with time, as shown in Figure 1.
Our purpose was to study the kinetics of periodate oxidation of D in presence of Mn II , which is known to be a catalyst for this system [23]. Therefore, the rapid scan spectra of the solution containing Mn II , NaIO4 and D were recorded and are shown in Figure 2. This mixture is yellow in colour, which deepens with progress of time. A comparison of spectrum of D Mn II - I system with that of I - D system indicates the formation of a ternary complex, Mn II – D – I, when Mn II is present. Although, λmax is same (470 nm in Figure 3), but the molar extinction coefficient of ternary complex is high.
The reaction between periodate and D in presence of Mn II has been shown to be first order in each reactant and catalyst as already reported [23]. So the kinetics was studied under pseudo first order conditions.
3.2. Stability Constant of D - Mn II - I Ternary Complex
Stop-flow spectrophotometric method was used to study the ternary complex formation and to determine its stability constant. In all the experiments, both [I] and [D] were in large excess (at least ten times) over [Mn II ], and [I] was in excess over [D]. The stop-flow trace, as presented in Figure 4, shows the reaction to occur in two steps. The first step, which is presumably the formation of ternary complex, is relatively fast with 70% reaction occurring in ~200 s; the second stage is relatively quite slow. The ternary complex attained equilibrium in about 500 - 1500 s depending upon the reactant concentrations. The relatively faster rate of the first stage allowed us to assume maximum absorbance recorded in each stop-flow run to be equal to the equilibrium absorbance of the ternary complex. The values of equilibrium absorbance (Ae) are given in Table 1.
Ternary complex was formed in stop-flow
experiment, when a solution containing Mn II and D was mixed with solution of NaIO4. The formation of a complex can be written as in Equation (1).
If the absorbance values at pre-selected wavelength, 470 nm, are measured in solutions containing different [D] and [I] but at fixed [Mn II ], it can be shown that [25, 26]:
where C2 represents the ternary complex, D Mn II - I.
The probable mechanism of the formation of ternary complex can be given in Equation (2).
Subsequently, the ratio kf/kr has been used to represent K2, the equilibrium constant of reaction (Equation (3)).
The spectra of D, I, Mn II and reaction mixtures for catalysed / uncatalysed reactions show that the only principal species absorbing at 470 nm is ternary complex. At this wavelength, Mn II , D, Mn II - D and Mn II - I display no significant absorbance. However, the D - I adduct absorb at 470 nm, but its absorbance is not sizable and, therefore, can be ignored.
where Ae is the absorbance of the ternary complex at equilibrium, A∞ is the absorbance when Mn II is fully present as ternary complex, and A0 is the absorbance of Mn II in the absence of D and I. K is the overall stability constant and based on Equation (1) is defined by Equation (5).
where, [Mn II - D - I] = [C2]eq = equilibrium concentration of ternary complex, [Mn II ] = equilibrium concentration of uncomplexed Mn II . [D] and [I] are initial concentrations of D and periodate, respectively.
On replacing [Mn II – D - I] by [C2]eq, Equation (5) becomes Equation (6) or (7).
By mass balance, total Mn II concentration, [Mn II ]0 is given by Equation (8):
Table 1. Equilibrium absorbance for [D- Mn II -I] ternary complex formation. [Mn II ] = 7.28×10 6 mol dm -3 , pH = 6.0, Temp. = 35 ± 0.01 o C, acetone = 10.0 % (v/v), λmax = 470 nm
Putting the value of [Mn II ] from Equation (7) into Equation (10), we get:
Since [Mn II - D] is assumed to be very small, it can be neglected in Equation (8).
As already mentioned in the section 3.1, absorbance measurements indicated no observable reaction between Mn II and I or Mn II and D. The experiments were conducted separately by,
mixing Mn II and D and no absorbance was found at chosen wavelength i.e. 470 nm. Further, there was absorbance noted and recorded when all the three, i.e. I, Mn II and D were mixed. Therefore, under the experimental conditions of this study, the binary complex, Mn II – D, has no absorbance at chosen wavelength (470 nm). Ae can be assumed to be the absorbance due to ternary complex only.
If Ae is absorbance of ternary complex, C2, and ε is its molar absorptivity then for cell of path length 1 cm, we have:
e 2 where [C2] is the concentration of the ternary complex at time t. When whole of the manganese(II), i.e., [Mn II ]0, is present as complex, then observed absorbance is equal to A∞. So replacing the values of Ae by A∞ and [C2] by [Mn II ]0 in Equation (12), we obtain:
Substituting the value of [C2] and [Mn II ]0 into Equation (11) from Equations (13) and (12).
which on rearrangement becomes Equation (14):
This equation assumes that no species other then ternary complex absorbs at chosen wavelength, 470 nm.
Table 2. Effect of variation of concentration of reactants on the reaction rate. [Mn II ] = 7.28×10 -6 mol dm -3 , pH = 6.0, Temp. = 35 ± 0.01 o C, acetone = 10.0 % (v/v), λmax = 470 nm
The values of Ae were determined first at different concentration of I and keeping [D] fixed. Under this condition Equation (14) becomes Equation (15).
Equation (15) is equivalent to Equation (14) through K3 = K [D].
In another set of experiments, the values of Ae were determined at different concentration of [D] but at fixed concentration of [I]. Under this condition Equation (14) becomes:
A comparison of Equations (14) and (16) shows K4 = K [I].
As required by Equation (15), the plot of 1/Ae versus 1/[I] is a straight line as shown in Figure 5. This plot yields slope, S1= 8.0 × 10 -2 and intercept, I1= 6.25. According to equation (15), S1 = 1/ K3 A∞ and I1 = 1/A∞. So from the ratio, I1/ S1, the value of K3 was found to be 78.
Likewise, from Figure 6, we obtain, slope, S2 = 1.71 × 10 -3 and intercept, I2 = 2.07. Equation (16) shows K4 = I2/S2 . From the values of S2 and I2, we obtain K4 = 1.2 × 10 3 .
Now from the K4 value of 1.2 × 10 3 (at [I] = 0.01 mol dm -3 ), which is equal to K [I], the value of K was found to be 1.2 × 10 5 . On the other hand from the K3 value of 78 (at [D] = 2 × 10 -4 mol dm -3 ), which is equal to K [D], the value of K is found to be 3.1 × 10 5 .
Copyright © 2015, BCREC, ISSN 1978-2993
The excellent agreement between the K values, as determined from the [I] and [D] variations at fixed [Mn II ]0, validates the hypothesis regarding the formation of ternary complex. The average value of K is (2.2 ± 1.0) × 10 5 at pH = 6.0, [Mn II ]0 = 7.28 × 10 -6 mol dm -3 and 35 °C.
3.3. Kinetics of Ternary Complex Formation
plex was studied at 470 nm under pseudo first order conditions with [I] being in excess over [D] and [Mn II ]0 both and [D] being in excess over [Mn II ]0. Under these conditions, the ternary complex formation follows the pseudo first order kinetics and the values of pseudo first order rate constant, kobs, are given in Table 2. Some first order plots are given in Figures 7 and 8.
The complete profile of a kinetics run is shown in Figure 4. As indicated earlier, the reaction occurs in two stages the second stage is relatively slow. The first stage represents possibly the formation of ternary yellow complex, for which the stability constant determination has just been described.
The value of kobs appear to be only dependent on [D] & [I] which were in excess as compared to [Mn II ]. kobs may be defined by the Equation 17.
In section 3.1, It has already been mentioned that the reaction has been shown to be first order in I, Mn II and D as already reported [23]. Therefore, in present case, the kinetics was studied under pseudo first order conditions. The kinetics of the formation of the com- where k f ' and k r are empirical rate constants as defined later. As required by Equation (17), the plot of k obs versus [I] is linear as shown in Fig. 13. From this plot, the value of k f ' and k r were found to be 0.19 l mol -1 s -1 and 2.5 × 10 -2 s -1 , re-
Table 3. Data Analysis for [Mn II -D-I] ternary complex formation
spectively.
3.4. Mechanism of the Reaction
The kinetics results of ternary complex formation may be explained by the mechanism (Equations 2-3), which is decidedly not unique. It is possible to write one or more alternative mechanisms to explain the results obtained in this study.
The rate of formation of C2 is given by:
where [C2] is the concentration of the ternary complex at time t.
By mass balance:
Assuming that the concentration of Mn II - D is very small, and then on neglecting it, Equation (19) becomes Equations (20).
Assuming that equilibrium for the formation of the binary complex, Mn II - D, is rapidly established then the value of concentration of Mn II D is given by Equation (21).
Substituting [Mn II - D] = K1 [Mn II ][D] in Equation (18), we get:
On substituting [Mn II ] = [Mn II ]0 - [C2] from Equation (20) in Equation (22), we get:
If the ternary complex formation attains equilibrium then, d[C2]/dt = 0 and [C2] = [C2]eq, where [C2]eq is the concentration of ternary complex at equilibrium. Under these conditions Equation (23) becomes Equation (24).
Now from Equations (23) and (24), we get:
which on modification becomes:
where:
where kf ' = kf K1 [D]. On integrating Equation (26), we get:
According to Equation (27) the plot of kobs versus [I] (at constant [D]) is straight line with a intercept = kr and slope = kf K1[D] (Figure 7).
Likewise, from Equation (27) the plot of kobs versus [D] (at constant [I]) is also straight line with intercept = kr and slope = kf K1[I] (Figure 8). The values of slopes and intercepts determined from these Figures are given in Table 3.
Using the values of intercepts and slopes of plots in Figures 7 and 8, the values of kf.K1 were found to be 1.0 x 10 3 and 3.8 x 10 3 dm 6 mol -2 s -1 from periodate and 2,3-dimethylaniline variations, respectively. Likewise, the values of kf K1/kr determined from same figures were found to be 0.4 x 10 5 and 1.8 x 10 5 dm 6 mol -2 . The good agreement between the parameters determined from two different variations support the mechanism and the rate law proposed.
4. Conclusion
Stopped flow kinetics of Mn II catalysed periodate oxidation of 2,3-dimethylaniline(D) in acetone-water medium and equilibrium absorbances have been used for the first time for evaluation of stability constant of the ternary intermediate unstable complex being formed in this reaction. The stability constant evaluated for D - Mn II - IO4 - ternary complex is (2.2 ± 1.0) × 10 5 . Based on the proposed mechanism of formation of this complex, the rate law under pseudo first order conditions is: ln{[C2]eq / ( [C2]eq -[C2])} = kobs . t, where, kobs is the pseudo first order rate constant, [C2] is concentration of ternary complex at given time t, [C2]eq is the equilibrium concentration of ternary complex. The value of stability constant is in good agreement with that obtained from the proposed rate law.
Acknowledgements
The authors are thankful to Gurukul Kangri University, Haridwar, India for providing necessary facilities for undertaking this work.
References
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[3] Dupret, J.M., Dairou, J., Busi, F., Silar, P., Martins, M., Mougin, C., Lima, F.R., Cocaign, A. (2011). Pesticide-Derived Aromatic Amines and Their Biotransformation, in: Stoytcheva, M., (Ed.), Pesticides in the Modern World Pests Control and Pesticides Exposure and Toxicity Assessment. InTech, Croatia, 601614.
[4] Gupta, V.K. (1985). Kinetics and mechanism of oxidation of p-substituted anilines by peroxydisulphate ion in acetic acid-water medium. React. Kinet. Catal. Lett., 27: 207-211.
[5] Mansoor, S.S., Shafi, S.S. (2014). Oxidation of some para-substituted anilines by benzimidazolium fluorochromate in aqueous acetic acid medium-A kinetic and mechanistic study. Arab. J. Chem., 7: 171-176.
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[7] Kaushik, R.D., Kumar, V., Arya, R.K., Singh, D. (2000). Periodate oxidation of o-toluidine in acetone-water medium - A kinetic and mechanistic study. Asian J. Chem., 12: 1123-1128.
[8] Kaushik, R.D., Singh, R.P., Shashi. (2003). A kinetic-mechanistic study of periodate oxidation of p-chloroaniline. Asian J. Chem., 15: 1485-1490.
[9] Kaushik, R.D., Malik, R., Kumar, A. (2010). Kinetics and Mechanism of periodate oxidation of o-anisidine in acetone-water medium. J. Indian Chem. Soc., 87: 317-323.
[10] Kaushik, R.D., Kumari, R., Kumar, T., Singh, P. (2010). Periodate oxidation of N,Ndimethylaniline and N,N- diethylaniline. Asian J. Chem., 22: 7959-7968
[11] Kaushik, R.D., Arya, R.K., Kumar, S. (2000). Periodate oxidation of aromatic amines: Kinetics and Mechanism of oxidation of Nethylaniline in acetone-water medium. Asian J. Chem., 12: 1229-1234
[12] Kaushik, R.D., Kumar, V. Kumar, S. (1999). Periodate oxidation of N-methylaniline in ace-
tone-water medium- A kinetic and mechanistic study. Asian J. Chem., 11: 633-638
[13] Kaushik, R.D., Joshi, R. Singh, D. (1998). Periodate oxidation of aromatic amines --- studies on the role of substituents and linear free energy relationships. Asian J. Chem., 10: 567572
[14] Kaushik, R.D., Oswal, S.D., Singh, D. (2000). A kinetic and mechanistic study of periodate oxidation of o-ethylaniline in acetone-water medium. Asian J. Chem., 12: 1129-1134
[15] Kaushik, R.D., Singh, D., Joshi, R., Kumar, S. (1998). Kinetics of periodate oxidation of aromatic amines - studies on the kinetic parameters and isokinetic relationship for few anilines. Asian J. Chem., 10: 573-576
[16] Kaushik, R.D., Joshi, R. (1997). Kinetics and mechanism of periodate oxidation of m – toluidine in acetone – water medium. Asian J. Chem., 9: 527-532
[17] Kaushik, R.D., Singh, J., Manila, Kaur, M., Singh, P. (2014). Kinetics and Mechanism of Mn II Catalyzed Periodate Oxidation of panisidine: Effect of pH. Bull. Chem. React. Eng. Catal. 9(3): 182-191 (DOI: 10.9767/bcrec.9.3.6823.182-191 )
[18] Kaushik, R.D., Shashi, Amrita, Devi, S. (2004). Kinetics and mechanism of Mn(II) catalysed periodate oxidation of 4-chloro-2methyl aniline. Asian J. Chem.16: 818-822.
[19] Kaushik, R.D., Kumar, D., Kumar, Anuj., Kumar, Ajay. (2010). Manganese(II) catalysed oxidation of 2,4-xylidine by periodate-A kinetic-mechanistic study. J. Indian Chem. Soc., 87: 811-816.
[20] Kaushik, R.D., Kaur, M., Malik, R., Kumar, A. (2010). Studies on Manganese(II) catalysed oxidation of N-methylaniline by periodate ion. Int. J. Chem. Sci., 8: 1379-1388.
[21] Kaushik, R.D., Kumar, A., Kumar, T., Singh, P. (2010). Manganese(II) catalysed periodate oxidation of p-toluidine- A kinetic-mechanistic study. React. Kinet. Mech. Catal., 101: 13-23.
[22] Kaushik, R.D., Malik, R., Kumar, T., Singh, P. (2012). Manganese(II) catalysed periodate oxidation of 2-amino-m-xylene-A KineticMechanistic Study. Oxid. Commun., 35: 316326.
[23] Kaushik, R.D., Malik, R., Agarwal, R., Singh, J. (2014). Kinetics and Mechanism of Mn II catalyzed periodate oxidation of 2, 3-xylidine in acetone-water medium. Res. J. Pharm. Biol. Chem. Sci., 5: 1644-1653.
[24] Britton, H.T.S. (1956). Hydrogen ions, D. Von Nostrand Co. 354.
[25] Conklin, M.H., Hoffmann, M.R. (1988). Metal Ion-Sulfur (IV) Chemistry. 3. Thermodynamics and Kinetics of Transient Iron(III)-Sulfur( IV) Complexes. Environ. Sci. Technol., 22: 899-907.
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Gupta, K.S., Jain, U., Singh, A., Dhayal, Y., Rani, A. (2012). Kinetics of palladium(II)catalysed oxidation of sulfur(IV) by oxygen. J. Indian Chem. Soc., 89: 1035-1043.
Copyright © 2015, BCREC, ISSN 1978-2993
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90 George Street, Paisley, PA1 2JR
Offers over £80,000
90 George Street, Paisley, PA1 2JR
**CLOSING DATE SET FOR WEDNESDAY 2ND NOVEMBER AT 12 NOON**
MoveWise Scotland are delighted to welcome to the market George Street.
A two-bedroom, top floor flat, with fantastic open out-looks.
**Property Description**
This fantastic top floor flat located in the Heart of Paisley Town Centre, offers accommodation all on one level. On entering the property through the secured entry system, you step into a welcoming communal area with staircase access to all floors.
As you enter the accommodation, to the right you would find both bedrooms with open outlooks to the front. On the left there is an additional box room currently used for storage, however would make a fabulous office space if working from home. From the hall you access the modern family bathroom with white three-piece suite. The bright and spacious lounge can be found at the end of the hallway with picture window giving the room exceptional lighting and door access to the balcony. Completing the property is the modern kitchen which has a range of base and wall mounted units and contrasting work tops.
The property further benefits from, Gas Central Heating, Double Glazing and resident on-street parking, whereby each household has a two car permit allowance.
George Street itself provides an array of local amenities. A range of supermarkets, shops, bars, restaurants and transport links in the area. The property is a 15 minute walk distance to Paisley Town Centre. Regular bus routes are available giving easy access to the whole of Paisley Town Centre and beyond.
The M8 motorway network is also close by leading to Glasgow International Airport, as well as other nearby locations.
Whilst we endeavour to provide as accurate information as possible our particulars are for reference only and should not form part of any contract or offer. Measurements are taken at the widest points and our floor plans may not be exactly to scale.
These particulars, whilst believed to be accurate are set out as a general outline only for guidance and do not constitute any part of an offer or contract. Intending purchasers should not rely on them as statements of representation of fact, but must satisfy themselves by inspection or otherwise as to their accuracy. No person in this firms employment has the authority to make or give any representation or warranty in respect of the property.
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REQUEST FOR PROPOSAL (RFP) TITLE:
Horn Rapids Landfill Gas-to-Fuel Project
DUE DATE: Friday, May 26, 2017 - 3:00 p.m. Exactly, Pacific Local Time
BUYER: Cathy Robinson, [email protected], (509) 942-7710
ALTERNATE BUYER: Barb Raney, [email protected], (509) 942-7710
Pre-bid Conference
A pre-bid conference will be held on Wednesday, May 10, 2017 at 9:00 a.m. at the Horn Rapids Landfill, located at 3102 Twin Bridges Road, Richland, WA 99354.
Electronically Submitted Proposals are hereby solicited and shall only be submitted using: www.publicpurchase.com website. Responses delivered by hand, fax, telephone or email or any postal carrier will not be accepted.
Important Notice to Bidders
Prospective Proposers who do not obtain Solicitation Documents directly from the City of Richland’s designated website at PublicPurchase.com should register receipt of the solicitation through Public Purchase website at: http://www.publicpurchase.com/gems/richland.wa/buyer/public/home By registering, the prospective proposer will be placed on the City’s notification list for any forthcoming addendum or other official communications. Failure to register as a prospective proposer may cause the proposer’s submittal response to be rejected as non-responsive if the proposer has submitted a submittal response without acknowledgement of issued addenda or if the proposer fails to submit revised required documents.
SECTION 1 GENERAL INFORMATION
1.1 Purpose
The City of Richland, Washington (City) is seeking to enter into a long-term Landfill Gas (LFG) Purchase Agreement with a qualified landfill gas to energy (LFGE) Developer.
The Horn Rapids Landfill is an active municipal solid waste disposal site. The landfill opened in 1974 and has an existing permitted footprint of 46 acres. The current landfill cell is expected to reach capacity in 2020. Half of the landfill was closed in 2011 (Phase 1, 23 acres). A landfill gas collection and disposal system was installed and placed in service as part of the landfill’s phase 1 closure. When the site reaches capacity, the LFG system will be expanded to cover phase 2.
- The City is interested in receiving proposals to enter into an agreement for the purchase of LFG from the Horn Rapids Landfill.
Additional detail in Section 3, Scope of Work.
A. The City of Richland is interested in utilizing the Horn Rapids Landfill Gas that is currently flared, as an environmental and sustainable source of revenue. Generating electrical energy has been deemed infeasible because the economic value of the electrical energy in this area is low and a project connecting to the local electric distribution grid is very complex and expensive.
B. The City of Richland is seeking a qualified Full Service Developer to purchase the landfill gas and convert it into renewable natural gas for use as a transportation fuel.
C. The City of Richland invites qualified Full Service Developers to submit proposals to provide Financing, Designing, Site Preparation and Equipment Installation, Operation and Marketing services to convert the Horn Rapids Landfill gas into a renewable transportation fuel as detailed in Section 3 Scope of Work.
D. The successful Proposer must meet the following objectives:
a. Have the engineering resources and experience to convert the landfill gas generated at Horn Rapids Landfill into Renewable Natural Gas (RNG)
b. At no cost to the City, provide financing for a facility to receive and condition the landfill gas into renewable natural gas
c. Provide details on the approach to convert the Horn Rapids landfill gas into RNG and revenue for the City of Richland.
d. Provide documentation on how the proposer will deliver the renewable natural gas to the transportation marketplace.
e. Provide proposed contract terms describing the revenues to be shared with the City and the terms and conditions affecting revenues for the project over the term of the contract period.
1.2 Pre-proposal Conference
A pre-proposal conference, if necessary, will be held at the time and date indicated on the cover page. All prospective Proposers are strongly encouraged to attend. The intent of the pre-proposal conference is to assist the Proposers to more fully understand the requirements of the RFP. Proposers are encouraged to submit questions in advance to enable the City to prepare responses; these questions should be emailed to the buyer(s). Questions will be encouraged during the pre-proposal conference call as well.
1.3 Term of Contract
The intended term of this contract will begin upon execution and continue for fifteen years (15) years, with the option of two five-year (5), mutually agreeable extension. Respondents to this RFP may propose adjusted terms to this intended plan.
1.4 Questions, Communications and Interpretation of the RFP
A. No oral interpretations of the RFP will be made to any Proposer. All questions and any explanations must be requested in writing and directed to the Buyer no later than date specified in Section 1.5 Schedule or as extended per addendum. Oral explanations or instructions are not binding. Any information modifying a solicitation will be furnished to all Proposers by addendum.
B. When submitting a question in regard to this RFP, use the following format:
1. RFP Page Number
2. RFP Section Reference
3. Question
C. Questions regarding this RFP may be electronically submitted via the Public Purchase website, or sent via email directed to the Buyer(s) shown on the cover page.
D. A blackout period is established between the time a solicitation is issued by the City and the time the City awards the contract. After the issuance of any solicitation, all bidders, proposers, contractors, consultants or individuals acting on their behalf are hereby prohibited from contacting or lobbying any City employee, official or representative at any time during the blackout period. *Communications concerning this RFP with other than the listed Buyer or Purchasing staff may cause the Proposer to be disqualified.*
1.5 Schedule
| Month/Day/Year | Event |
|----------------|-------|
| April 30, 2017 | Public announcement of Request for Proposals |
| May 10, 2017 | Pre-proposal meeting at 9:00 a.m. Pacific Local Time at Horn Rapids Landfill |
| May 19, 2017 | Last day to submit questions, in writing, by 3:00 pm, Pacific Local Time |
| May 26, 2017 | Proposals due, 3:00 p.m. Exactly, Pacific Local Time |
| July 5, 2017 | *Begin Interviews if applicable. |
| July 17, 2017 | *Begin Negotiations |
| October 2, 2017| *Execute Contract |
*NOTE: Dates preceded by an asterisk are estimated dates. Estimated dates are for information only.*
1.6 Addenda
If at any time, the City changes, revises, deletes, clarifies, increases, or otherwise modifies the RFP, the City will issue a written Addendum to the RFP. Proposers must register for this RFP to be notified of addendum and new documents on this RFP. It is the Proposer’s responsibility to check for addenda and other new documents on-line. Refer to Section 1.1 Important Notice to Bidders.
1.7 Late Proposals
Proposals, modifications of proposals, uploaded to www.publicpurchase.com after the exact hour and date specified for receipt will not be accepted.
1.8 Cancellation of RFP or Postponement of Proposal Opening
The City reserves the right to cancel this RFP at any time. The City may change the date and time for submitting proposals prior to the date and time established for submittal.
1.9 Examination of Proposal and Contract Documents
The submission of a proposal shall constitute an acknowledgement upon which the City may rely that the Proposer has thoroughly examined and is familiar with all requirements and documents pursuant with the RFP, including any addenda and has reviewed and inspected all applicable statutes, regulations, ordinances and resolutions addressing or relating to the services to be provided hereunder.
The failure of a Proposer to comply with the above requirement shall in no way relieve the Proposer from any obligations with respect to its proposal or to any Contract awarded pursuant to this RFP. No claim for additional compensation shall be allowed which is based upon a lack of knowledge or misunderstanding of this RFP.
1.10 Cost of Proposals
The City is not liable for any costs incurred by Proposer in the preparation and evaluation of proposals submitted.
1.11 Modifications of Proposal or Withdrawal of Proposal Prior to Proposal Due Date
At any time before the time and date set for submittal of proposals, a Proposer may submit a modification of a proposal previously submitted to the City. All proposal modifications shall be made in writing, executed and submitted in the same form and manner as the original proposal.
Proposals may be withdrawn by written notice received prior to the exact hour and date specified for receipt of proposals. A proposal also may be withdrawn in person by a Proposer or authorized representative provided their identity is made known and they sign a receipt for the proposal, but only if the withdrawal is made prior to the exact hour and date set for receipt of proposals. All requests for modification or withdrawal of proposals, whether in person or written, shall not reveal the amount of the original proposal.
1.12 Proposal Withdrawal After Opening
Except for claims of error granted by the City, no Proposer may withdraw a proposal after the date and time established for submitting proposals, or before the award and execution of a Contract pursuant to this RFP, unless the award is delayed for a period exceeding the period for proposal effectiveness. See Section 1.16 Proposal Effective Date.
Requests to withdraw a proposal due to error must be submitted in writing along with supporting evidence for such claim for review by the City. Evidence must be delivered to the City within two (2) business days after request to withdraw. The City reserves the right to require additional records or information to evaluate the request. Any review by the City of a proposal and/or any review of such a claim of error, including supporting evidence, creates no duty or liability on the City to discover any other proposal error or mistake, and the sole liability for any proposal error or mistake rests with the Proposer.
1.13 Error and Administrative Corrections
The City shall not be responsible for any errors in proposals. Proposers shall only be allowed to alter proposals after the submittal deadline in response to requests for clarifications or Best and Final Offers by the City.
The City reserves the right to allow corrections or amendments to be made that are due to minor administrative errors or irregularities, such as errors in typing, transposition or similar administrative errors.
1.14 Compliance with RFP Terms, Attachments and Addenda
A. The City intends to negotiate a Contract based on the terms, conditions, attachments and addenda contained in this RFP. Proposers shall submit proposals, which respond to the requirements of the RFP.
B. The City reserves the right at its sole discretion to reject any and all proposals received without penalty and not to issue a contract as a result of this RFP. The City also reserves the right at its sole discretion to waive minor administrative irregularities contained in any proposals.
C. The City reserves the right to reject any proposal for any reason including, but not limited to, the following –
- Any proposal, which is incomplete, obscure, irregular or lacking necessary detail and specificity;
- Any proposal that has an unacceptable qualification, limitation, exception or provision attached to the proposal;
- Any proposal from Proposers who (in the sole judgment of the City) lack the qualifications or responsibility necessary to complete the project;
- Any proposal submitted by a Proposer which is not registered or licensed as may be required by the laws of the state of Washington or local government agencies;
- Any proposal, from Proposers who are not approved as being compliant with the requirements for equal employment opportunity; and
- Any proposal for which a Proposer fails or neglects to complete and submit any qualifications information within the time specified by the City.
D. Proposers are strongly advised to not take exceptions to the terms, conditions, attachments and addenda; exceptions may result in rejection of the proposal. An exception is not a response to a proposal requirement. If an exception is taken, a ‘Notice of Exception’ must be submitted with the proposal. The ‘Notice of Exception’ must identify the specific point or points of exception and provide an alternative.
The City may, at its sole discretion, determine that a proposal with a ‘Notice of Exception’ merits evaluation. A proposal with a ‘Notice of Exception’ not immediately rejected may be evaluated, but its competitive scoring shall be reduced to reflect the importance of the exception. Evaluation and negotiation shall only continue with the Proposer if the City determines that the proposal continues to be advantageous to the City.
E. In consideration for the City’s review and evaluation of its proposal, the Proposer waives and releases any claims against the City arising from any rejection of any or all proposals, including any claim for costs incurred by Proposers in the preparation and presentation of proposals submitted in response to this RFP.
F. Proposals shall address all requirements identified in this RFP. In addition, the City may consider proposal alternatives submitted by Proposers that provide cost savings or enhancements beyond the RFP requirements. Proposal alternatives may be considered if deemed to be in the City’s best interests. Proposal alternatives shall be clearly identified.
1.15 Collusion
If the City determines that collusion has occurred among Proposers, none of the proposals from the participants in such collusion shall be considered. The City’s determination shall be final.
1.16 Proposal Effective Date
The proposal shall remain in effect for 6 months after the proposal due date, unless extended by agreement.
1.17 Procedure When Only One Proposal is Received
If the City receives a single responsive, responsible proposal, the City may request an extension of the proposal acceptance period and/or conduct a price or cost analysis on such proposal. The Proposer shall promptly provide all cost or pricing data, documentation and explanation requested by the City to assist in such analysis. By conducting such analysis, the City shall not be obligated to accept the single proposal; the City reserves the right to reject such proposal or any portion thereof.
SECTION 2 PROPOSAL EVALUATION AND CONTRACT AWARD
2.1 Proposal Evaluation
A. The City will evaluate proposals using the criteria set forth in this RFP. If deemed necessary, written and/or oral discussions, site visits or any other type of clarification of proposal information may be conducted with those Proposers whose proposals are found to be potentially acceptable. Identified deficiencies, technical requirements, terms and conditions of the RFP, costs or prices, and clarifications may be included among the items for discussion. The discussions are intended to give Proposers a reasonable opportunity to resolve deficiencies, uncertainties and clarifications as requested by the City and to make the cost, pricing or technical revisions required by the resulting changes. In addition, the City may request additional business and administrative information.
B. The City may find that a Proposer appears fully qualified to perform the project or it may require additional information or actions from a Proposer. In the event the City determines that the proposal is not within the Competitive Range the City shall eliminate the proposal from further consideration.
C. The evaluation of Proposers’ proposals and additional information may result in successive reductions of the number of proposals that remain in the Competitive Range. If applicable to the procurement, the firms remaining in the Competitive Range may be invited to continue in the proposal evaluation process, and negotiations.
D. The City may enter negotiations with one or more Proposers to finalize Contract terms and conditions. Negotiation of a Contract shall be in conformance with applicable federal, state and local laws, regulations and procedures. The objective of the negotiations shall be to reach agreement on all provisions of the proposed Contract. In the event negotiations are not successful, the City may reject proposals.
E. Upon completion of negotiations discussions with one or more Proposers, the City may issue to all remaining potentially acceptable Proposers in negotiations a request for Best and Final Offers. The request shall include notice that discussions are concluded, an invitation to submit a revised proposal with a Best and Final Offer, and a new submittal date and time.
F. The City reserves the right to make a Contract award without written and/or oral discussions with the Proposers and without an opportunity to submit Best and Final Offers when deemed to be in the City’s best interests. Contract award, if any, shall be made by the City to the responsible Proposer whose proposal best meets the requirements of the RFP, and is most advantageous to the City, taking into consideration price and the other established evaluation factors.
G. The City is not required to award a Contract to the Proposer offering the highest revenue. The City shall have no obligations until a Contract is signed between the Proposer and the City. The City reserves the right to award one or more contracts as it determines to be in its best interest. No cost chargeable to the proposed contract may be incurred before receipt of a fully executed contract.
2.2 Responsive and Responsible
A. Responsive
The City will consider all the material submitted by the Proposer, and other evidence it may obtain otherwise, to determine whether the Proposer is in compliance with the terms and conditions set forth in this RFP.
B. Responsible
In determining the responsibility of the Proposer, the City may consider:
- the ability, capacity and skill to perform the project and provide the service required;
- the character, integrity, reputation, judgment and efficiency;
- financial resources to perform the project properly and within the times proposed;
- the quality and timeliness of performance on previous contracts with the City and other agencies, including, but not limited to, the effort necessarily expended by the City and other agencies in securing satisfactory performance and resolving claims;
- compliance with federal, state and local laws and ordinances relating to public contracts;
- other information having a bearing on the decision to award the project.
C. Failure of a Proposer to be deemed responsible or responsive may result in the rejection of a proposal.
2.3 Financial Resources and Auditing
If requested by the City, prior to the award of a contract, the Proposer shall submit proof of adequate financial resources available to carry out the execution and completion of work required by this contract.
The City of Richland reserves the right to audit the Contractor throughout the term of this contract to assure the Contractor’s financial fitness to perform and comply with all terms and conditions contained within this contract. The City will be the sole judge in determining the Contractor’s financial fitness in carrying out the terms of this contract.
2.4 Public Disclosure of Proposals
Submittals received by the City of Richland in response to this RFP become public records and are subject to Chapter 42.56 RCW, the Public Records Act. The Proposer should clearly identify in its proposal any specific information that it claims to be confidential or proprietary. After a decision to award the contract has been made, the proposals shall be available for inspection and copying by the public.
If the City receives a Public Records Act request to view the information so marked in the Proposer’s submittal following an award, its sole obligations shall be to notify the Proposer (1) of the request and (2) of the date that such information will be released to the requester unless the Proposer obtains a court order to enjoin that disclosure pursuant to RCW 42.56.540. If the Proposer fails to timely obtain a court order enjoining disclosure, the City of Richland will release the requested information on the date specified.
2.5 Certification Regarding Debarment, Suspension and Other Responsibility
If this Contract is a covered transaction for purposes of 49 CFR Part 29, the Contractor is required to verify that none of the Contractor, its principals, as defined at 49 CFR 29.995, or affiliates, as defined at 49 CFR 29.905, are excluded or disqualified as defined at 49 CFR 29.940 and 29.945. The Contractor is required to comply with 49 CFR 29, Subpart C and must include the requirement to comply with 49 CFR 29, Subpart C in any lower tier covered transaction it enters into. By signing and submitting this Contract, the Contractor certifies as follows:
The certification in this clause is a material representation of fact relied upon by the City of Richland. If it is later determined that the Contractor knowingly rendered an erroneous certification, in addition to remedies available to the City, the Federal Government may pursue available remedies, including but not limited to suspension and/or debarment. The Contractor agrees to comply with the requirements of 49 CFR 29, Subpart C while performing this Contract and further agrees to include a provision requiring such compliance in its lower tier covered transactions.
2.6 Health Insurance Portability and Accountability Act (HIPAA)
The Health Insurance Portability and Accountability Act (HIPAA) of 1996, requires health information about an individual to remain secure and private. The Contractor shall comply with all HIPAA regulations in full. Information on this Act can be found at the Office of Civil Rights website: http://www.hhs.gov/ocr/privacy/.
2.7 Compliance with Section 504 of the Rehabilitation Act of 1973, as amended (Section 504) and the American with Disabilities Act of 1990 as amended (ADA)
Pursuant to Title II of the ADA, and Section 504, the City of Richland must not discriminate against people with disabilities in providing services, programs or activities even if those services, programs or activities are carried out by contractors. The Contractor agrees that it shall provide all programs, services, and activities to City employees or members of the public under this Contract in the same manner as the City is obligated to under Title II of the ADA, and Section 504 and shall not deny participation or the benefits of such services, programs, or activities to people with disabilities on the basis of such disability. Failure to comply with this section shall be a material breach of, and grounds for the immediate termination of, this Contract.
2.8 Non-Disclosure Obligation
Any data provided by the City either before or after Contract award shall only be used for its intended purpose. Contractors and Subcontractors shall not utilize nor distribute the City data in any form without the express written approval of the City.
While performing the work under this Contract, the Contractor may encounter personal information, licensed technology, Software, Documentation, drawings, schematics, manuals, data and other materials described as “Confidential”, “Proprietary” or “Business Secret”. The Contractor shall not disclose or publish the information and material received or used in performance of this Contract. This obligation is perpetual. The Contract imposes no obligation upon the Contractor with respect to confidential information which the Contractor can establish that: a) was in the possession of, or was rightfully known by the Contractor without an obligation to maintain its confidentiality prior to receipt from the City or a third (3rd) party; b) is or becomes generally known to the public without violation of this Contract; c) is obtained by the Contractor in good faith from a third (3rd) party having the right to disclose it without an obligation of confidentiality; or, d) is independently developed by the Contractor without the participation of individuals who have had access to the City’s or the third (3rd) party’s confidential information. If the Contractor is required by law to disclose confidential information the Contractor shall notify the City of such requirement prior to disclosure.
2.9 Independent Status of Contractor Ownership
The Proposer, and any and all employees of the Proposer or other persons engaged in the performance of any work or services required of the Proposer under this Agreement, are independent contractors and shall not be considered employees of the City. Any and all claims that arise at any time under any Workers’ Compensation Act on behalf of said employees or other persons while so engaged, and any and all claims made by a third party as a consequence of any act or omission on the part of the Proposer’s employees or other persons engaged in any of the work or services required to be provided herein, shall be the sole obligation and responsibility of the Proposer.
SECTION 3 SCOPE OF WORK
3.1 Introduction/Background Information
A. The City of Richland (City) is a rapidly growing City located in Benton County at the confluence of the Columbia and Yakima rivers in Southeastern Washington. Richland and its sister cities of Kennewick, Pasco and West Richland make up the Tri-Cities Metropolitan Statistical Area (MSA) (population 262,500). Richland is the third largest City with 53,410 residents. The City has a City Manager-Council form of government, was incorporated in 1958, and operates as a first class City under the Revised Code of Washington Title 35 (RCW 35).
B. Richland is a full-service City composed of ten departments, with a budget of $258 million of which roughly $55 million is General Fund. The City provides citizens with general government, public safety, public works, planning and community development, housing programs, as well as parks and recreational programs. The City operates an electric distribution utility, solid waste landfill-collection system, public library, and administers the consolidated regional emergency management and a 911 dispatch center.
C. The City of Richland Washington has a staff of approximately 550 employees. Less than 500 are full/part time with an additional seasonal flux of up to 50. More than half of the employees report to Public Works, Electrical Utility (Energy Services), Public Safety (Fire and Police) as well as the Parks Department.
D. The City of Richland owns and operates the Horn Rapids Landfill (HRL) and is seeking to enter into a long-term LFG Purchase Agreement with a qualified LFGE Developer. The landfill is unlined and the landfill site is underlain and surrounded with fine sandy soils. The City currently operates a Landfill Gas Collection System that flares the captured gas. The current primary objective for the landfill gas collection system is control of volatile organic chemicals that have been deemed to be carried to the underground aquifer by landfill gas. The City’s responsibility for volatile organic chemical contamination is regulated by Washington State law.
The City and the Developer will enter into a Gas Purchase Agreement for the purchase of the LFG and a Site Lease Agreement for any of the Developer’s equipment that may be located at the landfill site. During negotiations, the Developer can suggest GCCS improvements, and in addition to the already planned expansion of the GCCS to increase the availability of LFG, operational changes to improve LFG quality will be considered.
The Developer will be responsible for obtaining environmental permits for their equipment and processes.
E. Information regarding the landfill is provided in the Appendices, including:
- Site Map (Appendix A);
- Projected future LFG recovery (Appendix B);
- Record Drawings and Operations Manual for the GCCS (Appendix C);
- GCCS operating data (Appendix D);
- Solid Waste Fleet and Fuel Consumption Information (Appendix E);
- Fleet Alternative Fuel Study (Appendix F);
F. Landfill Gas Availability - City recently completed a new LFG recovery projection for the HRL. These projections can be found in Appendix B.
City does not guarantee the quantity of LFG recovery. Submittal of a proposal constitutes acknowledgement that the quantity of LFG collected may be different than shown in this RFP and can be affected by the operation of the GCCS, and that the operation of the GCCS may be affected by regulatory requirements.
G. Gas Collection Control System – Appendix C contains drawings of the GCCS. Recent wellfield and flare station operating data is contained in Appendix D. City will continue to manage the operation of the GCCS as directed by our Engineering Consultant to meet operational needs and permit conditions.
The existing GCCS includes a 265 scfm open flare.
H. Landfill Gas Characteristics – No laboratory analysis has been completed. City currently tracks flow, methane content, oxygen and carbon dioxide levels as well as temperature and pressure as provided in Appendix D. One time readings for hydrogen sulfide were recently collected and the results are also provided in Appendix D.
I. Project Site - Potential locations for the Developer’s LFGE facilities are shown on the site map in Appendix A.
J. Points of Interface with the City – At HRL, it can be assumed that LFG will be available at the discharge of City’s blowers.
K. The City is not presently capable of deploying CNG vehicles or equipment to participate as an end user of the CNG fuel created by this project. The City may consider becoming a CNG consumer based on the outcome of this RFP and the terms presented by the Proposal.
L. Basin Disposal, Inc., located in Pasco, Washington owns a CNG fueling station and has begun converting its regional solid waste collection fleet to CNG. The City may consider an agreement with Basin Disposal, Inc. by which Basin Disposal, Inc. would be a consumer of CNG generated at the HRL.
M. Cascade Natural Gas Company is the regional retail provider of natural gas in the Richland area.
3.2 Scope of Services
Proposer shall:
A. Have the capacity to provide full services for the purchasing, conditioning, and marketing of all the Horn Rapid landfill gas generated, current and future
B. Maintain and operate equipment in a clean and sanitary condition and in accordance with all regulatory requirements.
C. Work cooperatively with the City to resolve any operation/maintenance type issues that may occur.
D. Provide specific details about the method and equipment used for gas conditioning, storing, transporting-marketing in the proposal.
E. Not destroy or incinerate any landfill gas without written approval by the City. Developer shall provide the City with written certification for all materials diverted away from the landfill.
F. Assume full responsibility and liability for the conditioning and marketing of all landfill gas generated at the Horn Rapids Landfill.
G. Provide a description of the proposed markets or processors that will be utilized in the execution of this agreement.
H. Specify the location and operating hours of the facility it proposes to receive materials. The City shall have the right to inspect the facility and its operating records to ensure contract compliance with landfill gas handling and conditioning into renewable natural gas.
3.3 Proposal Questions and Proposer’s Response
A. Proposals shall include responses to the information presented in Section 3.4, B. Organization and Assembly of Proposal. Proposals submitted without answers provided will not be considered complete and will be scored accordingly. Question responses need to be specific, detailed and straightforward using clear, concise, easily understood language.
B. Proposers answering the proposal questions shall examine the entire Request for Proposal document, including instructions, terms and conditions, contract, specifications and applicable standards and regulations. Failure to do so shall be at the Proposer’s risk.
3.4 Proposal Submittal and Organization
Proposals will only be accepted from Proposers able to complete the delivery of services described in the scope of work. Joint ventures shall submit one proposal for the team, with accompanying proof of the joint venture agreement.
If a company chooses not to submit a proposal, the City kindly requests the Proposer to state the reason they did not submit a proposal.
A. **Submittal of Proposals**
1. **Registration**
To submit a proposal, a company or firm must register with PublicPurchase.com. Visit the City of Richland website at: [Richland, WA - Official Website - Public Purchase](http://www.richlandwa.gov/publicpurchase) for instructions to register. Register as early as possible and do not wait until the due date as the registration process may take some time to complete.
2. **Electronic Submittal**
a. Submit one (1) electronic submittal, in pdf format.
b. The electronic submittal shall be limited to the documents listed in Subsection B, Organization and Assembly of Proposal, below and shall not include additional brochures, booklets or other sales materials that are not specifically requested in the RFP. Supplemental materials may be submitted as specified below in 3. Supplemental Information.
3. **Supplemental Information**
Additional brochures, booklets or other sales material that are not specifically requested in the RFP may be submitted separate than the proposal and labeled as ‘Supplemental Information’.
4. **Delivery of Proposal**
A. **Electronic submittal only.** Responses delivered by hand, fax, telephone or email or any postal carrier will not be accepted.
B. Proposals shall contain all required attachments and information submitted prior to the specific date and time, using the [www.publicpurchase.com](http://www.publicpurchase.com) website.
C. The City of Richland cannot guarantee internet access. It is strongly recommended that you respond 24 hours prior to the proposal closing date and time. Proposer accepts all risks for uploading their proposal by closing date and time for submittal.
D. If proposer uploads a file to Public Purchase, it is the proposer’s responsibility to ensure the file is not corrupt or damaged. If the City is unable to open an attachment because it is damaged, corrupt, infected, etc., it may disqualify proposer’s submission.
E. *The City is unable to verify if a proposal has been received until after the date and time of submittal.* Proposers can check their submission by returning to the home page of Public Purchase. The proposal will be shown in the Bids Responding To section.
F. If you have any questions on how to respond to electronic submittals, contact vendor support at [www.publicpurchase.com](http://www.publicpurchase.com) through Live Chat in the upper left corner of the webpage or email [[email protected]](mailto:[email protected]). Public Purchase staff is available Monday – Friday, 8 am to 5 pm Central Time.
B. **Organization and Assembly of Proposal**
Format: Electronic submittal, pdf format and shall fit onto a letter size, 8.5” x 11” page when printed. Pages shall be limited to single space, minimum 12 point font. Pages are defined as one side of an 8.5” x 11” sheet of paper.
Proposal is to be organized into the following Sections:
| Section | Title |
|---------|-------|
| Preface | • Exhibit A – Proposer Signature and Submittal Page
• 2014 Internal Revenue Service Form W-9
• Exhibit B – Conflict of Interest Form – between Developer and City |
| 1 | **Letter of Transmittal** |
| 2 | **Executive Overview**
Response should include an Executive Overview/Summary (approximately 5 to 10 pages) of the proposed service describing the approach, methodology, City’s responsibilities and overall schedule and cost. |
| 3 | **Identification of Developer**
The Developer will provide the full legal name, address, and contact information of the responding entity. The ownership of this entity will be identified.
The name(s) of, and contact information for, the individual(s) responsible for the RFP response, and for negotiation of a LFG Purchase Agreement, will be identified. |
4 Developer’s Qualifications
The Developer will provide background information on the firm, including: years in business; total annual revenue; organization structure; and experience of key personnel.
Developer will identify and describe all operating or recently shut down (within the last five years) LFGE facilities owned and/or operated by the Developer. The information should include dates of operation, size, technology, location, energy purchaser and landfill owner.
The Developer will provide detailed descriptions for three to five operating LFGE projects that the Developer feels best represent his experience relevant to this RFP. The following information will be provided for these projects:
- Project name and location;
- Project type, facility description, and size;
- Landfill owner and energy purchaser;
- Date of commencement of operation, project availability (uptime), and capacity factor. Discuss reasons for the inability to meet availability and capacity factor targets, if not achieved;
- Identify environmental compliance issues, if any;
- Arrangement for operation/maintenance of the GCCS; and
- Form of compensation to the landfill owner.
A contact person at the host landfill and energy purchaser must be identified which City can contact as references.
The Developer will identify any of the Developer’s LFGE projects that have terminated operation within the last 10 years, prior to expiration of their LFG utilization agreements, and the reasons why operation was terminated.
The Developer will identify any LFGE project where, in the last 10 years, the Developer was awarded the LFG utilization rights and it took longer than three years to bring the LFGE project online, and/or where LFG utilization rights agreements were terminated due to failure to bring an LFGE project online in a timely manner (or for any other reasons).
In an appendix, the Developer will provide copies of the Developer’s last two annual audited financial reports, or their equivalent.
5 Description of Proposed LFGE Project
Developers will describe the project (or projects) they expect to develop in response to this RFP, and if appropriate an alternative project (or projects) to the primary project. The description should as a minimum identify:
- LFGE technology employed;
- LFGE facility design capacity;
- Site size/dimensions;
- Expected 15-year, year-by-year LFG consumption and energy production; and
- Air emissions and air permitting strategy.
The Developer will identify the expected purchaser of his energy product, and/or outline his plan and schedule for securing an energy purchaser. The Developer will summarize his expectations for energy pricing, and the basis for these expectations.
| | The Developer will describe how the Developer intends to finance the project. |
|---|--------------------------------------------------------------------------|
| 6 | **Project Development Schedule**
The Developer will provide an expected project development schedule, expressed in months after notification of award. As a minimum, the Developer should show early completion dates and late completion dates for the following key milestones:
- Execution of a LFG Purchase Agreement;
- Submittal of permit applications;
- Execution of energy sales agreement;
- Commencement of construction; and
- Initiation of commercial operation.
City will want to reserve the right to terminate a LFG Purchase Agreement for the Developer’s failure to meet the late completion dates specified by the Developer. The Developer can offer alternatives to termination in his proposal (i.e., per day delay payments to City).
City is concerned that City might encumber the LFG utilization rights with a Developer, and the Developer may not make as expeditious use of the LFG as possible. |
| 7 | **Compensation to City**
Developer must include proposed compensation terms for royalty payments, fixed percentage of gross revenue, variable percentage of gross revenue or fixed monthly payment. Developer can submit any compensation approach, as long as the calculation methodology is transparent and verifiable. Developer should also indicate whether compensation proposed includes the sharing of any tax incentives, tax benefits, renewable energy certificates, assistance payments, or other financial or monetary benefits received by virtue of the characterization of LFG as a renewable energy resource.
The Developer must provide an initial proposed term sheet for City’s consideration. The document should be included as an appendix to the proposal. |
| 8 | **Attestation**
The proposal must be signed by an officer of the entity that is making the proposal, attesting that:
- The individual signing the proposal has the authority to make the proposal;
- The contents of the proposal are truthful and accurate; and
- The proposal is valid for 180 days.
The name and title of the individual must be shown below the signature, along with the date of the signature. |
3.5 RFP Evaluation Components/Criteria
The City’s Evaluation Team will use the following criteria to evaluate each Consultant proposal received.
| Criteria | Points |
|-------------------------------------------------------------------------|--------|
| Assembly of Proposal | 5 |
| Approach and understanding of requirements | 15 |
| Experience of Developer | 15 |
| - Experience on LFG Recovery/Control Projects | |
| - Experience on Similar LFGE Projects | |
| - Project References | |
| Technical Approach | 15 |
| - Description of Proposed LFGE Project | |
| - Energy Sale Plan(s) and Commitments | |
| - Compliance with City Requirements and Goals | |
| - Development Schedule/Milestones | |
| Financial Qualifications of Developer | 10 |
| Compensation to City | 40 |
| **Total Written Points** | **100**|
| Interviews/Oral Presentations/Demos | 50 |
| **Total Points Possible** | **150**|
SECTION 4 CONTRACT
4.1 Acceptance of Contract
A. The City is looking for a strategic long-term partner and understands that specific contract terms will be negotiated after selection of a successful Proposer.
B. The scope of work described herein will be authorized by Contract. The final contract scope and schedule will be negotiated with the selected Proposer.
C. Proposers shall include with their submittal a sample contract template for the City to review.
4.2 Required Terms and Conditions
As a government agency, subject to Chapter 42.56 RCW, Washington State Public Records Act, the City is required to include the following clause into any negotiated contract. While the City is open to negotiation of a contract, please be advised the City must comply with all components of the Public Records Act.
**AVAILABILITY OF RECORDS FOR PUBLIC INSPECTION**
a) As a public contract, all records prepared, generated or used by Proposer or its agents, employees and subcontractors relating to this Agreement and associated work (hereinafter “public records”) may be subject to disclosure under the Washington State Public Record Act, Chapter 42.56 RCW.
b) Proposer shall maintain and retain all such public records in a manner that is readily accessible for a minimum term of no less than three (3) years following completion of the contract work. City shall have the right to timely review all such public records upon request. Proposer shall provide copies of any public records requested by City within 30 days of City’s request. If City requests that copies of public records be provided to City in an electronic format, said records shall be provided at no cost to City. If paper copies are requested by City, City shall pay $.10 per page. Payment for paper copies shall be rendered to Proposer within 20 days of receipt.
c) All records subject to a public disclosure request will be provided to a requester unless exempted from disclosure by law. The City’s decision to exempt or redact any public record shall be based only upon valid exemptions that apply to the City. City will not refrain from disclosing any record under an exemption that may be personal to Proposer. In the event Proposer objects to release of any public record under this Agreement, Proposer may seek judicial approval to prevent such disclosure at its sole expense. City shall neither aid nor interfere with Proposer’s request for an injunction to prevent disclosure of any public record under this Agreement.
d) Proposer shall insert this provision in all contracts with subcontractors or agents providing services relating to this Agreement.
4.3 Insurance
The City will require a Developer, awarded a contract, to provide insurance coverage for the duration of an executed Agreement. The actual insurance requirements may include, but are not limited to, the following:
1. Automobile Liability: $1,000,000 combined single limit, covering any auto and including MCS 90 and CA 99 48 endorsements.
2. Worker’s Compensation: Coverage as required by the industrial insurance laws of the State of Washington.
3. Commercial General Liability: $1,000,000 each occurrence, $2,000,000 general aggregate, $2,000,000 products & completed operations aggregate, and $1,000,000 stop gap/employers’ liability each accident. City of Richland named as an additional insured on the developers Commercial General Liability insurance with appropriate endorsement(s) for the work or exposures to the City.
4. Professional Liability: $1,000,000 per claim and annual aggregate required for any design or engineer work.
5. Excess or Umbrella Liability: Limits not less than $10,000,000 each occurrence and annual aggregate. This requirement may be satisfied instead by the Developer’s Commercial General Liability and Automobile Liability, coverages or any combination thereof that achieves the overall required limits of insurance.
6. Builder’s Risk Insurance: Builder’s Risk insurance or Installation Floater as appropriate for the amount of the value of the project if project involves construction or equipment on the project site.
7. Pollution liability Insurance: $1,000,000 per loss and $1,000,000 annual aggregate naming the City an additional insured.
8. Property Insurance: All risk Property Insurance in the amount of the replacement value of the equipment or property once work completed on the project site if required by City.
We acknowledge that all Addenda ___________ through ___________ issued for this RFP have been examined as part of the proposal documents.
Company:
Address
City
State/Zip
Authorized Representative Signature: Print Name
Title
Email: Phone: Fax:
Project Title: Horn Rapids Landfill Gas-to-Fuel Project
RFP #: 17-0050
The developer being contracted must check one of the boxes on the worksheet below.
☐ _________________________________ (company name) has no known or actual, potential, or reasonably perceived, financial or other interest with any staff member, including City Council, at the City of Richland regarding the outcome of the project.
or
☐ _________________________________ (company name) has a potential or reasonably perceived financial or other interest with any staff member, including City Council, at the City of Richland regarding the outcome of the project, as described here:
Our firm proposes to mitigate the potential or perceived conflict according to the following plan:
or
☐ _________________ (company name) has an actual financial or other interest with any staff member, including City Council, at the City of Richland regarding the outcome of the project, as described here:
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VISION
To ensure patients in North West London (NWL) receive the best primary and secondary Chronic Obstructive Pulmonary Disease (COPD) care in accordance with NICE guidance, delivering better health outcomes, reducing hospital admissions and returning efficiency savings.
Chronic Obstructive Pulmonary Disease (COPD)
PROJECT
DESCRIPTION OF ACTIVITY
Development of outcomes-based commissioning contracts
Improved COPD education for primary care professionals
Improved data about COPD across North West London
* Facilitate development of a contract coproduction model, bringing together commissioners, providers, innovators and patients to ensure contracts:
* Recognise and reward best practice
* Include those directly delivering and receiving care throughout the process
* Reduce unnecessary variation where possible by embedding best practice at scale
* Develop a primary care education infrastructure that reaches all primary care healthcare professionals in a CCG, for NWL and beyond
* Develop a simple and perpetual audit process that addresses data gaps in primary care to create a transparent data baseline
* Align primary, secondary and community care incentives to drive focus on better outcomes
DESIRED OUTCOMES
* Improved health outcomes for patients through commissioning services that support best practice (e.g. rehabilitation programmes)
* Increased awareness of COPD best practice amongst primary care professionals, supporting patients to receive the best treatment possible
* Reduced unplanned hospital admissions
* Optimised use of medicine and inhalers
* Robust COPD data, enabling commissioners to contract services where they are most needed
* Integrated NWL respiratory service commissioning
FOR MORE INFORMATION:
[email protected] www.imperialcollegehealthpartners.com
Twitter: @ldn_ichp
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rosalee Stipple Finish
rosalee stipple finish is fast drying texture paint which on drying gives a hard and durable paint film.
Fast Drying - Touch Dry in 20-25 Minutes and Tack Free- One Hour
Consistent Stipple/ Texture Pattern
Good Surface hardness.
Surface Preparation: Surface should be thoroughly clean and free from oil and dust. A coat of primer may be applied for better results.
Application- Stipple finish to be applied in two coats wet on wet-
It is recommended to avoid thinning of Paint unless ambient temperature is high.
1 st Coat mist spray of low thickness followed by 2 nd coat of higher thickness to get proper stipple/texture pattern.
Keep interval of 3-4 minutes between the two coats.
Application air pressure to be maintained on lower side of about 40 PSI
Adjust the distance between Spray Gun and the object suitably to get the desired size of Texture.
Uses: Steel Furniture, Metal components, Control Panels, Electrical Motors and Wooden Substrate.
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PROJECT RESULT 2:
E-learning toolkit for green and social entrepreneurship
Module 1
Definition of the legal framework of Social and Green Entrepreneurship in the partner Countries
Developed by
Partner 3, Chambre de Commerce Belgo-Italienne
TOPIC 5. GREEK LEGAL FRAMEWORK
5.1 The law
5.2 The current situation
5.3 Conclusions
Food for thought questions (3 questions)
TOPIC 6. CROATIAN LEGAL FRAMEWORK
6.1 The law
6.2 The current situation
6.3 Conclusions
Food for thought questions (3 questions)
TOPIC 7. BULGARIAN LEGAL FRAMEWORK
7.1 The law
7.2 The current situation
7.3 Conclusions
Food for thought questions (3 questions)
TOPIC 8. POLISH LEGAL FRAMEWORK
8.1 The law
8.2 The current situation
8.3 Conclusions
Food for thought questions (3 questions)
Case studies:
1. Law on Social Cooperatives in Italy: Adjustment of an existing cooperative law to support social enterprise development
The information presented in this case study is useful to green and social entrepreneurs because the Italian Law 381/1991 on Social Cooperatives is a pioneering legal framework, as it was the first law to specifically recognise and regulate social enterprises in Italy. It has inspired similar laws in Europe and globally such as in Portugal, France, Spain, South Korea and the United States. Ever since, the Law on Social Cooperatives has seen several revisions and facilitated the development of legal frameworks for other areas of the social economy.
https://www.oecd-ilibrary.org/sites/c34f18e1-en/index.html?itemId=/content/co mponent/c34f18e1-en#countryli_container4
2. The Brussels 2018 Ordinance on social enterprises (Belgium): An inclusive policy-making process to co-construct a legal framework for social enterprises
The information presented in this case study is useful for green and social entrepreneurs because when designing legal frameworks, an inclusive consultation process is fundamental, as it refines how policy makers understand social enterprises and thus ensures that legal frameworks are relevant, appropriate and meet the needs of relevant stakeholders. Finally, co-constructing a legal framework helps avert practical implementation problems, enhances compliance and acceptance of such framework, and increases public trust in government.
https://www.oecd-ilibrary.org/sites/0836de2a-en/index.html?itemId=/content/co mponent/0836de2a-en
3 Activities
Further reading (list of additional material)
Quiz (10 questions)
Introduction
There is a need in Europe for a greater number of people able to tackle the challenges we face, people with the knowledge, skills and attitudes necessary to turn ideas into action for the betterment of our society. In other words: people with entrepreneurial competence. We need them if we aim to successfully navigate the digital transition, the climate crisis and the recovery after the pandemic. We need them in governments, enterprises, civil society, schools and higher education. To develop the necessary competences, creating the right type of education will be crucial.
With this in mind, this module aims to make a contribution in the right direction by providing learners with a general knowledge of the legal framework for green and social entrepreneurship which is currently implemented in the partner countries. The module also delineates the direction in which European policies are moving, their priorities, as well as what the key elements for promoting entrepreneurship education are, within the current legal framework.
To fulfill the above mentioned goals, four learning objectives have been developed for this module: participants will gain knowledge of normative sources of social and green entrepreneurship, become able to identify the priorities of the EU in this field, be aware of the European policy for entrepreneurship education, and understand the importance of the role that entrepreneurs play in society at large.
Topic 1. EUROPEAN PERSPECTIVE
1.1 What is Entrepreneurship Education
Entrepreneurship Education (EE) is fundamentally about problem-solving and the so-called 'four Cs': communication, collaboration, creativity, and critical thinking. It combines experimental learning, competence building and, most importantly, a mindset shift. EE is aimed at all levels of education, from kindergarten all through primary and secondary school, to vocational, higher and professional education. It is not only about starting a business but it can be valuable also for employees and the self-employed. EE is for life-long learning with appropriate contents, methods, and tools on each level. The benefits of EE can be substantial, for example, young people who have received this training are more likely to set up their own companies, and additionally the businesses started by those people were found to be more ambitious 1 .
An important piece of knowledge for future entrepreneurs is for example the EU operational definition of social enterprise. According to the Social Business Initiative (SBI) of 2011 2 , a social enterprise is an undertaking: whose primary objective is to achieve social impact rather than generating profit for owners and shareholders; which uses its surpluses mainly to achieve these social goals; which is managed in an accountable, transparent and innovative way, in particular by involving workers, customers and stakeholders affected by its business activity. This definition arranges social enterprise key features along three dimensions: an entrepreneurial dimension, a social dimension, a dimension relative to governance structure. Provided that the pursuit of explicit social aims is prioritized through economic activities, these three dimensions can combine in different ways; it is their balanced combination that matters most when identifying the boundaries of social enterprise.
The EU is also devoting its attention to green entrepreneurship. Namely, the European Green Deal is the EU's new growth strategy, and aims to transform the EU into a modern, resource-efficient and competitive economy, with no net emissions of greenhouse gasses by mid-century. In this framework, the new Industrial Strategy for Europe will lead the green and digital transitions by helping industries to reduce their carbon footprint by providing affordable, clean technology solutions and by developing new business models. As a primary vehicle of innovation, small and medium enterprises (SMEs) need to be borne in mind in all actions under this Strategy 3 . This is reflected in a horizontal manner by increased attention to regulatory burdens for SMEs. New actions will strongly benefit SMEs and start-ups, whether it be from a strengthened Single Market, reduced supply dependencies or the accelerated green and digital transitions.
1.2 Key actions to foster EE in Europe
The European Commission recognises the importance of Entrepreneurship education, thus, it aims at promoting this practice on the local, regional, national, and European level. The effort must be aimed at all decision makers in governments, schools and higher education, civil society, and business.
Thanks to the project "Peer-Learning Activities in Entrepreneurship Education and in Women's Entrepreneurship" the European
1 https://www.oecd.org/cfe/leed/BGP_Entrepreneurship-in-Education.pdf
3 https://ec.europa.eu/info/strategy/priorities-2019-2024/european-green-deal_en
2 https://www.ess-europe.eu/sites/default/files/publications/files/ke-01-20-768-en-n_1.pdf
Commission identified 5 main actions that decision makers could take 4 . The first is increasing the EE competence of educators, to this end, a pan-European peer-to-peer network of EE teachers could be useful. Secondly, governmental bodies, education institutions, businesses, and civil society actors could collaborate to develop strategies, policy agendas, and EE curricula, a strong European platform for EE would be helpful. It is also crucial to raise awareness of EE benefits among education institutions, parents, and the wider community. Measuring and comparing EE practice and impact at an European level could allow EE to contribute to key European policy agendas. Finally, sharing EE knowledge and experience by building national and international networks would succeed in enhancing EE teaching and learning.
1.3 Conclusions
In recent years, EE has become a significant area of policy development in European countries. At the European level, it is part of the European Skills Agenda. It is closely linked to Europe's green and digital transitions and the post-COVID-19 economic recovery. This can be attributed to the fact that knowledge of entrepreneurship plays a crucial role in today's day and age, in which we are facing serious challenges ranging from climate change to pollution and to an increasing wealth gap. In this context, it will be especially beneficial to focus on developing social enterprises, as they are initiatives created in communities to benefit the communities themselves and often also the environment, because they opt to employ local labor and resources.
Food for thought
* Are Entrepreneurship Education (EE) courses being taught in your country at the present moment?
* Do you think that green and social entrepreneurship should be part of the curriculum?
* What other policies should the EU implement to foster social and green entrepreneurship?
Topic 2. BELGIAN LEGAL FRAMEWORK
2.1 The laws
The concept of social enterprise has not yet been clearly defined in Belgium. The sector's borders are still being determined. In the future, focus is likely to either concentrate on particular emblematic organizational forms and sectors of activity or employ a broad view through a set of distinctive criteria. Consequently, no specific legislation fully embraces the scope of social enterprise in Belgium. Instead, a set of laws, regional decrees and public provisions related to specific legal forms, sectors of activity and social mission types exist. There is a large scope of policies and legal provisions potentially applicable to social enterprises in various sectors and it is impossible to provide an exhaustive list of all these measures.
In terms of numbers, most social enterprises operate as associations. Important as well, but less numerous, are foundations, mutuals, and cooperatives and social purpose companies—these latter two categories used to be often combined with each other until the 2019 reform, which has repealed the social purpose company and introduced a social enterprise accreditation that is only available for cooperatives.
In the context of the Company Law the social purpose company framework was created in 1995. This framework was not a new legal form; in fact, all types of organizations could adopt the social purpose company status, provided that they were "not dedicated to the enrichment of their members", and their statutes complied with a series of conditions.
A very large number of social enterprises have thus developed without using the social purpose company legal framework but rather by adopting an associative (VZW/ASBL), cooperative (without a formal social purpose), mutual or, to a lesser extent, company by share form. The law on associations has been substantially amended in 2019 to strengthen the "entrepreneuralisation" of associations. Contrary to what was permitted before, associations can—like companies—develop economic activities of industrial or commercial nature, even as their main activity.
Recent legal changes have also acknowledged cooperatives' inclination to pursue general interest aims. From 2019, only cooperatives can be accredited as social enterprises through a new accreditation scheme, provided that they fulfill a list of nine conditions.
Whilst most public policies for social enterprises are now developed at the regional level, it is worth mentioning that the legal provisions for all legal forms (associations, foundations, cooperatives, mutuals and other companies, as well as accreditation as social enterprise) are still regulated at the federal level. For example, the recognition of cooperatives is organized through the National Council for Cooperation.
2.2 The current situation
Precise figures are not available due to social enterprise's blurred boundaries, different models and the lack of an overall legal or statutory framework. However, several calculations have been made using two approaches: a "bottom up" approach that sums up the known figures for some of the most easily definable social enterprise types; and an "inclusive" approach, which aggregates populations of organizational forms, including a certain share that could be considered social enterprises according
4 https://eismea.ec.europa.eu/peer-learning-entrepreneurship-education-and-womens-entrepreneurship_en
to the EU operational definition. Whereas bottom-up calculations probably underestimate the number of social enterprises, because they only focus on those types that can be easily identified, inclusive calculations probably overestimate the number of organizations. Consequently, the bottom-up and inclusive approaches differ quite strongly when it comes to providing statistics— respectively around 3,000 and 18,000 organizations. Hence, the difference in terms of numbers seems mainly related to different interpretations of the social enterprise phenomenon and different ways to frame it—as either a very specific and distinctive form, or as an "area" of diverse organizations located in between the public and private for-profit spheres. If we refer to the EU operational definition and the broad understanding of an economic activity as the production of goods and services, it is likely that the numbers will lean towards those proposed by the inclusive approach.
It is estimated that workers are concentrated mainly in Associations (89%), while the rest is distributed among Foundations (3.7%), Cooperatives and/or social purpose companies (3.6%) Mutuals (3.7%).
2.3 Conclusions
An important debate regards the different concepts and visions of social enterprise. For example, the recent emergence of market-based approaches has not been welcomed by established social economy networks. Concerns include: the bias towards appealing communication; the idea that social entrepreneurs can solve all social ills; the focus on market-based discourses, tools and resources; individual "heroic" entrepreneurs instead of collective action; overtly broad definitions; and privatization dynamics that overwhelm public action. In contrast, more recent social entrepreneurship networks are concerned that established actors: present restrictive definitions; are too dependent on public support; are too focused on particular social aims; are too rigid to generate innovative solutions; and are too reluctant to legitimize and enter into dialogue with new approaches. It can also be argued that the structure of political action divides the sector between the "economic" and the "social". Such practice is also reinforced by the media and public opinion.
In summary, it can be observed that, in line with the emergence of social investment internationally, a more market-oriented trend has developed in Belgium that translates into the notions of social entrepreneurship and social entrepreneurs rather than social enterprise.
Food for thought
* Do you think that not being recognised at a national level goes against the interest of social enterprises?
* Do you think that dividing the sector in "economic" and "social" goes against the interest of social enterprises?
* What policies should Belgium implement to foster social and green entrepreneurship?
Topic 3. ITALIAN LEGAL FRAMEWORK
3.1 The law
The concept of "social enterprise" was introduced in Italy earlier than elsewhere. In 1991, after more than 10 years of unregulated development, "social cooperatives"were recognised by law as cooperatives operating with the purpose of "pursuing the general interest of the community in the human promotion and social integration of citizens". A more general legal framework was introduced in 2005-2006, creating the legal category of "social enterprise". It enabled a wider set of legal entities to qualify as social enterprise and expanded the permissible fields of engagement. While social cooperatives, associations and foundations involved in the provision of services have carried on growing in terms of numbers, turnover and people employed, the number of registered social enterprises has shown a disproportionately small increase. Thus, with the aim of re-launching social enterprise under the "third sector" umbrella, new legislation was enacted in 2016/2017 introducing some key changes with a view to providing a common framework for both the third sector and social enterprises. While safeguarding the non-lucrative mission of social enterprise, the law is targeted at rendering the social enterprise qualification more attractive both to potentially eligible organizations and to investors.
Social enterprises are the exclusive object of decree 112/2017. In line with the EU operational definition a social enterprise is now defined as a "private organization that runs entrepreneurial activities for civic, solidarity and social utility purposes and allocates profits principally to achieve its corporate purpose by adopting responsible and transparent management modalities and favoring the largest possible participation of employees, users, and other stakeholders interested in its activities".
3.2 The current situation
When considering the entire range of social enterprises operating in Italy, regardless of their legal form, the phenomenon turns out to be significant in terms of numbers. Based on the available data on social cooperatives, ex lege social enterprises, and associations and foundations with market activity, the estimated number of social enterprises in 2017 amounted to over 102,000 accounting for almost 900,000 paid workers and an annual turnover of 42,700 million EUR. According to a census, in 2017 there were 350,000 NPOs active in Italy, of which 4.5% (15,770) were social cooperatives, 85.1% were associations, 2.1% were foundations and 8.3% were other legal forms (mainly religious entities) (Lori 2019). When considering the distribution of the workforce: 36.4% was employed by organizations running social services; 22.6% by organizations engaged in health services; 11.6% by work integration organizations (i.e. social enterprises), and just 6.3% was employed by organizations delivering cultural,
sport and recreational services.
3.3 Conclusions
Social enterprises are an important and growing sector of the Italian economy. While the integration of social enterprises into the welfare system has been key in boosting their replication, the strong dependence of social enterprises on public policies, coupled with the growing use of competitive tenders based on the lowest price, has contextually contributed to a constraint on their innovative behavior and future development. This has, on the one hand, slowed down the expansion opportunities for social enterprises. On the other hand, it has created the impetus for social enterprises to diversify into new markets, including new demand from private users. A key challenge for social enterprises delivering general interest services is to experiment with new cycles of innovation in the health and educational domains and increase the delivery of corporate welfare services addressed to enterprises' employees, families and users. As for work integration social enterprises (WISEs), less dependent on public resources from the outset, a key challenge is to switch from domains with a low added value towards operations that can foster higher professional profiles to the benefit of disadvantaged workers who are already employed. Another strategy, which should be exploited further, is to reinforce partnerships with conventional enterprises.
Food for thought
* Think about the role that financial incentives play in the decision of setting up a social enterprise.
* What is your opinion on social enterprises delivering corporate welfare services?
* What policies should Italy implement to foster social and green entrepreneurship?
Topic 4. ROMANIAN LEGAL FRAMEWORK
4.1 The 2015 law
In Romania, the legal recognition of social enterprise took place within the larger context of designing a general legislative framework for the social economy. According to Law 219/2015, "the social economy is the set of activities organized independently of the public sector, the purpose of which is to serve the general interest, the interests of a community and/or personal non-pecuniary interests, by increasing the employment of persons belonging to a vulnerable group and/or the production and supply of goods, the provision of services and/or the execution of work."
In Romania, the concept of 'social enterprise' refers to a way of doing business, not to a legal entity. A social enterprise certificate is granted by the County Employment Agencies for a period of 5 years, provided that the legal structure applying for the certificate complies with the principles of social economy and the following criteria: it acts for a social purpose and/or in the general interest of the community; it allocates at least 90% of its profits the pursuit of the social aim and the constitution of a statutory reserve; it undertakes to transfer the assets remaining after liquidation to one or more social enterprises; it applies the principle of social equity towards employees, ensuring fair wage rates.
Law 219/2015 lists the types of organizations (cooperatives, credit cooperatives, associations, foundations, mutual-aid associations and other entities that fulfill the social-economy principles) that can be recognised as social enterprises.
The law also regulates for the first time a specific form of work integration social enterprise, the "social-insertion social enterprise". Like the social enterprise, the social insertion enterprise is not a legal form of organization, but a status that can be obtained by a private organization carrying out economic activity with the objective of ensuring the socio-occupational insertion of disadvantaged people into the labor market.
4.2 The present situation
Because of the degree of bureaucratisation of the certification process and due to the fact that the fiscal and financial rewards attached to it are limited, de facto social enterprises show only limited interest in officially registering as such: by August 2019, only 114 social enterprises had been registered in the National Register of Social Enterprises, of which 12 were work-integration social enterprises. In Romania, the majority of SE initiatives are launched by associations and foundations, which frequently set up business entities under their own control with a view to running economic activities. Most of the Romanian social enterprises are small-sized. Four main types of social enterprise were identified: entrepreneurial non-profit organizations (associations and foundations), mutual-aid associations (mainly retirees' mutual-aid associations), work-integration social enterprises (including two models: sheltered workshops and social-insertion social enterprises), and cooperatives pursuing general-interest goals. Associations and foundations carrying out an entrepreneurial activity are the most dynamic actors in the Romanian social-economy sector.
Data from the National Institute of Statistics indicate that, in 2015, there were 42,707 active associations and foundations in the country, employing 99,774 persons.
4.3 Conclusions
Romanian legislation on social enterprise focuses almost exclusively on work-integration social enterprises and on the
development of externally driven initiatives, stimulated by the existence of generous funding for work-integration projects for disadvantaged groups. The Romanian SE sector deals with several challenges. First, there is a growing demand for general-interest services. The Romanian social-services sector is underdeveloped and underfunded, but the demand for social services is growing fast, particularly in the case of services for the elderly.
Secondly, the lack of awareness and poor understanding of the identity and social utility of social enterprises by decision-makers and the general public, who don't relate them to the concept of entrepreneurship, represent a barrier for their development.
Finally, public support for SE development remains limited. Beside the support for work-integration social enterprises, public resources to support bottom–up active social enterprises are very scarce, the entrepreneurial activities of associations and foundations are not encouraged or supported by public authorities, and mutual-aid organizations are poorly understood by and almost invisible to policymakers.
Food for thought
* What are the advantages of understanding the concept of 'social enterprise' as a way of doing business and not a legal entity?
* Reflect on the importance of making the public understand the entrepreneurial potential of social enterprises.
* What policies should Romania implement to foster social and green entrepreneurship?
Topic 5. GREEK LEGAL FRAMEWORK
5.1 The law
Law 4019/2011, approved in the year 2011, was the first Greek law regarding social economy and social entrepreneurship. Immediately after, also thanks to a period of social mobilisations, usually referred as the 'movement of the squares', there was a rapid increase in the number of social enterprises. Law 4430/2016, which replaced former Law 4019/2011 does not explicitly introduce the social enterprise as a distinct legal entity. Instead, it recognises three different legal forms that define the country's SSE (Social and Solidarity Economy) sector. Of these, only two fulfill the EU operational definition: social cooperative enterprises (SCEs) and limited liability social cooperatives (KoiSPEs). Law 4430/2016 adopted a more operational, criteria-based logic: there is no need for an entity of almost any legal form to change its status in order to be part of the official SSE spectrum and register on the NRSSE (National Registry of Social and Solidarity Economy). What is required is compliance with a series of operational criteria that concern its aim, governance, economic equity, profit distribution and eligible membership. Notably, Law 4430/2016 set new ground for the development of Greek social enterprise fields of activity, by largely broadening the meaning of 'social aim' to include a series of activities for the general public as opposed to being exclusively focused on vulnerable and/or special social groups.
5.2 The current situation
Greek social enterprises are still currently embryonic when compared with other European countries. According to EU criteria, the total number of Greek social enterprises is estimated at 1,148. The vast majority (984) are SCEs for collective and social benefit purposes. Despite their very small size and annual turnover, Greek social enterprises encompass a broad spectrum of economic activities. However, most organizations commonly operate within the food trade and processing, education, general trade and leisure services. Greek social enterprises are also characterized by members with high level educational qualifications and women, who constitute more than 60% of their total workforce. Finally, social enterprises are unevenly spread across Greece.
The social enterprise types currently present in Greece are: Social cooperative enterprise (SCE), divided into the sub-categories of Integration SCEs and SCEs for collective and social benefit purposes, Limited liability social cooperatives, Women's agrotourism cooperatives, de facto social enterprises such as Civil cooperatives, Limited liability companies and Agricultural cooperatives. There are also two types of legal forms that cannot be fully regarded as social enterprises according to the EU operational definition: Associations and civil non-profit companies and Fundations.
5.3 Conclusions
Despite their recent dynamic development, Greek social enterprises face a series of constraints and barriers regarding their further development. According to a 2017 British Council report, the majority of respondents regard access to forms of finance and administration issues and bureaucracy as the most crucial barriers that hinder social enterprise development across the country. As an example, many announced support measures remain inactive, and most regions have less access to finance, grants and information than those in Attica. There are also some cultural issues, such as a lack of awareness of a tradition of cooperation. Nonetheless, although still in its infancy, the Greek social enterprise ecosystem is very dynamic and could potentially thrive in the future.
Food for thought
* Why is it important for social cooperatives to not only focus on vulnerable and/or special social groups?
*
Reflect on the importance for legislation regarding social enterprises to not require an excessive amount of bureaucracy.
* What policies should Greece implement to foster social and green entrepreneurship?
Topic 6. CROATIAN LEGAL FRAMEWORK
6.1 The law
In 2011 the Act on Cooperatives introduced the social cooperative, in order to connect cooperatives to the social enterprise sector. In 2015, the 'Strategy for Entrepreneurship Development' was adopted and its main objective is to create a supportive environment for social enterprises in Croatia, thereby decreasing regional disparities, increasing employment and ensuring a fairer distribution of social wealth. The Strategy defines social entrepreneurship as a "business based on the principles of social, environmental and economic sustainability, in which generated profit or surplus is entirely or largely reinvested for the benefit of the community". The definition is accompanied by nine criteria for the identification of social enterprises. The Croatian definition is very much in line with the EU operational definition of social enterprise, as it is largely based on EU documents and policies, especially the Social Business Initiative. The official definition given in the SE Strategy does not precisely state the legal forms of possible social enterprises, but rather implies that various forms which meet prescribed criteria may be considered as social enterprises.
6.2 The current situation
In Croatia there are no de iure social enterprises, which results in no official data about them. The SE Strategy hasn't clarified the situation, and the application of the nine criteria for the identification of social enterprises is too complex and lacking any mechanism of monitoring and control. There are a few legal forms in Croatian legislation that meet at least some of the EU operational definition criteria, and thus may be considered as social enterprises: associations that pursue social entrepreneurship and other general interest activities and undertake economic activities; cooperatives, in particular social cooperatives, veterans social-working cooperatives, but also other cooperatives pursuing social aims, private foundations pursuing relevant general interest activities and economic activities; companies, those funded by associations or and those that pursue social aims, and Institutions founded by associations pursuing relevant general interest activities. Sheltered and integrative workshops are not legal forms per se, but statuses obtained by some companies, cooperatives and institutions which employ persons with disabilities.
The estimated number of social enterprises in the year 2018 was: 346 associations, 25 social cooperatives, 35 veterans social-working cooperatives, 33 cooperatives pursuing social aims, 5 fundations, 60 companies, 15 institutions and 7 sheltered workshops.
Croatian social enterprises operate mainly in the field of agriculture, followed by social welfare services, production of traditional products and souvenirs, tourism, food processing and catering, waste management and wood processing (Turza 2014). A 2015 study (Simlesa et al. 2015) showed that revenues of mapped social enterprises were 24.6 million EUR in 2013 and 23.3 million in 2014.
6.3 Conclusions
Because of a lack of political will, the SE Strategy has been poorly implemented and has to date failed to achieve its objectives of creating a supportive legislative and institutional framework; creating a supportive financial framework; promoting education on social entrepreneurship; and promoting public visibility of social enterprises. A huge constraining factor is the fact that existing legislation around social enterprises lacks coherence. Many stakeholders perceive that a lack of business skills among social entrepreneurs is one of the important constraints in social enterprise development. However, the growth of support programmes, training and skills development in recent years has somewhat overcome this disadvantage. The main challenge facing social enterprises in Croatia is how to give people a clearer understanding of the social enterprise concept.
In conclusion, even though some changes have occurred, Croatia should still be identified as being in the 'progressive emergence' stage of social enterprise development.
Food for thought
* Reflect on the impact that the EU has had on the creation of a legal framework for social enterprises in the member States.
* Reflect on the usefulness of monitoring measures for keeping track of social enterprises
* What policies should Croatia implement to foster social and green entrepreneurship?
Topic 7. BULGARIAN LEGAL FRAMEWORK
7.1 The law
The development of social enterprises in Bulgaria has not been driven by a unified strict definition or by a relevant regulatory framework. This has meant that the economic entities that possess some social enterprise characteristics were created on the basis of different laws. This spontaneous development results today in a significant number and wide variety of legal forms of enterprises with (dominantly) social aims. The list of enterprises with social aims includes: associations and foundations carrying out economic activities, chitalishta, which are defined as self-governing community associations, developing and enriching local cultural, social and educational activities, cooperatives of people with disabilities, specialized enterprises for the integration of disabled people. Overall, these basic legal provisions provide opportunities for enterprises with social aims to be identified as social enterprises in accordance with the EU operational definition.
The new Act on Enterprises of the Social and Solidarity Economy was adopted by the National Assembly on 18 October 2018 and came into force on May 2 2019. This is the first law that recognises the existence and function of the various actors of the social economy. It aims to provide a clear definition of social enterprises, measures to promote them, along with mechanisms of interaction with the state and other stakeholders. The Act introduces the following principles of the social and solidarity economy: priority of social to economic objectives; cooperation for public and/or collective benefit; publicity and transparency; independence from public authorities; participation of members, workers or employees in managerial decision-making.
The new Law on Enterprises of the Social and Solidarity Economy in Bulgaria corresponds to the EU operational definition in reference with the economic, social, and inclusive governance dimensions.
7.2 The current situation
Due to the lack of sufficient statistical data and with many reservations, the total number of currently established social enterprises that correspond to the EU operational definition in Bulgaria could be assessed at 3,674. They account for around 1% of all the enterprises in the country, employing about 2% of the employed population. They contribute to about 0.7% of the added value produced in the country. All three figures lie well below the EU averages. Their composition by legal form is as follows: 2,430 associations and foundations; 1,000 chitalishta; 200 specialized enterprises for people with disabilities; and 44 cooperatives of people with disabilities.
According to some sources, associations and foundations, including chitalishta, usually provide social, educational, training and health services. Striking regional differences exist and continue to grow. All data confirm the concentration of associations and foundations (excluding chitalista) in the capital and in large cities.
7.3 Conclusions
The most visible and frequently mentioned constraining factors of social enterprises development come in the form of: weak governmental funding, insufficient targeted assistance through dedicated financial instruments, lack of adequate support from municipalities and lack of skilled staff. Some suggest the low propensity to innovate also presents a barrier to start or scale up social enterprises. However, it seems that the fundamental constraining factor jeopardizing social enterprise development is the general economic and social situation in the country. Currently social enterprises rely mainly on public (budget) support, but the opportunities of public budgets (national and local) to support social enterprises remain quite limited. This combines with a high level of (income) poverty, which ranks the highest in the entire EU. Therefore, despite large-scale needs for social services, limited public budgets and low incomes reduce the demand for goods and services that social enterprises could provide. Changes in economic and social policies are needed in Bulgaria. The accelerated development of social enterprises is one of the important opportunities for making positive changes. The new Act on Enterprises of the Social and Solidarity Economy is a step in this direction. However, many other steps are needed for the accelerated and effective development of social enterprises.
Food for thought
* Reflect on the importance of legislation on social enterprises that accounts for the local particularities of each country.
* What type of social enterprises should the government invest in in a country like Bulgaria?
* What policies should Bulgaria implement to foster social and green entrepreneurship?
Topic 8. POLISH LEGAL FRAMEWORK
8.1 The law
Poland's entry in the European Union in 2004 has played a key role in boosting social enterprise development. Presently, social enterprises in Poland are regulated by specific legal frameworks for each type. This is due to the fact that no shared legal definition of a social enterprise had been agreed upon until very recently. However, having analyzed various types of organizations that meet the EU operational definition criteria, it can be concluded that four types of social enterprises can be
distinguished. These are: social cooperatives, entrepreneurial non-profit organizations (ENPOs), professional activity establishments (zakład aktywności zawodowej – ZAZs) and non-profit companies.
Currently, the most significant source regulating social enterprises in Poland is the National Programme for Social Economy Development (KPRES), which was accepted by the Council of Ministers in 2014 and extended (with some novelties) in 2019 for the following four years. According to KPRES 2019-2023, social enterprises are conceived as entities which conduct market activities, including both economic activity (unrelated business activity) and paid mission-related activity aimed at the reintegration of persons threatened by social exclusion, which must make up at least 30% of the workforce.
In July 2022, the new Act on Social Enterprises and Supporting Social Economy was passed. The Act introduces a social enterprise status that can be obtained by organizations that fulfill certain conditions, regardless of their legal form. This status will be available to: social cooperatives, non-governmental organizations, labor cooperatives, cooperatives of disabled and blind people, cooperatives of agricultural production. According to the Act on Social and Solidarity Economy, a social enterprise is an entity that—regardless of its legal type— performs economic activities, including paid statutory activity and/or market activity. Social enterprises shall operate in the field of social and professional reintegration of people threatened by social exclusion and simultaneously provide general interest services. The Act envisages specific benefits for registered social enterprises, including subsidies for employees from the disadvantaged groups and tax exemptions.
8.2 The current situation
All types of social enterprises in Poland have been growing in number since being officially recognised. Also the number of people employed has been increasing. Social enterprises are still a narrow part of the Polish economy but their significance has been steadily increasing. The analyses conducted in this study have revealed that 29,535 social enterprises existed in Poland in 2019. The most numerous are ENPOs, estimated at 27,600, followed by 1,600 social cooperatives, 226 non-profit companies, and 109 ZAZs. At that time, social enterprises employed 428,700 individuals, but their employment potential, measured in the full-time equivalent (FTE) is much smaller.
8.3 Conclusions
There are several problems facing social enterprises in Poland. First, there is conceptual confusion in defining the social enterprise. This is linked to the fact that the social enterprise concept is relatively new, having existed for approximately 15 years in theoretical considerations and in the socio-economic landscape in Poland. Conceptual confusion is also linked to the ambiguity in defining social enterprises' fields of activity. There is a tendency to conflate social enterprises with work integration. Different types of activities undertaken by social enterprises, including for instance local development or general interest service provision, have not been properly recognised in Poland. In addition to this, fragmentation of legal schemes has hindered the building of a common identity of the sector of social enterprises. As a result, Polish organizations that form social enterprises do not recognise themselves as a united sector. These problems are interwoven with a number of barriers encountered by Polish social enterprises. These include reluctance to undertake and carry out economic activities among non-profit organizations; limited demand for goods and services provided by social enterprises from public authorities, market enterprises and individual recipients; and poor managerial skills among managers of social enterprises.
At the same time, recent years have witnessed an increase of interest in social enterprises in Poland. They have significantly improved their position, which can be attributed to social enterprises' gradual recognition by citizens, academics, the third sector and public administration representatives. Thanks to the new regulations, the social economy will develop and be an important instrument of active social policy.
Food for thought
* Reflect on the importance for social enterprises of acting as a united sector
* How could social enterprises improve their recognition by citizens?
* What policies should Poland implement to foster social and green entrepreneurship?
Case studies
Title of the case study 1:
Law on Social Cooperatives in Italy: Adjustment of an existing cooperative law to support social enterprise development
Description of the case study:
How the Italian social enterprise law was born
The development of social enterprises, largely in the form of social cooperatives, began comparatively earlier in Italy than in most European member states, in the late 1960s and early 1970s. Social cooperatives are prominent drivers of welfare provision, and were created when welfare gaps emerged as certain social needs were not adequately met by either the public or private sectors. An important accelerator for social cooperative development in Italy was the removal of the Crispi Law (6972/1890), which stated that the responsibility of providing welfare services is limited to public entities or to the citizens themselves. However, the Constitutional Court ruling 396 of 1988 declared it unconstitutional, expanding the provision of welfare services to private entities. In 1991, after almost ten years of unregulated development, the Italian Law recognised both
new and existing social cooperatives and supported their expansion throughout Italy.
Italian law as a basis for other EU countries
In 1991, Italy established the Law 381/1991 on Social Cooperatives to legally recognise cooperatives that work with an explicit "aim to pursue the general interest of the community in the human promotion and social integration of citizens." The law regulates two types of social cooperative forms: A-type, i.e. social cooperatives providing social welfare or educational services; and B-type, i.e. social cooperatives integrating vulnerable or disadvantaged individuals into work through agricultural, manufacturing or other commercial activities. B-type social cooperatives should include at least 30% 'disadvantaged workers' among their workforce for whom they are exempted from social security contributions.
The Italian Law 381/1991 on Social Cooperatives is the first generation of laws developed to specifically regulate social enterprises, acting as a cornerstone legislation in the promotion of social and solidarity economy ecosystems across Europe in Portugal, Spain, Greece, France, Hungary, Czech Republic and beyond in the United States. This Law provided a model of legislation for social enterprises at the European Union level and at a Global level, leading to the replication and use of A-Type and B-Type forms of social enterprises as defined by the Law such as in South Korea.
Impact
The Law 381/1991 on Social Cooperatives is a pioneering legal framework, as it was the first law to specifically recognise and regulate social enterprises in Italy. It inspired the development of Law on Social Cooperatives and other legal frameworks to regulate social enterprises. Law 118/2005 and Legislative Decree 155/2006 recognise social enterprises through a legal status, allowing for a wide range of entities (associations, foundations, religious institutions, cooperatives, limited liability and shareholder companies) to conduct economic activities with a social purpose, thereby increasing their share contributed to the GDP of the Italian economy.
Key takeaways: e.g. lessons learned, knowledge acquired, reasons for inspiration
The case study teaches users of the module about the importance of legislative action at the level of the single country. It can have a revolutionary impact on the legislation that is passed even at an international level.
Title of the case study 2:
The Brussels 2018 Ordinance on social enterprises: An inclusive policy-making process to co-construct a legal framework for social enterprises
Description of the case study: about 1 page (Include text, screenshots, videos, images.)
What
The Ordinance on the accreditation and support of social enterprises was adopted on 23 July 2018 in the Brussels-Capital Region in Belgium. The adoption of this Ordinance results from a two-year consultation process with various stakeholders, including the Economic and Social Council of the Brussels-Capital Region (CESRBC), the Brussels Employment Office Actiris, the Brussels Social Economy Consultation Platform extended to ConcertES1 and SAW-B (see the steps below). Additional stakeholders, such as academics, federations of social enterprises and social enterprises themselves, also participated in the consultation process, especially to establish the definition of the social enterprise.
The ordinance establishes a set of criteria organized in three dimensions – social, economic and governance – and defines 'social enterprise' as private or public legal entities that implement an economic project, pursue a social purpose, and exercise democratic governance. In addition, the legal framework sets out the public support schemes that social enterprises can leverage, including financial and non-financial assistance.
Why
Until recently, social enterprises and the social economy in the Brussels-Capital Region were largely associated with the work integration field. The objective of this policy-making process was twofold: (1) the revision of the 20042 and 20123 Ordinances on the social economy and the accreditation of work integration social enterprises; and (2) the recognition of social enterprises beyond the work integration field. When designing legal frameworks, an inclusive consultation process may be of fundamental importance as it refines how policy makers understand social enterprises and thus ensures that legal frameworks are relevant, appropriate and meet the needs of relevant stakeholders. Finally, co-constructing a legal framework helps avert practical implementation problems, enhances compliance and acceptance of such framework, and increases public trust in government.
Impact
As of June 2021, 155 social enterprises were accredited in the Brussels-Capital Region. The 2018 Ordinance had a positive impact on social enterprises as it has strengthened their legal certainty in relation to European State Aid legislation and has thus increased their access to financial resources. It has also allowed social enterprises to improve their internal processes, in particular regarding their governance. In short, the Brussels Ordinance on social enterprises and its policy-making process helped to both build common understanding of social enterprises and structure the overall field, which in turn fostered the development of social enterprises in the Brussels-Capital Region.
Key takeaways: e.g. lessons learned, knowledge, reason for inspirations lessons learned, knowledge
By starting the consultation process at an early stage of policy development, the Government of the Brussels-Capital Region helped maximize the value of stakeholder engagement. Engaging with a broad range of actors allowed to design a legal framework that is more aligned with the field's needs and realities and that reflects a range of views in a proportionate way, thus avoiding its anchoring in a single ideology of social entrepreneurship. Such an inclusive policy-making process has also facilitated a broader acceptance of the criteria for social enterprises and enabled a common understanding and interpretation of the legal framework. Ultimately, the process has fostered dialogue between policy makers and main actors in the field. The dialogue remains open today and allows to easily gather these main actors around a table when needed.
Activities
Further reading
Quiz
Q1. What is Entrepreneurship Education (EE)? (c)
a) A course on how to start a business
b) A school subject
c) A combination of competence building and mindset shift
d) All of the above
Q2. What does the "inclusive" approach for counting social enterprises in Belgium consist of? (b)
a) Counts all organizations involved in social inclusion
b) Counts all organizations located in between the public and private for-profit spheres
c) Counts all easily definable social enterprise types
d) All of the above
Q3. What is the most common form of social enterprise in Italy? (a)
a) Associations
b) Social cooperatives
c) Fundations
d) All of the above
Q4. What is the Romanian "social-insertion social enterprise"? (b)
a) A private organization offering services to disadvantaged people
b) A private organization carrying out economic activity with the objective of ensuring the socio-occupational insertion of disadvantaged people into the labor market
c) A cooperative made up of disadvantaged people
d) All of the above
Q5. What is one promising sector for social enterprises in Romania? (a)
a) Social services
b) Fair trade
c) Renewable energy
d) All of the above
Q6. What is the main barrier that Greek social enterprises have to face? (c)
a) Lack of support from government and society
b) Lack of entrepreneurial skills
c) Bureaucracy and lack of founding
d) All of the above
Q7. Why is it difficult to collect data about Croatian social enterprises? (b)
a) There is excessive bureaucracy
b) Application of the nine criteria is too complex
c) Organizations are not interested in obtaining the social enterprise status
d) All of the above
Q8. What factor limits social enterprise development in Bulgaria? (d)
a) Weak governmental funding
b) Lack of skilled staff
c) Poor economic and social situation
d) All of the above
Q9. Why don't Polish social enterprises recognise themselves as a united sector?
(c)
a) Because they believe that there is a fundamental difference between offering social services and doing business
b) Because they prefer to differentiate between the various sectors
c) Because legal schemes were fragmented until recently
d) All of the above
Q10. Why was the Brussels 2018 Ordinance developed by consulting the stakeholders? (d)
a) To maximize stakeholder engagement
b) To create a legal framework better aligned with the field's needs
c) To obtain a broader acceptance of the criteria for social enterprises
d) All of the above
References
Topic 3 - Italian legal framework: Borzaga, C. (2020). Social Enterprises and their Ecosystems in Europe: Country report Italy (Catalog No. KE-02-20-042-EN-N). Luxembourg: Publications Office of the European Union. Available at https://europa.eu/!Qq64ny
Topic 8 - Polish legal framework: Ciepielewska-Kowalik, A. (2020). Social Enterprises and their Ecosystems in Europe: Country report Poland (Catalog No. KE-02-20-043-EN-N). Luxembourg: Publications Office of the European Union. Available at https://europa.eu/!Qq64ny
Topic 7 - Bulgarian legal framework: Jeliazkova, M. (2019). Social Enterprises and their Ecosystems in Europe: Country report Bulgaria (Catalog No. KE-03-18-513-EN-N). Luxembourg: Publications Office of the European Union. Available at https://europa.eu/!Qq64ny
Topic 4 - Romanian legal framework: Lambru, M., Petrescu, C. (2019). Social Enterprises and their Ecosystems in Europe: Country report Romania (Catalog No. KE-07-18-052-EN-N). Luxembourg: Publications Office of the European Union. Available at https://europa.eu/!Qq64ny
Topic 1 - European legal framework: Lilischkis, S., Tømmerbakke, J., Melleri, M., Volkmann, C., Grünhagen, M. (2021): A guide to fostering entrepreneurship education. Five key actions towards a digital, green and resilient Europe. (Paper No. EA-09-21-266-EN-N). Luxembourg: Publication Office of the European Union. Available at https://eismea.ec.europa.eu/system/files/2022-01/A%20guide%20for%20fostering%20entrepreneurship%20education.pdf
Topic 2 - Belgian legal framework: Nyssens, M., Huybrechts, B. (2020). Social Enterprises and their Ecosystems in Europe: Country report Belgium (Catalog No. KE-02-20-039-EN-N). Luxembourg: Publications Office of the European Union. Available at https://europa.eu/!Qq64ny
Topic 5 - Greece legal framework: Varvarousis, A., Tsitsirigkos, G. (2019). Social Enterprises and their Ecosystems in Europe: Country report Greece (Catalog No. KE-07-18-051-EN-N). Luxembourg: Publications Office of the European Union. Available at https://europa.eu/!Qq64ny
Topic 6 - Croatia legal framework: Vidović, D. (2019). Social Enterprises and their Ecosystems in Europe: Country report Croatia (Catalog No. KE-04-19-251-EN-N). Luxembourg: Publications Office of the European Union. Available at https://europa.eu/!Qq64ny
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*For higher pressure applications, consult factory. If unit is equipped with differential indicator, maximum temperature and pressure are 125°F and 150 PSIG regardless of bowl design.
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*3" unit is available in NPT thread only. **For higher pressure applications, consult factory. If unit is equipped with differential indicator or float drain, maximum temperature and pressure are 125°F and 150 PSIG regardless of bowl design.
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Океан Электроники
Поставка электронных компонентов
Компания «Океан Электроники» предлагает заключение долгосрочных отношений при поставках импортных электронных компонентов на взаимовыгодных условиях!
Наши преимущества:
- Поставка оригинальных импортных электронных компонентов напрямую с производств Америки, Европы и Азии, а так же с крупнейших складов мира;
- Широкая линейка поставок активных и пассивных импортных электронных компонентов (более 30 млн. наименований);
- Поставка сложных, дефицитных, либо снятых с производства позиций;
- Оперативные сроки поставки под заказ (от 5 рабочих дней);
- Экспресс доставка в любую точку России;
- Помощь Конструкторского Отдела и консультации квалифицированных инженеров;
- Техническая поддержка проекта, помощь в подборе аналогов, поставка прототипов;
- Поставка электронных компонентов под контролем ВП;
- Система менеджмента качества сертифицирована по Международному стандарту ISO 9001;
- При необходимости вся продукция военного и аэрокосмического назначения проходит
испытания и сертификацию в лаборатории (по согласованию с заказчиком);
- Поставка специализированных компонентов военного и аэрокосмического уровня качества (Xilinx, Altera, Analog Devices, Intersil, Interpoint, Microsemi, Actel, Aeroflex, Peregrine, VPT, Syfer, Eurofarad, Texas Instruments, MS Kennedy, Miteq, Cobham, E2V, MA-COM, Hittite, Mini-Circuits, General Dynamics и др.);
Компания «Океан Электроники» является официальным дистрибьютором и эксклюзивным представителем в России одного из крупнейших производителей разъемов военного и аэрокосмического назначения «JONHON», а так же официальным дистрибьютором и эксклюзивным представителем в России производителя высокотехнологичных и надежных решений для передачи СВЧ сигналов «FORSTAR».
«JONHON» (основан в 1970 г.)
Разъемы специального, военного и аэрокосмического назначения:
(Применяются в военной, авиационной, аэрокосмической, морской, железнодорожной, горно- и нефтедобывающей отраслях промышленности)
«FORSTAR» (основан в 1998 г.)
ВЧ соединители, коаксиальные кабели, кабельные сборки и микроволновые компоненты:
(Применяются в телекоммуникациях гражданского и специального назначения, в средствах связи, РЛС, а так же военной, авиационной и аэрокосмической отраслях промышленности).
Телефон: 8 (812) 309-75-97 (многоканальный)
Факс: 8 (812) 320-03-32
Электронная почта: [email protected]
Web: http://oceanchips.ru/
Адрес: 198099, г. Санкт-Петербург, ул. Калинина, д. 2, корп. 4, лит. А
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Topology and Modality: The Topological Interpretation of First-Order Modal Logic
Steve Awodey
*Carnegie Mellon University*
Kohei Kishida
*University of Pittsburgh - Main Campus*
Follow this and additional works at: [http://repository.cmu.edu/philosophy](http://repository.cmu.edu/philosophy)
Part of the Philosophy Commons
Topology and Modality:
The Topological Interpretation of First-Order Modal Logic
Steve Awodey and Kohei Kishida
June 4, 2007
Technical Report No. CMU-PHIL-180
Philosophy
Methodology
Logic
Carnegie Mellon
Pittsburgh, Pennsylvania 15213
TOPOLOGY AND MODALITY:
THE TOPOLOGICAL INTERPRETATION OF FIRST-ORDER MODAL LOGIC
STEVE AWODEY AND KOHEI KISHIDA
ABSTRACT. As McKinsey and Tarski showed, the Stone representation theorem for Boolean algebras extends to algebras with operators to give topological semantics for (classical) propositional modal logic, in which the “necessity” operation is modeled by taking the interior of an arbitrary subset of a topological space. In this paper the topological interpretation is extended in a natural way to arbitrary theories of full first-order logic. The resulting system of S4 first-order modal logic is complete with respect to such topological semantics.
It has been known since the work of McKinsey and Tarski [10] that, by extending the Stone representation theorem for Boolean algebras, topological spaces provide semantics to propositional modal logic. Specifically, a necessity operator obeying the rules of the system S4 can be interpreted by the interior operation in a topological space. This result, however, is limited to propositional modal logic, and the interpretation by topological interior has never been extended to first-order modal logic. The aim of this paper is to show how such an extension can be achieved.
1. Topological Semantics for Propositional Modal Logic
Let us review the topological semantics for propositional S4.
1.1. The System S4 of Propositional Modal Logic. Modal logic is the study of logic in which the words “necessary” and “possible” appear in statements such as
- It is necessary that the square of an integer is not negative.
- It is possible that there are more than 8 planets.
A grateful acknowledgment goes to the inspiring discussions with and helpful comments by Horacio Arló-Costa, Nuel Belnap, Johan van Benthem, Mark Hinchliff, Paul Hovda, Ken Manders, Eric Pacuit, Rohit Parikh, Dana Scott, and especially Guram Bezhanishvili. We also thank the organizers, Aldo Antonelli, Alasdair Urquhart, and Richard Zach, of the Banff Workshop “Mathematical Methods in Philosophy” for the opportunity to present this research.
Philosophy Department, Carnegie Mellon University; [email protected].
Philosophy Department, University of Pittsburgh; [email protected].
The history of modal logic is as old as that of the study of logic in general, and can be traced back to the time of Aristotle. The contemporary study of modal logic typically treats modal expressions as sentential operators, in the same way as $\neg$ is treated. That is, for each formula $\varphi$ of propositional logic, the following are again formulas:
\[
\square \varphi \quad \text{“It is necessary that } \varphi.\text{”}
\]
\[
\Diamond \varphi \quad \text{“It is possible that } \varphi.\text{”}
\]
Formulas are recursively generated from propositional letters $p$, $q$, $r$, ... using the propositional operators $\top$, $\bot$, $\land$, $\lor$, $\rightarrow$, $\neg$ as usual, in addition to $\square$ and $\Diamond$. Hence the formulas of the language include ones such as $\square(\square p \rightarrow \Diamond(\square q \land \neg r))$.
Among various axiom systems providing inference rules for modal operators, the system S4 of propositional modal logic consists of the rules listed below, in addition to those of classical propositional logic. Here $\varphi$, $\psi$ are any sentences, and $\top$ is a propositional constant standing for truth (or it stands for any theorem of propositional logic if the language is not assumed to have the propositional constant). Also, define $\Diamond \varphi = \neg \square \neg \varphi$.
\[
\square \varphi \vdash \varphi
\]
\[
\square \varphi \vdash \square \square \varphi
\]
\[
\square \varphi \land \square \psi \vdash \square (\varphi \land \psi)
\]
\[
\top \vdash \square \top
\]
\[
\varphi \vdash \psi
\]
\[
\square \varphi \vdash \square \psi
\]
1.2. **Topology.** The S4 rules in Subsection 1.1 have been known, since McKinsey and Tarski [10], to be exactly the rules of the interior operation on topological spaces. Given a set $X$, recall that a subset $O(X) \subseteq P(X)$ of its powerset $P(X)$ is said to be a *topology* on $X$ if it satisfies the following:
- $\emptyset, X \in O(X)$.
- If $U, V \in O(X)$ then $U \cap V \in O(X)$.
- If $U_i \in O(X)$ for all $i \in I$ then $\bigcup_{i \in I} U_i \in O(X)$, for any index set $I$.
Such a pair $(X, O(X))$, or often $X$ itself with $O(X)$ in mind, is called a *topological space*. The $U \subseteq X$ lying in $O(X)$ are called *open sets* of $X$, and an open set $U$ such that $a \in U$ is called a *neighborhood* of $a$.
of $a$. On the other hand, $F \subseteq X$ such that $X - F = \{ x \in X \mid x \notin F \}$ is an open set is called a *closed set*. Now, given a topological space $(X, O(X))$, define an *interior* operation $\text{int}$ on $P(X)$ as follows: for any subset $A \subseteq X$:
$$\text{int}(A) = \bigcup_{U \subseteq A} U.$$
Note that $\text{int}(A)$ is open because the union of open sets is open. Thus $\text{int}(A)$ is the largest of all open sets $U$ contained in $A$. It follows that any open set $U$ is a fixed point of $\text{int}$ and can be written as an interior, i.e. $U = \text{int}(U)$. Moreover, $\text{int}$ obeys the following rules. For any $A, B \subseteq X$,
$$\text{int}(A) \subseteq A$$
$$\text{int}(A) \subseteq \text{int}(\text{int}(A))$$
$$\text{int}(A) \cap \text{int}(B) \subseteq \text{int}(A \cap B)$$
$$X \subseteq \text{int}(X)$$
$$A \subseteq B \implies \text{int}(A) \subseteq \text{int}(B)$$
Here, if we read $A, B$ for sentences and replace $X, \cap, \subseteq$ with $\top, \land, \vdash$, we can see these rules are just the rules of S4. In a similar manner, the *closure* $\text{cl}(A) = X - \text{int}(X - A)$ of $A$, i.e. the smallest closed set containing $A$, obeys the corresponding S4 rules of $\Diamond$.
1.3. **Topological Semantics for Propositional S4.** Let us now formally define how a language of propositional modal logic is interpreted in a topological space. Suppose we are given a language $\mathcal{L}$ of propositional modal logic and a topological space $(X, O(X))$.
$$\text{Propositional S4} \xrightarrow{\text{~~~~~~~~~~~~~~}} (X, O(X))$$
$$\varphi \xrightarrow{\text{~~~~~~~~~~~~~~~~~~}} \llbracket \varphi \rrbracket \subseteq X$$
An *interpretation* $\llbracket \cdot \rrbracket$ of $\mathcal{L}$ is a mapping from the set of sentences of $\mathcal{L}$ to $P(X)$. It assigns an arbitrary subset $\llbracket p \rrbracket$ of $X$ to each atomic sentence $p$, and moreover satisfies the conditions below for connectives and operators. Here $\varphi, \psi, \top$ are the same as before, while $\bot$ is either the propositional constant for falsity or any sentence whose negation is provable in propositional logic.
$$\llbracket \neg \varphi \rrbracket = X - \llbracket \varphi \rrbracket,$$
$$\llbracket \varphi \land \psi \rrbracket = \llbracket \varphi \rrbracket \cap \llbracket \psi \rrbracket,$$
\[ \llbracket \varphi \lor \psi \rrbracket = \llbracket \varphi \rrbracket \cup \llbracket \psi \rrbracket, \]
\[ \llbracket \top \rrbracket = X, \]
\[ \llbracket \bot \rrbracket = \emptyset, \]
\[ \llbracket \Box \varphi \rrbracket = \text{int}(\llbracket \varphi \rrbracket). \]
We then write \( (X, \llbracket \cdot \rrbracket) \models \varphi \) if the interpretation \( (X, \llbracket \cdot \rrbracket) \) models a sentence \( \varphi \), defined as
(1)
\[
(X, \llbracket \cdot \rrbracket) \models \varphi \iff \llbracket \varphi \rrbracket = X.
\]
Although we can say “\( \varphi \) is true in a model \( (X, \llbracket \cdot \rrbracket) \)” to mean this relation, we should note it is not in general the case that one of \( (X, \llbracket \cdot \rrbracket) \models \varphi \) or \( (X, \llbracket \cdot \rrbracket) \models \neg \varphi \) must hold. Also note that \( (X, \llbracket \cdot \rrbracket) \models \varphi \) entails \( (X, \llbracket \cdot \rrbracket) \models \Box \varphi \).
As a simple example, consider \( X = [0, 1] \) the closed unit interval, and \( \llbracket P \rrbracket = [0, 1) \) the half-open interval. Then \( (X, \llbracket \cdot \rrbracket) \models \Box (P \lor \neg P) \) because
\[
\llbracket \Box (P \lor \neg P) \rrbracket = \text{int}(\llbracket P \rrbracket \cup [0, 1] \setminus \llbracket P \rrbracket) = \text{int}([0, 1]) = [0, 1].
\]
But \( (X, \llbracket \cdot \rrbracket) \not\models \Box P \lor \Box \neg P \), since
\[
\llbracket \Box P \lor \Box \neg P \rrbracket = \text{int}(\llbracket P \rrbracket) \cup \text{int}([0, 1] \setminus \llbracket P \rrbracket) = [0, 1) \neq [0, 1].
\]
With this notion of interpretation, the correspondence between the rules of Boolean operations on sets and those of the propositional connectives, and the rules of the interior operation and the S4 rules, immediately give us soundness:
**Theorem 1.** For any pair of sentences \( \varphi, \psi \) of \( L \),
\[
\varphi \vdash \psi \text{ is provable in } S4 \implies \text{every topological interpretation } (X, \llbracket \cdot \rrbracket) \text{ has } \llbracket \varphi \rrbracket \subseteq \llbracket \psi \rrbracket.
\]
In particular,
\[
S4 \vdash \varphi \implies \text{every topological interpretation } (X, \llbracket \cdot \rrbracket) \text{ has } (X, \llbracket \cdot \rrbracket) \models \llbracket \varphi \rrbracket.
\]
The usual converse statement of completeness can be derived as a corollary of the following even stronger result.
Theorem 2 (McKinsey-Tarski, 1944). For any (consistent) theory \( T \) in \( L \) containing S4, there exist a topological space \( X \) and an interpretation \( \llbracket \cdot \rrbracket \) such that any pair of sentences \( \varphi, \psi \) of \( L \) satisfies the following:
\[
\varphi \vdash \psi \text{ is provable in } T \iff \llbracket \varphi \rrbracket \subseteq \llbracket \psi \rrbracket.
\]
Corollary 1. For any pair \( \varphi, \psi \) of sentences of \( L \),
\[
S4 \text{ proves } \varphi \vdash \psi \iff \llbracket \varphi \rrbracket \subseteq \llbracket \psi \rrbracket \text{ for every topological interpretation } (X, \llbracket \cdot \rrbracket).
\]
In particular,
\[
S4 \text{ proves } \vdash \varphi \iff \text{every topological interpretation } (X, \llbracket \cdot \rrbracket) \text{ has } (X, \llbracket \cdot \rrbracket) \models \llbracket \varphi \rrbracket.
\]
2. Semantics for First-Order Logic
The goal of this paper is to extend the topological semantics in the foregoing section to first-order modal logic. In this section we introduce some notation for the standard semantics of (non-modal) first-order logic, which will be convenient for our purposes.
2.1. Denotational Interpretation. Suppose we are given a language \( L \) in first-order logic. \( L \) has primitive relation symbols \( R_i \) (\( i \in I \)), function symbols \( f_j \) (\( j \in J \)), constants \( c_k \) (\( k \in K \)). Then, as usual, a structure \( M = \langle D, R_i^M, f_j^M, c_k^M \rangle_{i \in I, j \in J, k \in K} \) for \( L \) consists of the following.
- A set \( D \), the “domain of individuals”.
- A subset \( R_i^M \subseteq D^n \) of the appropriate \( n \)-fold Cartesian product of the domain \( D \), for each \( n \)-ary relation symbol \( R_i \).
- A function \( f_j^M : D^n \to D \) for each \( n \)-ary function symbol \( f_j \).
- An individual \( c_k^M \in D \) for each constant \( c_k \).
Given such a structure and elements \( a_1, \ldots, a_n \in D \), for any formula \( \varphi(x_1, \ldots, x_n) \) with at most the displayed variables \( x_1, \ldots, x_n \) free, the relation
\[
M \models \varphi[a_1, \ldots, a_n]
\]
of modeling a formula is recursively defined as usual.
Now we extend the “denotational” point of view to first-order languages. Whereas we gave an interpretation $\llbracket \varphi \rrbracket$ to sentences $\varphi$ in Subsection 1.3, here for first-order logic we give an interpretation also to formulas containing free variables; so we extend the notation to include interpretations
$$\llbracket x, y \mid \varphi \rrbracket$$
of all formulas. Here it is presupposed that no free variables appear in the formula $\varphi$ except $x$, $y$, but not that $x$, $y$ actually appear. To a sentence $\sigma$ with no free variables, we give $\llbracket \sigma \rrbracket$ as we did before. We also give interpretation $\llbracket \bar{x} \mid t \rrbracket$ to a term $t(\bar{x})$ built up from function symbols, constants and variables.
First-order logic $\xrightarrow{\text{~~~~~~~~~~~~~~}} M$
$$\varphi(x) \xrightarrow{\text{~~~~~~~~~~~~~~}} \llbracket x \mid \varphi \rrbracket \subseteq D$$
The interpretation of a formula $\varphi$ is essentially the subset of the model $M$ defined by $\varphi$:
$$\llbracket \bar{x} \mid \varphi \rrbracket = \{ \bar{a} \in D^n \mid M \models \varphi[\bar{a}] \} \subseteq D^n.$$
That is, the set of individuals satisfying $\varphi$. Then the following properties are easily derived:
$$\llbracket x, y \mid x = y \rrbracket = \{ (a, a) \in D \times D \mid a \in D \},$$
$$\llbracket \bar{x} \mid R(\bar{x}) \rrbracket = R^M,$$
$$\llbracket \bar{x} \mid \varphi \land \psi \rrbracket = \llbracket \bar{x} \mid \varphi \rrbracket \cap \llbracket \bar{x} \mid \psi \rrbracket,$$
$$\llbracket \bar{x} \mid \neg \varphi \rrbracket = D^n - \llbracket \bar{x} \mid \varphi \rrbracket,$$
$$\llbracket \bar{x} \mid \exists y \varphi \rrbracket = \{ \bar{a} \in D^n \mid (\bar{a}, b) \in \llbracket \bar{x}, y \mid \varphi \rrbracket \text{ for some } b \in D \}.$$
These properties could also be used as conditions to define the interpretation recursively, skipping $\models$ altogether. Then we would need to define $\llbracket \bar{x}, y \mid \varphi(\bar{x}) \rrbracket \subseteq D^{n+1}$ also for a formula $\varphi(\bar{x})$ which does not contain the free variable $y$, which can be done simply by
$$\llbracket \bar{x}, y \mid \varphi \rrbracket = \{ (\bar{a}, b) \in D^{n+1} \mid M \models \varphi[\bar{a}] \}$$
$$= \llbracket \bar{x} \mid \varphi \rrbracket \times D.$$
Similarly, when a term $t(\bar{x})$ has $n$ arguments, its interpretation $\llbracket \bar{x} \mid t \rrbracket$ is the function $f : D^n \to D$ recursively defined from $f^M$, $c^M$ in the expected way.
The definition of interpretation of formulas can be naturally extended to the case of \( n = 0 \) for \( D^0 = \{*\} \), any one-element set. That is, while a subset \( \llbracket \bar{x} \mid \varphi \rrbracket \) of \( D^n \) is given for a formula \( \varphi \), the interpretation of a sentence \( \sigma \) is in a similar manner given as a subset \( \llbracket \sigma \rrbracket \) of \( D^0 \) (a “truth value”) as follows.
\[
\llbracket \sigma \rrbracket = \{ * \in D^0 \mid M \models \sigma \} = \begin{cases}
1 = \{*\} = D^0 & \text{if } M \models \sigma, \\
0 = \emptyset \subseteq D^0 & \text{if } M \not\models \sigma.
\end{cases}
\]
Note that as in (1) we then have, for any formula \( \varphi \) with at most \( \bar{x} \) free,
(2)
\[
M \models \varphi \iff \llbracket \bar{x} \mid \varphi \rrbracket = D^n.
\]
Now, in terms of \( \llbracket \cdot \rrbracket \), the usual soundness and completeness of first-order logic are expressed as follows.
**Theorem 3.** Given a language \( \mathcal{L} \) of first-order logic, for any pair of formulas \( \varphi, \psi \) of \( \mathcal{L} \) with at most \( \bar{x} \) free,
\[
\varphi \vdash \psi \iff \text{every interpretation } M \text{ has } \llbracket \bar{x} \mid \varphi \rrbracket \subseteq \llbracket \bar{x} \mid \psi \rrbracket.
\]
In particular,
\[
\vdash \varphi \iff \text{every interpretation } M \text{ has } M \models \varphi.
\]
### 2.2. Interpretation and Mappings
Some of the conditions which recursively define interpretation can be considered in terms of images of mappings. We sum up this fact in this subsection because it will be useful shortly. First let us introduce some notation for images. Given a mapping \( f : X \to Y \) and subsets \( A \subseteq X \) and \( B \subseteq Y \), the direct image of \( A \) and the inverse image of \( B \) under \( f \) shall be written respectively as follows:
\[
f(A) = \{ f(a) \in Y \mid a \in A \},
\]
\[
f^{-1}(B) = \{ a \in X \mid f(a) \in B \}.
\]
Next we define, for each \( n \), the projection \( p_n : D^{n+1} \to D^n \) to be \( (\bar{a}, b) \mapsto \bar{a} \). In particular, \( p_0 : D \to D^0 = \{*\} \) has \( p_0(b) = * \) for all \( b \in D \). Then we have
\[
\llbracket \bar{x} \mid \exists y \varphi \rrbracket = \{ \bar{a} \in D^n \mid (\bar{a}, b) \in \llbracket \bar{x}, y \mid \varphi \rrbracket \text{ for some } b \in D \} = p_n(\llbracket \bar{x}, y \mid \varphi \rrbracket),
\]
\[
\llbracket \bar{x}, y \mid \psi \rrbracket = \llbracket \bar{x} \mid \psi \rrbracket \times D = p_n^{-1}(\llbracket \bar{x} \mid \psi \rrbracket).
\]
For example, \( \llbracket y \mid \varphi \rrbracket \) and its image under the projection \( p_0 \), viz. \( p_0(\llbracket y \mid \varphi \rrbracket) = \llbracket \exists y\varphi \rrbracket \), are in the relation illustrated as follows.
\[
\llbracket y \mid \varphi \rrbracket \neq \emptyset \iff p_0(\llbracket y \mid \varphi \rrbracket) = \llbracket \exists y\varphi \rrbracket = \{*\} \neq \emptyset \\
\iff M \models \varphi[b] \text{ for some } b \in M \iff M \models \exists y\varphi
\]
Also, because in general a mapping \( f : X \to Y \) always has \( f(A) \subseteq B \iff A \subseteq f^{-1}(B) \), we have
\[
\llbracket \bar{x} \mid \exists y\varphi \rrbracket = p_n(\llbracket \bar{x}, y \mid \varphi \rrbracket) \subseteq \llbracket \bar{x} \mid \psi \rrbracket \iff \llbracket \bar{x}, y \mid \varphi \rrbracket \subseteq p_n^{-1}(\llbracket \bar{x} \mid \psi \rrbracket) = \llbracket \bar{x}, y \mid \psi \rrbracket,
\]
which corresponds to the rule \( \exists y\varphi \vdash \psi \iff \varphi \vdash \psi \) of first-order logic. Here the “eigenvariable” condition that \( y \) does not occur freely in \( \psi \) is expressed by \( \llbracket \bar{x} \mid \psi \rrbracket \) making sense.\(^1\)
Moreover, the substitution of terms can also be expressed by inverse images. Given a formula \( \varphi(z) \) and a term \( t(\bar{y}) \), with the obvious notation for substitution one has:
\[
\llbracket \bar{y} \mid \varphi(t(\bar{y})) \rrbracket = \{ \bar{b} \in D^m \mid M \models \varphi(t(\bar{b})) \} \\
= \{ \bar{b} \in D^m \mid \llbracket \bar{y} \mid t \rrbracket(\bar{b}) \in \llbracket z \mid \varphi(z) \rrbracket \} \\
= \llbracket \bar{y} \mid t \rrbracket^{-1}(\llbracket z \mid \varphi(z) \rrbracket).
\]
3. Topological Semantics for First-Order Modal Logic
We now extend the topological semantics reviewed in Subsection 1.3 to first-order logic. To do so, we require the notion of a sheaf over a topological space, which combines the topological semantics of propositional modal logic with the set-valued semantics of first-order logic in Section 2, and gives a very natural semantics for first-order modal logic.
\(^1\)The observation expressed here that the existential quantifier \( \exists \) is left adjoint to inverse image under projection is due to Lawvere [7].
3.1. **Sheaves.** First, recall that a map $f : X \to Y$ of topological spaces is said to be *continuous* if $f^{-1}(V) \subseteq X$ is open in $X$ for every open set $V \subseteq Y$. Moreover, $f$ is called a *homeomorphism* if $f$ has a continuous inverse map $f^{-1} : Y \to X$; and then $X$ and $Y$ are said to be *homeomorphic*. For a homeomorphism $f : X \to Y$, open sets $U = f^{-1}(V)$ of $X$ and $V = f(U)$ of $Y$ also correspond bijectively.
**Definition 1.** A *sheaf* over a topological space $X$ consists of a topological space $F$ and a *local homeomorphism* $\pi : F \to X$, meaning that every point $a$ of $F$ has some neighborhood $U \ni a$ such that $\pi(U)$ is open and the restriction $\pi|_U : U \to \pi(U)$ of $\pi$ to $U$ is a homeomorphism.\(^2\) $F$ is called the *total space*, and $\pi$ is called the *projection* from $F$ to $X$.
Taking a concrete example, $\mathbb{R}$ (with its usual topology) and $\pi : \mathbb{R} \to S^1$ such that $\pi(a) = e^{i2\pi a} = (\cos 2\pi a, \sin 2\pi a)$ form a sheaf over the circle $S^1$ (with the subspace topology in $\mathbb{R}^2$). We may say that $\mathbb{R}$ draws a spiral over $S^1$, so that, for every $a \in \mathbb{R}$, a neighborhood $U$ small enough is homeomorphic to its image $\pi(U)$.
---
\(^2\)The notion of a sheaf is sometimes defined in terms of the notion of a functor, in which case the version used here is called an étale space. The functorial notion is equivalent to the version here (in the category-theoretical sense). This paper only considers sheaves over topological spaces; but the definition using functors enables one to define sheaves more generally over various categories (see e.g. [9] for detail) and obtain more general models of modal logic.
One of the properties of sheaves important for the goal of this paper is that a local homeomorphism $\pi : F \to X$ is not only continuous but is also an open map, which means that $\pi(U) \subseteq X$ is an open subset of $X$ for every open $U \subseteq F$.
It is also important that we can consider sheaves from the following viewpoint. Given a sheaf $\pi : F \to X$, take any point $p$ of $X$ and define the “stalk” $F_p \subseteq F$ at $p$ as follows:
$$F_p = \pi^{-1}(\{p\}).$$
$F_p$ is also called the fiber of $F$ over $p$; it is shown in the figure above to be a single line over $p$. Because fibers do not intersect each other, $F$ is partitioned into fibers, so that the underlying set $|F|$ of the space $F$ can be recovered by taking the disjoint union of all fibers. That is, we can write
$$|F| = \sum_{p \in X} F_p,$$
where $\sum$ indicates that the union is disjoint. By the local homeomorphism condition, each fiber $F_p$ forms a discrete subspace of $F$. In the context of semantics for first-order modal logic, we may think of the fibers as “possible worlds” which “change continuously” over the space $X$.
Let us mention maps of sheaves as well. A map $f$ from a sheaf $(F, \pi_F)$ to another $(G, \pi_G)$ is simply a continuous map $f : F \to G$ such that $\pi_G \circ f = \pi_F$, i.e. such that the following diagram commutes.
$$\begin{array}{ccc}
F & \xrightarrow{f} & G \\
\pi_F \downarrow & & \downarrow \pi_G \\
X & \xrightarrow{\cong} & X
\end{array}$$
Thus $f$ respects the fibers; i.e., the underlying map $f$ can be written as a bundle of maps $f_p : F_p \to G_p$ from fibers to fibers:
$$f = \sum_{p \in X} f_p : \sum_{p \in X} F_p \to \sum_{p \in X} G_p.$$
It is an important fact that maps of sheaves are necessarily also local homeomorphisms, and hence are open maps.
Lastly, for a sheaf $\pi : F \to X$, the diagonal map $\Delta : F \to F \times_X F$ defined to be $a \mapsto (a, a)$ is a map of sheaves, and hence is an open map.\footnote{$F \times_X F$ is the fibered product of the sheaf $F$ over the space $X$. See Appendix A for the definition of products of sheaves.} Therefore, in particular, the image
$$\Delta(F) = \{ (a, a) \in F \times_X F \mid a \in F \} \subseteq F \times_X F$$
of $F$ is an open subset of $F \times_X F$. We note that, for any topological space $F$, if $\pi : F \to X$ is an open continuous map with open diagonal map $\Delta : F \to F \times_X F$, then $\pi : F \to X$ is a sheaf over $X$.
3.2. **Topological Semantics in Terms of Sheaves.** Speaking figuratively, the extension of topological semantics using sheaves corresponds to taking the “product” of topological semantics for propositional modal logic and denotational semantics for first-order logic. The topology, or the “horizontal axis,” on a space $X$ and a sheaf $F$ gives interpretation to the modal operator $\Box$, and each fiber, along the “vertical axis,” plays the role of a “possible world,” a set providing the first-order interpretation.
Consider a language $\mathcal{L}$ gained by adding the modal operator $\Box$ to a language of first-order logic. Here, in defining formulas recursively, the usual conditions coming from first-order logic do not discriminate formulas containing modality from ones not (e.g., in the same way that $(\neg \varphi)[t/z]$, which is gained by substituting the term $t$ for the free variable $z$ in $\neg \varphi$, and $\neg (\varphi[t/z])$, by applying $\neg$ to $\varphi[t/z]$, are the same formula, we identify $(\Box \varphi)[t/z]$ and $\Box (\varphi[t/z])$ as the same formula $\Box \varphi[t/z])$). Then, in a similar manner to Subsection 2.1, we define a structure to interpret formulas of $\mathcal{L}$ as consisting of the following.\footnote{See Appendix A for the definition of products of sheaves.}
- A topological space $X$ and a sheaf $\pi : D \to X$ over it.
- An arbitrary subset $\llbracket R_i \rrbracket \subseteq D^n$ of the fibered product, for each $n$-ary relation symbol $R_i$.
- A map $\llbracket f_j \rrbracket : D^n \to D$ of sheaves, for each $n$-ary function symbol $f_j$.
• A map \( \llbracket c_k \rrbracket : X \to D \) of sheaves from the sheaf \( D^0 = X \), for each constant \( c_k \).
Decomposing this structure into fibers, we can see that, for each point \( p \in X \), the fiber \( D_p \) gets a standard \( L \)-structure
\[
\langle D_p, \llbracket R_i \rrbracket_p, \llbracket f_j \rrbracket_p, \llbracket c_k \rrbracket_p \rangle_{i \in I, j \in J, k \in K}
\]
of first-order logic as we saw in Subsection 2.1. (Here \( \llbracket R_i \rrbracket_p \subseteq D^n_p \), \( \llbracket f_j \rrbracket_p : D^{n_j}_p \to D_p \), \( \llbracket c_k \rrbracket_p \in D_p \).)
So, as for the first-order part of the language, we have a fiberwise denotational interpretation \( \llbracket \cdot \rrbracket_p \), each as in Subsection 2.1. We can extend the interpretation \( \llbracket \cdot \rrbracket \) to all formulas \( \llbracket \bar{x} | \varphi \rrbracket \), first fiberwise as in Subsection 2.1 to get \( \llbracket \bar{x} | \varphi \rrbracket_p \), and then by “summing over \( p \)”:
\[
\llbracket \bar{x} | \varphi \land \psi \rrbracket = \sum_{p \in X} \llbracket \bar{x} | \varphi \land \psi \rrbracket_p \\
= \sum_{p \in X} (\llbracket \bar{x} | \varphi \rrbracket_p \cap \llbracket \bar{x} | \psi \rrbracket_p) \\
= \left( \sum_{p \in X} \llbracket \bar{x} | \varphi \rrbracket_p \right) \cap \left( \sum_{p \in X} \llbracket \bar{x} | \psi \rrbracket_p \right) = \llbracket \bar{x} | \varphi \rrbracket \cap \llbracket \bar{x} | \psi \rrbracket.
\]
Taking a sentence \( \exists y \varphi \) for example, its interpretation is
\[
\llbracket \exists y \varphi \rrbracket = \sum_{p \in X} \llbracket \exists y \varphi \rrbracket_p \cong \{ p \in X \mid \llbracket \exists y \varphi \rrbracket_p \neq \emptyset \} = \pi(\llbracket y | \varphi \rrbracket) \subseteq X.
\]
As can be seen in this example, the interpretation of a sentence \( \sigma \) with no free variables is given as a subset of \( D^0 = X \), the “worlds” \( p \in X \) at which \( \sigma \) is true.
Finally, we of course use the topology of $X$ and $D$ to interpret the modal operator $\Box$, i.e.,
$$\llbracket \bar{x} \mid \Box \varphi \rrbracket = \text{int}_{D^n}(\llbracket \bar{x} \mid \varphi \rrbracket) \subseteq D^n,$$
$$\llbracket \Box \sigma \rrbracket = \text{int}_X(\llbracket \sigma \rrbracket) \subseteq X.$$
Since sentences are interpreted by subsets of $X$, we define in a similar manner to (1) and (2) of Subsections 1.3 and 2.1 as follows.
**Definition 2.** A formula $\varphi$ is *true* in an interpretation $\mathcal{M} = (\pi : D \to X, \llbracket \cdot \rrbracket)$ if $\llbracket x_1, \ldots, x_n \mid \varphi \rrbracket = D^n$; i.e.,
$$\mathcal{M} \models \varphi \iff \llbracket x_1, \ldots, x_n \mid \varphi \rrbracket = D^n.$$
In particular, a sentence $\sigma$ is true if $\llbracket \sigma \rrbracket = X$; i.e.,
$$\mathcal{M} \models \sigma \iff \llbracket \sigma \rrbracket = X.$$
Note that this specification does indeed agree with the “classical” one of McKinsey and Tarski at the level of propositional modal logic.
### 3.3. The System FOS4 of First-Order Modal Logic
The topological semantics given in the previous subsection is a very natural extension of the topological semantics for the system S4 of propositional modal logic to first-order logic, which can be seen from the fact that a system which is sound and complete with respect to it can be gained by simply taking the union of the axioms and rules of first-order logic and S4.
**Definition 3.** System FOS4 consists of the following axioms and rules.
1. All axioms and rules of (classical) first-order logic. In applying schemes, formulas containing the modal operator and ones not are *not* distinguished. Especially in the following
axiom of identity, $\varphi$ may contain the modal operator.
$$x = y \vdash \varphi(x) \rightarrow \varphi(y).$$
2. The rules of S4 propositional modal logic. That is, for any formulas $\varphi$, $\psi$ and for $\top$ as before,
\[
\begin{align*}
\square \varphi & \vdash \varphi \\
\square \varphi & \vdash \square \square \varphi \\
\square \varphi \land \square \psi & \vdash \square (\varphi \land \psi) \\
\top & \vdash \square \top \\
\varphi & \vdash \psi \\
\square \varphi & \vdash \square \psi
\end{align*}
\]
Listing some theorems of FOS4, not only do we have $\square \exists y \square \varphi \vdash \exists y \square \varphi$ but also the following proof is available.
\[
\begin{align*}
\square \varphi & \vdash \exists y \square \varphi \\
\square \square \varphi & \vdash \square \exists y \square \varphi \\
\square \varphi & \vdash \square \exists y \square \varphi \\
\exists y \square \varphi & \vdash \square \exists y \square \varphi
\end{align*}
\]
The last step satisfies the eigenvariable condition that $y$ does not occur freely in the right formula. In terms of the topological interpretation, this means that the image $\llbracket \bar{x} | \exists y \square \varphi \rrbracket$ under $p_n$ of an open set $\llbracket \bar{x}, y | \square \varphi \rrbracket$ is a fixed point of $\text{int}$ (since $\text{int}(\llbracket \bar{x} | \exists y \square \varphi \rrbracket) = \llbracket \bar{x} | \square \exists y \square \varphi \rrbracket = \llbracket \bar{x} | \exists y \square \varphi \rrbracket$), i.e., it is an open set. This tells us that projections $p_n$ need to be open maps in order that the semantics makes FOS4 sound.
Similarly, continuity is required to model substitution so that, for any formula $\varphi(z)$ and term $t(\bar{y})$, we will have the required equality indicated by ! below:
\[
\llbracket \bar{y} | \square \varphi(t(\bar{y})) \rrbracket = \llbracket \bar{y} | \square \varphi[t(\bar{y})/z] \rrbracket
\]
\[
\llbracket \bar{y} | \square (\varphi[t(\bar{y})/z]) \rrbracket = \llbracket \bar{y} | (\square \varphi)[t(\bar{y})/z] \rrbracket
\]
\[
\text{int}(\llbracket \bar{y} | t \rrbracket^{-1}(\llbracket z | \varphi \rrbracket)) = \llbracket \bar{y} | t \rrbracket^{-1}(\text{int}(\llbracket z | \varphi \rrbracket))
\]
Also, by substituting $\Box x = z$ for $\varphi(z)$ in the first-order axiom $x = y \vdash \varphi(x) \rightarrow \varphi(y)$ of identity, we have
$$x = y \vdash \Box x = x \rightarrow \Box x = y,$$
while $\vdash \Box x = x$ is gained by the S4 rule from another axiom of identity, viz. $\vdash x = x$. Therefore $x = y \vdash \Box x = y$ is provable. Thus the diagonal
$$\llbracket x, y \mid x = y \rrbracket = \{ (a, a) \in D \times_X D \mid a \in D \} = \Delta(D) \subseteq D \times_X D,$$
which interprets identity, has to be open, and therefore the diagonal map $\Delta$ has to be an open map. This, together with the necessity of projections being open continuous maps, shows that the soundness of FOS4 for topological semantics actually requires the use of sheaves. Indeed, we have the following.
**Theorem 4.** For any formulas $\varphi$ and $\psi$,
$$FOS4 \text{ proves } \varphi \vdash \psi \implies \llbracket \bar{x} \mid \varphi \rrbracket \subseteq \llbracket \bar{x} \mid \psi \rrbracket \text{ for every topological interpretation } \mathcal{M} = (\pi : D \to X, \llbracket \cdot \rrbracket).$$
Moreover we also have completeness in the strong form of Section 1.
**Theorem 5.** For any (consistent) theory $T$ of $L$ containing FOS4, there exists a topological interpretation $\mathcal{M} = (\pi : D \to X, \llbracket \cdot \rrbracket)$ such that, for any pair of formulas $\varphi$, $\psi$ of $L$ with no free variables except $\bar{x}$, the following holds.
$$\varphi \vdash \psi \text{ is provable in } T \iff \llbracket \bar{x} \mid \varphi \rrbracket \subseteq \llbracket \bar{x} \mid \psi \rrbracket.$$
In particular, for any sentence $\sigma$,
$$T \vdash \sigma \iff \mathcal{M} \models \sigma.$$
**Corollary 2.** For any pair of formulas $\varphi$, $\psi$ of $L$ with no free variables except $\bar{x}$,
$$\llbracket \bar{x} \mid \varphi \rrbracket \subseteq \llbracket \bar{x} \mid \psi \rrbracket \text{ for every topological interpretation } \mathcal{M} \implies FOS4 \text{ proves } \varphi \vdash \psi.$$
Moreover, for any sentence $\sigma$:
$$\llbracket \sigma \rrbracket = X \text{ for every topological interpretation } \mathcal{M} \implies FOS4 \vdash \sigma.$$
The proof of Theorem 5 is beyond the scope of this paper, but we provide a sketch as an appendix for the curious reader.
4. Examples of the Interpretation
To help understand how the combination of topology and quantification works in this semantics, let us take an example of a concrete interpretation.
4.1. Necessary Properties of Individuals. Let us recall the example of a sheaf given in Subsection 3.1, i.e. the infinite helix over the circle with projection $\pi : \mathbb{R}^+ \to S^1$ such that $\pi(a) = (\cos 2\pi a, \sin 2\pi a)$, except that we now take $D = \mathbb{R}^+ = \{ a \in \mathbb{R} \mid 0 < a \}$ the positive reals instead of $\mathbb{R}$. Thus we have a spiral infinitely continuing upward but with an open, downward end at 0; this is also a sheaf. So let $\mathcal{M} = (\pi, \llbracket \cdot \rrbracket)$ interpret the binary relation symbol $\leq$ by the “no-greater-than” relation of real numbers on this sheaf, as follows:
$$\llbracket x, y \mid x \leq y \rrbracket_p = \{ (a, b) \in \mathbb{R}^{+2} \mid a \leq b \text{ and } \pi(a) = \pi(b) = p \}.$$
I.e., in each fiber $\mathbb{R}^+_p$, the order is just the usual one on the reals.
Then consider the truth of the following sentences under this interpretation:
(3) $\exists x \forall y . x \leq y$ “There exists $x$ such that $x$ is the least.”
(4) $\exists x \Box \forall y . x \leq y$ “There exists $x$ such that $x$ is necessarily the least.”
Now $\llbracket x \mid \forall y . x \leq y \rrbracket = \{ a \in \mathbb{R} \mid 0 < a \leq 1 \} = (0, 1]$ is the set of points of $\mathbb{R}^+$ that are the least in their own fibers. Thus we have $\llbracket \exists x \forall y . x \leq y \rrbracket = \pi((0, 1]) = S^1$ and (3) true in $\mathcal{M}$. On the other hand,
$$\llbracket x \mid \Box \forall y . x \leq y \rrbracket = \text{int}(\llbracket x \mid \forall y . x \leq y \rrbracket) = \text{int}((0, 1]) = \{ a \in \mathbb{R} \mid 0 < a < 1 \} = (0, 1).$$
So $\llbracket \exists x \Box \forall y . x \leq y \rrbracket = \pi((0, 1)) = S^1 - \{(1, 0)\} \neq S^1$, i.e., (4) is not true.
In this way, $1 \in \mathbb{R}^+$ is “actually the least” in its fiber (or “possible world”) $\mathbb{R}^+_{(1,0)} = \{1, 2, 3, \ldots\}$, but not “necessarily the least.” Intuitively speaking, 1 is the least in the world $\mathbb{R}^+_{(1,0)}$, but any
neighborhood of this world, no matter how small a one we take, contains some world \(\{\varepsilon, 1 + \varepsilon, 2 + \varepsilon, 3 + \varepsilon, \ldots\}\) for \(\varepsilon > 0\) in which 1 is no longer the least. Note that here we used the notion “1 in worlds near by” for explanation. Even though 1 only exists in \(\mathbb{R}^+_{(1,0)}\), this notion still makes sense because the local homeomorphism property of the sheaf allows us to find an associated point in any other world in a sufficiently small neighborhood.
Finally, note that, because \(\llbracket \exists x \forall y.x \leq y \rrbracket = S^1\), we have \(\llbracket \Box \exists x \forall y.x \leq y \rrbracket = \text{int}(\llbracket \exists x \forall y.x \leq y \rrbracket) = \text{int}(S^1) = S^1\), and so:
\[
\mathcal{M} \models \Box \exists x \forall y.x \leq y,
\]
\[
\mathcal{M} \not\models \exists x \Box \forall y.x \leq y,
\]
whence
\[
\mathcal{M} \not\models \Box \exists x \forall y.x \leq y \rightarrow \exists x \Box \forall y.x \leq y.
\]
I.e., this example provides a counter-model for a so-called “Barcan formula” of the form “\(\Box \exists \rightarrow \exists \Box\).
Also, note that \(\llbracket x, y \mid x \leq y \rrbracket\) is open, since it is the union of the open diagonal \(\llbracket x, y \mid x = y \rrbracket\) and \(\llbracket x, y \mid x < y \rrbracket\), which is open as the restriction of the open half-plain
\[
\{(a,b) \mid a, b \in \mathbb{R} \text{ and } a < b\}
\]
to the fibered product \(\mathbb{R}^{+2}\). Therefore \(\llbracket x, y \mid \Box x \leq y \rrbracket = \text{int}(\llbracket x, y \mid x \leq y \rrbracket) = \llbracket x, y \mid x \leq y \rrbracket\). It follows that \(\llbracket \exists x \forall y.\Box x \leq y \rrbracket = \llbracket \exists x \forall y.x \leq y \rrbracket = S^1\), and so
\[
\mathcal{M} \models \exists x \forall y \Box x \leq y,
\]
\[
\mathcal{M} \not\models \exists x \Box \forall y.x \leq y,
\]
whence
\[
\mathcal{M} \not\models \exists x \forall y \Box x \leq y \rightarrow \exists x \Box \forall y.x \leq y.
\]
I.e., \(\mathcal{M}\) is also a counter-model for the Barcan formula of the form “\(\forall \Box \rightarrow \Box \forall\). (In contrast, “converse Barcan” “\(\Box \forall \rightarrow \forall \Box\)” and “\(\exists \Box \rightarrow \Box \exists\)” are provable in FOS4 in a similar manner to the proof in p. 14, and are valid in the topological semantics.)
### 4.2. Defining functions and names.
In first-order logic, when a structure \(\mathcal{M}\) satisfies \(\forall \bar{x} \exists !y \varphi(\bar{x}, y)\) (“each \(\bar{x}\) has a unique \(y\) such that \(\varphi(\bar{x}, y)\)”) a new function symbol \(f_\varphi\) can be introduced into the language and interpreted in \(\mathcal{M}\) so that \(\mathcal{M} \models \forall \bar{x} \forall y(f_\varphi(\bar{x}) = y \leftrightarrow \varphi(\bar{x}, y))\). Does a corresponding fact hold in FOS4?
Consider the “codiscrete” topological space consisting of two points, i.e. $X = \{p, q\}$, $O(X) = \{X, \emptyset\}$. Moreover, consider the sheaf over $X$ consisting of two copies of $X$, i.e.,
$$D = X \times \{0, 1\} = \{(p, 0), (p, 1), (q, 0), (q, 1)\}, \quad O(D) = \{D, X \times \{0\}, X \times \{1\}, \emptyset\}$$
with $\pi : D \to X$ defined as $(u, i) \mapsto u$. On this sheaf, let us set the interpretation of an $(n + 1)$-ary relation symbol $R$ so that
$$\llbracket \bar{x}, y \mid R(\bar{x}, y) \rrbracket_p = D^n_p \times \{(p, 0)\}, \quad \llbracket \bar{x}, y \mid R(\bar{x}, y) \rrbracket_q = D^n_q \times \{(q, 1)\}.$$
Call the model $\mathcal{M} = (\pi : D \to X, R^{\mathcal{M}})$. It follows for each $u = p, q$, because $\llbracket \bar{x} \mid \exists !yR(\bar{x}, y) \rrbracket_u = D^n_u$, that $\mathcal{M} \models \forall \bar{x}\exists !yR(\bar{x}, y)$.
Then, however, we cannot define a function symbol $f$ satisfying $\mathcal{M} \models \forall \bar{x}\forall y(f(\bar{x}) = y \leftrightarrow R(\bar{x}, y))$, which entails $\mathcal{M} \models \forall \bar{x}\forall y\square(f(\bar{x}) = y \leftrightarrow R(\bar{x}, y))$. This is implied by the fact that $\mathcal{M}$ does not satisfy the consequent of the theorem $\forall \bar{x}\forall y\square(f(\bar{x}) = y \leftrightarrow R(\bar{x}, y)) \vdash \forall \bar{x}\exists !y\square R(\bar{x}, y)$ of FOS4, where $\forall \bar{x}\exists !y\square R(\bar{x}, y)$ is short for $\forall \bar{x}\exists y\forall z(y = z \leftrightarrow \square R(\bar{x}, z))$. The same thing can be expressed in terms of the interpretation as follows. The interpretation $\llbracket f \rrbracket : D^n \to D$ of such $f$ must satisfy
$$\llbracket f \rrbracket(a) = \begin{cases}
(p, 0) & \text{if } a \in D^n_p, \\
(q, 1) & \text{if } a \in D^n_q,
\end{cases}$$
i.e., such $\llbracket f \rrbracket$ yields $\llbracket f \rrbracket^{-1}(X \times \{0\}) = D^n_p \not\in O(D^n)$ for the open subset $X \times \{0\}$ of $D$, which means $\llbracket f \rrbracket$ would not be continuous, and hence not a map of sheaves. The same thing can be said about names with $n = 0$. That is, even when $\mathcal{M} \models \exists !y\varphi(y)$ holds, a name $c$ such that $\mathcal{M} \models \forall y(c = y \leftrightarrow \varphi(y))$ cannot be defined in general. For example, $\mathcal{M}$ in the previous subsection has $\exists !x\forall y.x \leq y$ true, but cannot have a name for such $x$.
On the other hand, not only in this sheaf but in any interpretation $\mathcal{M}$, a function symbol $f_\varphi$ can be defined so that $\mathcal{M} \models \forall \bar{x}\forall y(f_\varphi(\bar{x}) = y \leftrightarrow \square \varphi(\bar{x}, y))$ if $\mathcal{M} \models \forall \bar{x}\exists !y\square \varphi(\bar{x}, y)$. To sum up: In FOS4, a necessary description defines a name, which then has a continuous denotation, whereas a contingent description need not have a corresponding denotation.
5. Historical Remark
Let us compare the topological semantics to other preceding semantics for quantified S4. To prepare ourselves for the comparison, it is very helpful to first review the relation between the following three semantics for propositional S4:
(1) *Kripke semantics* in which possible worlds are preordered (i.e., connected by reflexive and transitive accessibility relation $R$). Propositions are subsets of the possible worlds.
(2) *Topological spaces*. Each point can be considered to be a possible world. Propositions are subsets of the space (as in (1)), and $\Box$ is interpreted by the interior operation $\text{int}$.
(3) *Topological Boolean (or topo-Boolean) algebras*, i.e., Boolean algebras equipped with an operation $\text{int}$ satisfying the S4 rules. Each point $x$ is a proposition, and the relation $x \leq y$ means $x$ implying $y$.
(2) and (3) are both called *topological semantics*. (3) is also sometimes called an *algebraic semantics*. (1) is (properly) subsumed by (2) by taking the Alexandroff (right) topology: let $\{ y \mid xRy \}$ be a basic open set for each world $x$, and generate topology with unions of such basic open sets. (Of course, not every space is of this kind.) (2) is in turn subsumed by (3): The Boolean algebra of subsets of a space with $\text{int}$ forms a topo-Boolean algebra, whereas McKinsey and Tarski [10] showed that any topo-Boolean algebra can occur as a subalgebra of the algebra of a space.\footnote{McKinsey and Tarski [10] showed the dual result for closure algebras.}
Several ideas have been proposed to extend the semantics above to quantified modal logic. One is to extend (3) by completing the algebra, so that it is equipped with arbitrary meet (for $\forall$) and join (for $\exists$). This completion was shown by Rasiowa and Sikorski [11] to give a semantics with respect to which first-order S4 is complete.
Another idea is to extend (1) or (2) by equipping each possible world with a domain of individuals. The current notion of a *Kripke sheaf* derives from early work in topos theory [7, 8], and is defined to be a presheaf over a preorder $(W,R)$ (S4 Kripke frame), viz. a functor from $(W,R)$ to the category $\textbf{Sets}$ of sets. That is, a Kripke sheaf $D$ over an S4 Kripke frame $(W,R)$ assigns a “domain of individuals” $D(x)$ to each world $x \in W$, and functorially provides a mapping $D_{xy} : D(x) \to D(y)$ for each $x,y \in W$ such that $xRy$; then for $a \in D(x)$ we can read $D_{xy}(a)$ to be “$a$ in the world $y$.”\footnote{Such a functorial (presheaf) definition of Kripke sheaves is found e.g. in [13]. Note that $D_{xy}$ need not be an injection, whereas each $D_{xy}$ is an inclusion map in a conventional Kripke frame with a domain of individual.}
Such a fibration of preorders can be equivalently written as follows:\footnote{See Shehtman and Skvortsov [12].} a Kripke sheaf consists of
two S4 Kripke frames \((W, R), (D, \rho)\) and a \(p\)-morphism\(^8\) \(\pi : (D, \rho) \to (W, R)\) satisfying
\[
(*) \quad \pi(a)Rx \implies \exists ! b [a\rho b \land \pi(b) = x].
\]
Then \(\pi^{-1}(x) \subseteq D\) corresponds to \(D(x)\). \(\pi(a)\) is “the world where the individual \(a\) lives,” and \(b\) in \((*)\) is \(D_{\pi(a)x}(a)\). QS4\(^=\) (quantified S4 with equality) is known to be complete with respect to Kripke sheaves (see e.g. [12]).
The topological semantics of this paper is the extension of (2) analogous to Kripke sheaves extending (1). In other words, the relation between (1) and (2) is preserved in the relation between Kripke sheaves and topological semantics: any Kripke sheaf \(\pi : (D, \rho) \to (W, R)\) becomes a local homeomorphism by taking the Alexandroff topology both at \((W, R)\) and at \((D, \rho)\).\(^9\) More precisely, indeed, the category of Kripke sheaves over a preorder \(P\) and monotone maps respecting fibers is exactly the topos of all sheaves over the space \(P\) with the Alexandroff topology. The approach of this paper also extends the Kripke-sheaf approach by extending the interpretation to functions and names, which have been ignored in the existing semantics in terms of Kripke sheaves;\(^{10}\) hence the semantics is for first-order, but not just quantified, modal logic.
It is well known that local homeomorphisms over a topological space (as in (2)) are categorically equivalent to functorial sheaves over a space considered as a complete Heyting algebra (similarly to (3)), i.e. functors from the algebra to Sets satisfying certain conditions. By virtue of this fact,
---
\(^8\)A map \(\pi : (D, \rho) \to (W, R)\) of Kripke frames is called a \(p\)-morphism when
\[
a\rho b \implies \pi(a)R\pi(b),
\]
and
\[
\pi(a)Rx \implies \exists b [a\rho b \land \pi(b) = x].
\]
are satisfied.
\(^9\)The parallelism is even deeper than mentioned here. With the condition \((*)\) dropped, any \(p\)-morphism \(\pi : (D, \rho) \to (W, R)\) is called a Kripke bundle (see [12]). If semantics includes not only Kripke sheaves but also Kripke bundles, the substitution of terms is lost. In parallel to this, the substitution is lost if topological semantics includes not only sheaves (local homeomorphisms) but also bundles in general (any open continuous maps or any continuous maps).
\(^{10}\)In the Kripke framework, Dragalin’s [3] semantics dealt with functions and names, but for intuitionistic first-order logic. This logic does not require the general sheaf structure (which FOS4 or even QS4\(^=\) does); instead Dragalin used Kripke frames with increasing domains (with which FOS4 and QS4\(^=\) are incomplete). In such a semantics, the identity of individuals across worlds is given, or in other words, we need not (and Dragalin did not) make explicit the fact that functions and names have to be interpreted by maps of sheaves or monotone maps.
the semantics of this paper in terms of local homeomorphisms can also be formulated as algebraic semantics in terms of functorial sheaves, as briefly reviewed shortly in Subsection 6.
Historically, extending (3) by functorial sheaves is already suggested in [12].\footnote{[12], pp. 109f. There is no mention of what logic is given by the extension.} Also, Hilken and Rydeheard [5] formulated the sheaf extension of (2), and stated its completeness as an open problem. The completeness of first-order S4 with respect to the topological semantics is first shown by the authors of this paper [1], but in the strong form of Theorem 5, i.e., the existence of a canonical model for \textit{every} theory containing FOS4.
One conceptual difference between the local-homeomorphism formulation and the functorial one is that, in the former, $\Box$ is interpreted by topological interior, as it was originally in McKinsey and Tarski [10]. In this sense, the local-homeomorphism semantics can be properly called \textit{the} extension of McKinsey and Tarski’s topological semantics. In the same way that (2) connects the three approaches (1)—(3), the topological semantics of this paper (extending (2)) subsumes Kripke sheaf semantics (the extension of (1)) on one hand, and can be seen to categorically subsume the algebraic topological semantics ([11], extending (3)) on the other hand,\footnote{See [4] for how such subsumption can be formulated.} thereby giving unification to these three approaches to first-order modal logic.
6. Background and Prospects
The topological interpretation of this paper was originally formulated in terms of category and topos theory; this paper has served to reformulate it purely in terms of elementary (point-set) topology. In the original expression, we consider the geometric morphism from the topos $\textbf{Sets}/|X|$ of sets indexed over a set $|X|$ to the topos $\text{Sh}(X)$ of sheaves over a topological space $X$ induced by the (continuous) identity map $\text{id}: |X| \to X$. The modal operator $\Box$ is interpreted by the interior operation $\text{int}$ that the comonad $\text{id}^* \circ \text{id}_*$ induces on the Boolean algebra $\text{Sub}_{\textbf{Sets}/|X|}(\text{id}^*F) \cong \mathcal{P}(F)$ of subsets of $F$. See [2] for more detail, where the equivalence between this formulation and the one in this paper is also shown.
\[
\begin{array}{c}
\text{id}^* \circ \text{id}_* \subset \textbf{Sets}/|X| \\
\downarrow \\
\text{id}^* \perp \text{id}_*
\end{array}
\quad
\begin{array}{c}
\text{int} A \xrightarrow{\text{id}^* \eta_F} \text{id}^* \text{id}_* A \\
\downarrow \\
\text{id}^* F
\end{array}
\]
Although the topological formulation presented here is more elementary and perspicuous, the topos-theoretic one is more useful for generalizations. For example, we see from it that any geometric morphism of toposes (not just $\text{id}^* \dashv \text{id}_*$) induces a modality on its domain. This immediately suggests natural models for intuitionistic modal logic, typed modal logic, and higher-order modal logic.
**Appendix A. Products of Sheaves**
Here we review the standard definition of (fibered) products of sheaves (cf. [9]). We first need to recall some basic definitions in general topology.
Given finitely many topological spaces $X_1, \ldots, X_n$, we can introduce a topology on the cartesian product $X_1 \times \cdots \times X_n$ by declaring products
$$U_1 \times \cdots \times U_n \subseteq X_1 \times \cdots \times X_n$$
of open sets $U_1 \subseteq X_1, \ldots, U_n \subseteq X_n$ to be basic open sets, and thereby defining the union of any number of those basic open sets to be an open set. This topology is called the *product topology*.
Given a topological space $(X, O(X))$ and any subset $S \subseteq X$, we can define another topological space $(S, O(S))$, called a *subspace* of $(X, O(X))$ by setting:
$$O(S) = \{ U \cap S \mid U \in O(X) \}.$$
Now let us define the product of sheaves. The product of sheaves $\pi_F : F \to X$ and $\pi_G : G \to X$ is in general not the product space $F \times G$ of topological spaces $F$ and $G$; instead we take the product “over $X$,” written $F \times_X G$. In the same way that the underlying set of a sheaf is a bundle of fibers, the underlying set of a product of sheaves is given as a bundle of products of fibers. Thus, given
$$|F| = \sum_{p \in X} F_p \quad \text{and} \quad |G| = \sum_{p \in X} G_p,$$
we set
$$|F \times_X G| = \sum_{p \in X} (F_p \times G_p) = \{ (a, b) \in F \times G \mid \pi_F(a) = \pi_G(b) \}.$$
This is called a *fibered product*. Since this set $|F \times_X G|$ is a subset of $F \times G$, we can then define the topology on $F \times_X G$ to be the subspace topology of the product topology on $F \times G$.
The projection $\pi : F \times_X G \to X$ (i.e., from the total space to the base space) maps $(a, b) \in F_p \times G_p$ to $p$. One can show that this projection $\pi : F \times_X G \to X$ is a local homeomorphism if both $\pi_F$ and
$\pi_G$ are. We can also consider the projections $p_F : F \times_X G \to F$ and $p_G : F \times_X G \to G$ (from the product to the components), which map $(a, b) \in F_p \times G_p$ to $a \in F_p$ and $b \in G_p$ respectively. Then of course $\pi = \pi_F \circ p_F = \pi_G \circ p_G$. In sum, schematically, we have the situation:
\[
\begin{array}{c}
F \times_X G \xrightarrow{p_G} G \\
\downarrow p_F \\
F \xrightarrow{\pi_F} X
\end{array}
\quad =
\quad
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F_p \times G_p \xrightarrow{p_{G_p}} G_p \\
\downarrow p_{F_p} \\
F_p \xrightarrow{} \{p\}
\end{array}
\quad +
\quad
\begin{array}{c}
F_q \times G_q \xrightarrow{p_{G_q}} G_q \\
\downarrow p_{F_q} \\
F_q \xrightarrow{} \{q\}
\end{array}
\quad + \cdots
\]
The $n$-fold product $F \times_X \cdots \times_X F$ of a sheaf $\pi : F \to X$ over $X$ is written $\pi^n : F^n \to X$. We write $F^n_p$ for the fiber $(F^n)_p = (F_p)^n$. When $n = 0$, $F^0$ is $X$ itself, because the 0-fold product of each fiber $F_p$ of $F$ is a singleton $F^0_p = \{* \}$:
\[ F^0 = \sum_{p \in X} \{* \} \cong \sum_{p \in X} \{p\} = X. \]
Hence the projection $\pi^0 : F^0 \to X$ is the identity map.
**Appendix B. Sketch of a Completeness Proof**
Here we sketch a proof for Theorem 5, viz. the completeness of FOS4 with respect to the topological semantics. See [1] for the details.
**Theorem 5.** For any (consistent) theory $\mathbb{T}$ in a first-order language $\mathcal{L}$ and containing FOS4, there exists a topological interpretation $\mathfrak{M} = (\pi : D \to X, \llbracket \cdot \rrbracket)$ such that any pair of formulas $\varphi, \psi$ of $\mathcal{L}$ with no free variables except $\bar{x}$ satisfies the following:
\[ \varphi \vdash \psi \text{ is provable in } \mathbb{T} \iff \llbracket \bar{x} \mid \varphi \rrbracket \subseteq \llbracket \bar{x} \mid \psi \rrbracket. \]
To sketch our proof, it is illuminating to first review a proof for the topological completeness of propositional S4, because our proof extends the essential idea of that case.
**Theorem 2.** For any (consistent) theory $\mathbb{T}$ in a propositional language $\mathcal{L}$ and containing S4, there exists a topological interpretation $(X, \llbracket \cdot \rrbracket)$ such that any pair of sentences $\varphi, \psi$ of $\mathcal{L}$ satisfies the following:
\[ \varphi \vdash \psi \text{ is provable in } \mathbb{T} \iff \llbracket \varphi \rrbracket \subseteq \llbracket \psi \rrbracket. \]
Proof of Theorem 2 (sketch). Consider the Lindenbaum algebra $B$ of $\mathbb{T}$, which is a Boolean algebra equipped with the operation $b : [\varphi] \mapsto [\Box \varphi]$. Next, take the set $U$ of ultrafilters in $B$ and the Stone representation $\widehat{\cdot} : B \to \mathcal{P}(U)$. That is,
$$\widehat{[\varphi]} = \{ u \in U \mid [\varphi] \in u \}.$$
The map $\widehat{\cdot}$ is an injective Boolean homomorphism. Next, topologize $U$ with basic open sets $\widehat{[\Box \varphi]}$ for all formulas $\varphi$. Then $\text{int}([\varphi]) = \widehat{[\Box \varphi]}$ for the interior operation $\text{int}$ of this topology.
Finally, give an interpretation in $U$ to a sentence $\varphi$ by $\llbracket \varphi \rrbracket = \widehat{[\varphi]}$; this is then a topological interpretation for which we have the following:
$$\varphi \vdash \psi \text{ is provable in } \mathbb{T} \iff [\varphi] \leq [\psi] \iff \llbracket \varphi \rrbracket \subseteq \llbracket \psi \rrbracket.$$
Note that the topology defined in the proof above coincides with the usual Stone space topology on $U$ if $\Box$ is trivial, i.e. $\varphi \nvdash \Box \varphi$.
More importantly, we should note that each ultrafilter $u$ in $B$ can be considered a model of $\mathbb{T}$, i.e. $u \models \varphi$ if $\mathbb{T} \vdash \varphi$, where we write $u \models \varphi$ to mean $[\varphi] \in u$. In other words, the essential idea of the proof above is to take the collection of all (propositional) models of $\mathbb{T}$ and give it the topology with basic open sets defined by extensions of all $\Box \varphi$.
Now, given any consistent theory $\mathbb{T}$ in a first-order modal language $\mathcal{L}$, our proof extends this key idea by first taking a sufficiently large set $\mathcal{M}_0$ of first-order models of $\mathbb{T}$ in the following way. Consider the non-modal first-order language
$$\overline{\mathcal{L}} = \mathcal{L} \cup \{ \Box \varphi \mid \varphi \text{ is a formula of } \mathcal{L} \}$$
given by adding to $\mathcal{L}$ an $n$-ary basic relation symbol $\Box \varphi$ for each formula $\varphi$ of $\mathcal{L}$ with exactly $n$ free variables. Then Gödel’s completeness theorem for first-order logic yields a class $\mathcal{M} \neq \emptyset$ of structures $M$ for $\overline{\mathcal{L}}$ such that, for any formula $\varphi$,
$$\mathbb{T} \vdash \varphi \iff M \models \varphi \text{ for all } M \in \mathcal{M}.$$
While $M$ may be too large to be a set, the Löwenheim-Skolem theorem implies that there is a cardinal number $\lambda$ such that the set $\mathcal{M}_0 = \{ M \in M | ||M|| \leq \lambda \}$ still satisfies
$$T \vdash \varphi \iff M \models \varphi \text{ for all } M \in \mathcal{M}_0.$$
This $\mathcal{M}_0$, equipped with a projection $\pi : \sum_{M \in \mathcal{M}_0} |M| \to \mathcal{M}_0$ for $|M|$ the domains of models $M$, is our first approximation to the topological interpretation of $T$ required in Theorem 5.
$\mathcal{M}_0$, unfortunately, cannot in general be topologized so that $\pi$ is a sheaf in the required way. To secure the necessary sheaf condition, we need to “label” $\mathcal{M}_0$ so that every $a \in \sum_{M \in \mathcal{M}_0} |M|$ has a name in the language. So, let us extend the language $L$ to
$$L^* = L \cup \{ c_i | i < \lambda \}$$
by adding $\lambda$-many new constant symbols. Then consider the following collection of structures for $L^*$:
$$\mathcal{M} = \{ M_f | M \in \mathcal{M}_0 \text{ and } f : \lambda \to |M| \text{ is a surjection } \},$$
where $M_f$ is the expansion of $M$ to $L^*$ with $c_i^{M_f} = f(i)$ for all $i < \lambda$. We then have the following result for the theory $T^*$ of $\mathcal{M}$: for every formula $\varphi$ of $L$,
$$T \vdash \varphi \iff T^* \vdash \varphi \iff M_f \models \varphi \text{ for each } M_f \in \mathcal{M}.$$
We can then show that, if we topologize $\mathcal{M}$ and $\sum_{M \in \mathcal{M}} |M|$ with the extensions of $\Box$ formulas as basic open sets, then $\pi : \sum_{M \in \mathcal{M}} |M| \to \mathcal{M}$ is a sheaf, and indeed is a topological interpretation as claimed in Theorem 5.
**References**
[1] S. Awodey and K. Kishida, “Topological Completeness for First-Order Modal Logic,” in preparation.
[2] S. Awodey and K. Kishida, “Modal Logic of Geometric Morphisms,” in preparation.
[3] A. G. Dragalin, *Mathematical Intuitionism: Introduction to Proof Theory*, Nauka: Moscow, 1979 (in Russian); English translation by E. Mendelson, AMS, 1988.
[4] M. P. Fourman and D. S. Scott, “Sheaves and Logic,” in M. P. Fourman, C. J. Mulvey, and D. S. Scott, eds., *Applications of Sheaves: Proceedings of the Research Symposium on Applications of Sheaf Theory to Logic, Algebra, and Analysis, Durham, July 9–21, 1977*, Springer-Verlag, 1979, pp. 302–401.
[5] B. Hilken and D. Rydeheard, “A First Order Modal Logic and Its Sheaf Models,” in M. Fairtlough, M. Mendler, and E. Moggi, eds., *FLoC Satellite Workshop on Intuitionistic Modal Logics and Applications (IMLA’99)*, Trento, Italy, July 1999.
[6] K. Kishida, “Topological Semantics for First-Order Modal Logic,” M.Sc. Thesis, Carnegie Mellon University, 2007.
[7] F. W. Lawvere, “Adjointness in Foundations,” *Dialectica* **23** (1969), 281–96; reprinted in *Reprints in Theory and Applications of Categories* **16** (2006), 1–16.
[8] ———, “Quantifiers and Sheaves,” *Actes, Congrès intern. math.* **1** (1970), 329–34.
[9] S. Mac Lane and I. Moerdijk, *Sheaves in Geometry and Logic: A First Introduction to Topos Theory*, Springer-Verlag New York: New York, 1992.
[10] J. C. C. McKinsey and A. Tarski, “The Algebra of Topology,” *Annals of Mathematics* **45** (1944), 141–91.
[11] H. Rasiowa and R. Sikorski, *The Mathematics of Metamathematics*, Warsaw, 1963.
[12] V. Shehtman and D. Skvortsov, “Semantics of Non-Classical First-Order Predicate Logics,” in P. P. Petkov, *Mathematical Logic*, Plenum Press, 1990, 105–16.
[13] N.-Y. Suzuki, “Algebraic Kripke Sheaf Semantics for Non-Classical Predicate Logics,” *Studia Logica* **63** (1999), 387–416.
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Re-Fashioning the Architectonics of Gender
Lucas Crawford University of Alberta
T T T brings to mind a veritable catwalk of positive connotations: its potential as a complex "care of the self" (Foucault ); its gender-fucking possibilities;¹ its gay-infused industries; and its role in questioning conventions of embodiment and consumption (via meat dresses,² fetish wear, size thirty-two miniskirts and beyond). Fashion could even function in what Deleuze considers a Baroque mode—to fold ourselves into "the thousand folds of garments that tend to becomes one with their respective wearers, to exceed their attitudes, to overcome their bodily contradictions, and to make their heads look like those of swimmers bobbing in the waves" ()—to provide texture, depth, and infi nite folds to our unfortunately fl at designs and interpretations of bodies. However, a parade of less fl attering conceptions of fashion trots on: the often classist
For a theoretical account of why "vests" and other clothes are so central to our culture's rhetoric of gender crossing, see Marjorie Garber's Vested Interests: Cross-Dressing and Cultural Anxiety. For a more direct illustration, see " e Suit" in Loren Cameron's Body Alchemy: Transsexual Portraits.
See, for instance, Jana Sterbak's "Vanitas: Flesh Dress for an Albino Anorectic," or, for a more fashionable version, see New York architects Diller Scofi dio + Renfro's entry for the "Miss Meatpacking District."
and slender couture both haute and hipster; the questionable labour conditions through which our fashions are stitched and shipped; and fashion's role in state-sanctioned violence—perhaps most famously, Hugo Boss'd part in designing Nazi uniforms in the s.³
In response, I consider one example of a very fashionable norm: the simple men's white dress shirt. In his book White Walls, Designer Dresses: e Fashioning of Modern Architecture, Mark Wigley shows that the early modernist trend of whitewashed buildings collaborated with new formal fashion trends in a problematic project of spatial "purity" (xvi)—one that staged itself as a return to eternal design standards and confi gured all else as "degenerate" (), a "disease" (), mere "ornament" (), and a "crime" () in Adolf Loos's words from . Infl uential modernist architect and writer Le Corbusier concurs in his whitewash manifesto: to him, whitewash is "extremely moral" () and therefore leads from architectural cleanliness to moral cleanliness (). He goes as far as to suggest that modern society "demand[s] of us that we think with a background of white" () and that the ostensibly leftover ornament of nineteenthcentury architecture ought to be expelled by human society like shit. As
To move beyond this impasse of affi rmative or disparaging conceptions of fashion, this article focuses on one discursive circulation of "fashion"—a rather falsely consolidated concept, to be sure. Reconsidering the discursive circulation of fashion means, for me, responding to the many times I've been told that being transgender or doing transgender studies is "where it's at," "sexy," or even "so trendy" (Namaste ). Readers can judge sexiness for themselves of course—but these constant charges/ compliments of fashionability demand a question: how does the seemingly neutral fi gure of fashion in fact operate as shorthand for suspicious judgments about ) non-normative bodies and ) the temporal modes with which these often "changing" bodies become associated? Put simpler: Why do only some bodies, identities, and fi elds of study appear to be fashioned —even to represent fl agrant fashion itself —when all are? In "Dress to Kill, Fight to Win," trans scholar Dean Spade has a seemingly simple answer: because "norms always masquerade as non-choices," he suggests, the symbolic burden of "fashion" is placed on those whose choices appear to be the weird ones. How can we make clear, then, that "timeless" fashions —that is, norms—are not merely fashioned but are also the most fashionable things around?
See "Hugo Boss Acknowledges Link to Nazi Regime" in e New York Times, August . Of course, Boss was far from alone on this count; Siegfried Boss claims that "the whole [fashion] industry worked for the Nazi Army."
|
L C C is a Trudeau Scholar at the University of Alberta. Lucas's academic and nonfi ction work appears in or is forthcoming from Women's Studies Quarterly, e Journal of Gender Studies, e Seattle Journal for Social Justice, Saveur, Meatpaper, Culture, Vue Weekly, Edmonton Journal, Outlooks, and several edited collections.
Le Corbusier puts it: "[W]hen we eat, nature knows well how to rid us of what has served its purpose" (). Wigley points out that in this specifi c modernist discourse, "[T]he white garment purifi es an age, cleaning away the detritus of the past to open up a new future" (). At this moment, then, the long life of fl at white fashions⁴ was expunged in order to operate as "the very fi gure of the rejection of fashion" (xxiv)—to fulfi ll "the modernist dream of the self-eff acing archive" (O'Driscoll ).
First, it's worth remembering that in order to establish their new architectural fashions as timeless and anti-fashion, Loos and Le Corbusier had to devalue all bodies and buildings that they could easily associate with transience, superfi ciality, and fi ckle change. As Wigley and others report, femininity, women, and any hint of queerness each came to be associated with the passé ornamentation of the nineteenth century.⁵ We might,
By calling in seemingly eternal narratives of nature, evolution, and morality, Loos and Le Corbusier both call on the white surface to do the dirty work of defi ning new modernist styles as timeless, natural, and antifashion. is may seem innocuous enough, but even holding the racial logics of this white purity momentarily aside, there is something suspect in this image of purely functional bodies cleansed of their ornate pasts. As Wigley suggests, Le Corbusier's imperative for whitewash is not just an attempt to cleanse architecture but also an attempt to cleanse the viewing of aesthetics objects and bodies. Where previously the mutable "surface of a person's clothes" was their body, the ubiquity of white surfaces was meant to "open … up a gap between the body and its clothes" (), turning clothes into a fl at screen between body and world. Wigley reminds us that Le Corbusier even equates the misuse of colour in architecture and design to being unable to "resist dangerous caresses," while white supposedly functions as a "sedative" (). In response to Le Corbusier's attempted de-sensualizing of the modernist body, this microhistory of this discourse off ers us two cautionary legacies about the status of "fashion" for trans/gender.
ank you to Nicola Nixon for reminding me of some of the earlier and queerer moments of the history of these white garments, including the fi nely-pressed shirts of aesthetes, dandies, and fops.
As Wigley puts it, the "'feminine,' domains of 'ornament,' 'accessories,' 'interior decoration,' 'Art Nouveau,' 'architect's partner,' 'homosexual,' [and] 'woman'" can not be "securely ghettoized [sic]" (xxv) by architectural historians and are therefore cast out of the discourse. For an analysis of the hyper-masculine stereotype of the fi gure of the architect, see Joel Sanders's introduction to his edited volume, : Architectures of Masculinity. For an account of these normatively masculine defi nitions of architecture in contemporary Canadian
|
therefore, do well to do a second take when we hear claims to timeless, plain, and neutral style. e rhetorical possibility of such a thing exists only through recourse to an unmarked norm that dissimulates its status as a fashion. If often these kinds of claims rely precisely on unspoken denotations of less normative categories as the only fashioned or fashionable ones, we see how holding one's own fashion up as natural or even "tried and true" can implicate other bodies.
We might hope, in this light, to fi nd that transgender studies might be the well-dressed best place for more thoughtful treatments of the trope of fashion and temporalities. While this is sometimes the case,⁷ many popular conceptions of transgender provide the same old story. For Leslie Feinberg, for instance, "[I]t must be remembered that trans people have always existed" () – are anything but the latest fashion; others call transgender t a "trendy signifi er" (Towle and Morgan ) while Namaste levels it more clearly as an insult, distinguishing between the "highly unglamorous work" () of activism versus what she regards as the fashionable and fl ippant work of humanities- or arts-infl ected genderqueer culture. To encourage new "fashions" of gender, this short off ering ends with three questions:
Secondly, if white was "established as the very fi gure of the rejection of fashion" (Wigley xxiv) because it was positioned as a return to original, eternal modes of building and dress, then the sustained fashion of the white shirt takes the same narrative form as the "retroactive installment" () of identity that Butler critiques. She insists that only through our cultural notions of gender does the idea of an original pre-gender and pre-linguistic concept of "sex" exist.⁶ On a diff erent register, then, it is worth examining the extent to which dissimulating the citational and fashionable characteristics of one's dress is to not just follow the temporal and narrative pattern of normative gender but, moreover, is to reproduce its powerful invisibility.
and Quebecois practice, see Annmarie Adams and Peta Tancred's "Designing Women": Gender and the Architectural Profession.
See Susan Stryker's essay "Dungeon Intimacies: e Poetics of Transsexual Sadomasochism" for both a Bergson-inspired account of the temporality of trans embodiment and practice and also a disruption to some charges of trans "fashionability."
In his analysis of Butler, Michael O'Driscoll attends to the disservice done both to gender and to the fi gure of "the archive" when we "eradicate [the] process of materialization—from either the standpoint of a crude materialism or a radical constructivism" (): that is, we "deny critical access to those eff ects that are the workings of power" () when we dissimulate the archive of fashion statements from which we draw.
|
What do we have at stake when we reject—or valorize—a body or fi eld of study through its designation as fashionable, unfashionable, or as antifashion? How is gender normativity shored up through banal moments of proud or absent-minded unfashionability and even anti-fashionability? More precisely, if Butler's mutual redefi nitions of gender as a "social temporality" and a "stylized repetition of acts" ("Bodily Acts" ) have been misunderstood as arguments for free-wheeling daily gender creation, is this perhaps because we have so few ways of thinking about style and the ideas about time and change that underpin it?
Works Cited
Adams, Annmarie and Peta Tancred. "Designing Women": Gender and the Architectural Profession. Toronto: University of Toronto Press, .
Butler, Judith. "Bodily Inscriptions, Performative Subversions" (). e Judith Butler Reader. Ed. Sara Salih. Toronto: Wiley-Blackwell, . –.
———. Bodies at Matter: On e Discursive Limits of Sex. New York: Routledge, .
Cameron, Loren. Body Alchemy: Transsexual Portraits. Berkeley: Cleis Press, .
Case, Sue-Ellen. "Toward a Butch-Feminist Retro-Future." Queer Frontiers: Millennial Geographies, Genders and Generations. Ed. J.A. Boone. Madison: University of Wisconsin Press, . –.
Deleuze, Gilles. e Fold: Leibniz and the Baroque. Trans. Tom Conley. ; Minneapolis: University of Minnesota Press, .
Diller, Elizabeth, Ricardo Scofi dio and Charles Renfro. "Meat Dress" (). Diller Scofi dio + Renfro. n.d. Web. July .
Feinberg, Leslie. Transgender Warriors: Making History from Joan of Arc to RuPaul. Boston: Beacon Press, .
Foucault, Michel. e History of Sexuality, Volume : e Care of the Self. f Trans. Robert Hurley. New York: Vintage, .
Garber, Marjorie. Vested Interests: Cross-Dressing and Cultural Anxiety. New York: Routledge, .
Le Corbusier. e Decorative Art of Today (). Trans. James I. Dunnett. London: e Architectural Press, .
|
Loos, Adolf. "Ornament and Crime" (). Programs and Manifestoes on Twentieth-Century Architecture. Ed. Ulrich Conrads. Cambridge: Press, . -.
Namaste, Viviane. Sex Change, Social Change: Refl ections on Identity, Institutions, and Imperialism. Toronto: Women's Press, .
O'Driscoll, Michael J. "Derrida, Foucault, and the Archiviolithics of eory." After Poststructuralism: Writing the Intellectual History of eory. Eds. O'Driscoll and Tilottama Rajan. Toronto: University of Toronto Press, .
Sanders, Joel, ed. : Architectures of Masculinity. New York: Princeton Architectural Press, .
Spade, Dean. "Dress to Kill, Fight to Win." (): .
Sterbak, Jana. "Vanitas: Flesh Dress for an Albino Anorectic" (). Jana Sterbak. n.d. Web. July .
Stryker, Susan. "Dungeon Intimacies: e Poetics of Transsexual Sadomasochism." Parallax . (): –.
Towle, Evan B., and Lynn M. Morgan. "Romancing the Transgender Native: Rethinking the Use of the ' ird Gender' Concept." e Transgender Studies Reader. Eds. Susan Stryker and Stephen Whittle. New York: Routledge, . –.
Wigley, Mark. White Walls, Designer Dresses: e Fashioning of Modern Architecture. Cambridge: Press, .
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TIKKURILA
BETOLUX
SOLVENT-BORNE FLOOR PAINT / GLOSS
DESCRIPTION
Urethane alkyd paint.
RECOMMENDED USES
Concrete and wooden floors and stairs in residential, commercial and storage premises. Suitable for floors subjected to light mechanical and chemical stress.
PRODUCT FEATURES
For interior painting of concrete and wooden floors. Also suitable for the maintenance painting of floors previously treated with an alkyd or epoxy paint or lacquer.
The above information is not intended to be exhaustive or complete. The information is based on laboratory tests and practical experience, and it is given to the best of our knowledge. The quality of the product is ensured by our operational system, based on the requirements of ISO 9001 and ISO 14001. As manufacturer we cannot control the conditions under which the product is being used or the many factors that have an effect on the use and application of the product. We disclaim liability for any damages caused by using the product against our instructions or for inappropriate purposes. We reserve the right to change the given information unilaterally without notice.
## BETOLUX
### TECHNICAL DATA
| Property | Details |
|---------------------------------|-------------------------------------------------------------------------|
| **Base paints** | A BASE, C BASE |
| **Colour Shades** | Color cards: Feel the Color, Feel the Color 2020. Symphony color system Can be tinted in large part of Tikkurila colors. |
| **Gloss** | Gloss. |
| **Coverage** | Concrete floors 7–9 m²/l. Wood surfaces 9–11 m²/l. |
| **Can sizes** | A BASE: 0.9 l, 2.7 l, 9 l, 18 l
C BASE: 0.9 l, 2.7 l, 9 l, 18 l |
| **Application method** | Brush, roller or spray. |
| **Drying time** | Dust dry in 3–4 hours. Recoatable after approx. 24 hours. Dry to use after approx. one week. Hardens completely and reaches its final durability in approx. one month. |
| **Density (kg/l)** | approx. 1.0 –1.2 kg/l, ISO 2811 |
| **Chemical resistance** | Good resistance to greases. Resistant to white spirit and denatured alcohol. Not resistant to strong solvents such as thinner. |
| **Wash resistance** | Good, SFS 3755. |
| **Heat resistance** | 120°C, light colors turn yellow in high temperatures, SFS 3757. |
| **Volume solids (%)** | 50 |
| **VOC** | (cat A/i) 500g/l (2010). Betolux contains VOC max. 500 g/l. |
| **Storage** | Unaffected by cold storage or transportation. |
The above information is not intended to be exhaustive or complete. The information is based on laboratory tests and practical experience, and it is given to the best of our knowledge. The quality of the product is ensured by our operational system, based on the requirements of ISO 9001 and ISO 14001. As manufacturer we cannot control the conditions under which the product is being used or the many factors that have an effect on the use and application of the product. We disclaim liability for any damages caused by using the product against our instructions or for inappropriate purposes. We reserve the right to change the given information unilaterally without notice.
BETOLUX
APPLICATION INSTRUCTIONS
Application conditions
The concrete surface must be dry and at least 4 weeks old. The relative humidity of the concrete should not exceed 97%. During treatment and drying, the temperature of the air, surface and paint must be over +5°C and the relative humidity of the air below 80%.
Surface preparation
Unpainted floor:
Concrete floors: Remove the laitance with a grinding machine. Remove the sanding dust.
Wooden floors: Remove all dirt, dust, grease and oil.
Previously painted floor:
Wash with Maalipesu cleaning agent and rinse carefully with water. Allow to dry. Remove old, loose paint. Sand the surfaces thoroughly and remove the sanding dust.
Application
First application:
Stir the paint well before use. Apply two coats with a brush, a roller or a spray gun. Thin 20–25% with White Spirit 1050 for the first coat. Recoatable after 24 hours with unthinned or slightly thinned paint.
Maintenance painting:
Surfaces previously painted with Betolux floor paint can be maintenance painted with Betolux or Betolux Akva floor paint. See Pretreatment: Previously painted floor.
Roughening:
Reduce the slipperiness of the painted surface by adding one 1/3 l container of Liukueste non-slip powder to 10 liters of unthinned Betolux paint. It is sufficient to stir by hand. The roughened paint should be used for the final two coats.
Apply the “non-slip” paint to the entire floor area or parts of it marked off with masking tape. With stairs, for example, you can add an anti-slip strip to the outer edge of each step.
Cleaning of tools
Clean tools with White Spirit 1050 or Tikkurila Pensselipesu (Tool Cleaner).
Maintenance instructions
The painted surface will reach its final wear and chemical resistance approx. 1 month after the surface treatment. Avoid cleaning during this time. Clean the surface with a brush, a mop or a dust cloth. Dirty surfaces can be cleaned with a cleaning tool and a neutral (pH 6–8) washing solution.
Maintenance treatment
Surfaces previously painted with Betolux floor paint can be maintenance painted with Betolux or Betolux Akva floor paint. See Pretreatment: Previously painted floors.
The above information is not intended to be exhaustive or complete. The information is based on laboratory tests and practical experience, and it is given to the best of our knowledge. The quality of the product is ensured by our operational system, based on the requirements of ISO 9001 and ISO 14001. As manufacturer we cannot control the conditions under which the product is being used or the many factors that have an effect on the use and application of the product. We disclaim liability for any damages caused by using the product against our instructions or for inappropriate purposes. We reserve the right to change the given information unilaterally without notice.
BETOLUX
Environmental protection and waste disposal
Avoid spillage into drains, water systems and soil. Destroy liquid waste according to the local regulations for hazardous waste. Recycle empty, dry cans or dispose them of in accordance with local regulations.
Health and Safety
Contains: hydrocarbons, C9-C11, n-alkanes, isoalkanes, cyclics, <2% aromatics. Warning. Flammable liquid and vapor. May cause drowsiness or dizziness. If medical advice is needed, have product container or label at hand. Keep out of reach of children. Keep away from heat, hot surfaces, sparks, open flames and other ignition sources. No smoking. Avoid breathing vapor. Use only outdoors or in a well-ventilated area. Warning! Hazardous respirable droplets may be formed when sprayed. Do not breathe spray or mist.
GHS02 GHS07
The above information is not intended to be exhaustive or complete. The information is based on laboratory tests and practical experience, and it is given to the best of our knowledge. The quality of the product is ensured by our operational system, based on the requirements of ISO 9001 and ISO 14001. As manufacturer we cannot control the conditions under which the product is being used or the many factors that have an effect on the use and application of the product. We disclaim liability for any damages caused by using the product against our instructions or for inappropriate purposes. We reserve the right to change the given information unilaterally without notice.
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Let's Make It Happen.
907-257-7200 www.denalifcu.org
Hands-On Training Now Available!
Do you have questions regarding our new online banking platform? About the new Easy Pay or EnCompass, our new financial management tool? We've got answers! Either call* or stop by one of these select branches and get one-on-one help:
Anchorage
Eagle River Walmart
Fairbanks University Safeway
Fairbanks Northgate
(*must call or email to set appt.)
Financial Ctr. 440 E. 36th Ave., 3rd floor Mon - Fri, 9-5
18600 Eagle River Rd. Daily, 10 - 7
3627 Airport Way Daily, 10 - 7
322 Steese Hwy. Mon - Fri, 10 - 6
Juneau
9101 Glacier Hwy. Mon - Sat, 10-6
Kenai Walmart
10096 Kenai Spur Hwy. Daily, 10 - 7
Wasilla Carrs
595 E. Parks Hwy. Daily, 10 - 7
Call *(907) 257-9424 or email [email protected]; include the following information:
1. Name
3. Email address
2. Phone number
4. Particular areas where you need help, i.e. Login, Bill Pay, Mobile App, EnCompass, etc.
We look forward to helping you with our new and improved Personal Computer Banking!
Scan this QR Code for instant access to our Online Banking Learning Center!
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AN ORDINANCE ACCEPTING A PREVIOUS OPENED
STREET OR ROAD IN THE BOROUGH OF INDIAN
LAKE, SOMERSET COUNTY, PENNSYLVANIA.
BE IT ORDAINED by the Borough Council of the Borough
of Indian Lake, Somerset County, Pennsylvania that:
WHEREAS, it is in the best interest of the Borough of
Indian Lake that a street or roadway situate in said Borough and
extending in a northwesterly direction from Pennsylvania Route
160 have a right-of-way width of 50.0 feet, the center line of
which is described as follows:
BEGINNING at a point in the center line of
Pennsylvania Route 160, leading to Reals
Corners; thence along lands now or formerly
of the Nationwide Real Estate Investment
Trust and Arthur Poorbaugh the following
courses and distances through the center line
of said right of way: North 57° 5' West 807.72
feet to a point; North 39° 22' West 756.62 feet
to a point; North 46° 37' West 191.56 feet to a
point; North 54° 41' West 300.50 feet to a point;
North 62° 7' West 240.37 feet to a point; South
43° 12' West 172.62 feet to a point; South 1°
30' West 249.97 feet to a point; South 7° 30'
West 174.92 feet to a point; South 83° 46' West
143.08 feet to a point; North 64° 42' West 208.50
feet to a point; North 36° 58' West 220.23 feet
to a point; North 60° 38' West 142.50 feet to a
point; North 68° 38' West 147.11 feet to a point;
North 43° 18' West 145.32 feet to a point; North
59° 16' West 381.41 feet to a point; North 32°
30' West 200.00 feet to a point; North 54° 14'
West 278.00 feet to a point; South 42° 23' West
322.12 feet to a point; South 75° 0' West 50.00
feet to a point; North 62° 32' West 166.48 feet
to a point; North 80° 58' West 123.06 feet to a
point; North 63° 46' West 50.00 feet to a point;
North 1° 22' East 169.72 feet to a point; North
51° 0' West 65.00 feet to a point; South 81° 2'
West 140.58 feet to a point in the center line
of a Borough road.
WHEREAS, the above described street or roadway or open
within the meaning of Section 1701 (2) of the Pennsylvania
Borough Code.
NOW, THEREFORE:
1. The Council of the Borough of Indian Lake hereby opens as a Borough street or roadway the street above described connecting a Borough road at Delaware Park with Pennsylvania Route 160 in Indian Lake Borough, Somerset County, Pennsylvania.
2. This Ordinance shall take effect thirty (30) days after the date of adoption.
3. All Ordinances and parts of Ordinances inconsistent herewith are hereby repealed.
ADOPTED by Borough Council this 13th day of February, 1979.
ATTEST: BOROUGH OF INDIAN LAKE
[Signature]
Secretary
[Signature]
President of Council
APPROVED this 13th day of February, 1979.
[Signature]
Mayor
I hereby certify that the foregoing Ordinance is Ordinance No. 41 approved February 13th, 1979, duly advertised and transcribed.
[Signature]
Secretary
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Climate Change & Forest Economics
Dr. Adam Daigneault
Assistant Professor of Forest, Conservation and Recreation Policy
School of Forest Resources
University of Maine
At U Maine, researchers are exploring impacts and opportunities along all stages of the supply chain.
Who bears the most costs along the supply chain?
Where are the best opportunities to adapt?
What are the potential benefits as a result?
What do consumers want?
Overview
• Most research on CC impacts in ME/New England focuses on physical changes
• CC impacts people and economies too
• Forest productivity and species shift + changes in market demand
• Management activities as form of adaptation
• Not just about impacts and adaptation. Forests have large mitigation potential too
• Standing carbon, durable wood products, biomass-based energy
Maine’s Forest Industry Overview
- $8-10B in annual direct economic contributions
- Diverse yet integrated across sectors
- Additional economic benefits
- Recreation
- Wildlife habitat
- Aesthetics
Maine Forest’s Importance to State’s Annual Carbon Budget
| Carbon Pool | % of State’s Annual Fossil Fuel Emission |
|--------------------------------------|------------------------------------------|
| Forest carbon stocks + annual growth| 60% |
| Forest products | 15% |
| Total forestry sector | 75% |
| Net Land Sink | 78% |
crsf.umaine.edu/forest-climate-change-initiative/carbon-budget
Forest Productivity More Variable with Climate Change
Some areas may see higher growth due to longer growing seasons, Other areas may decline due to greater droughts and pest occurrence. Forest management has a strong influence on future trends.
Harvest Regimes & Land Use Change also affect Forest C
New England Aboveground Carbon Stock
Static Climate Climate Change
NoLU Dev Harv HarvDev
Increase 2060 LU (%)
AG Carbon Stock
Duveneck & Thompson (2019)
What are the top climate change related impacts to the forest products industry?
- 65% Respondents selected increases in insects and pathogens as a top 5 impact
- 60% Selected increases in extreme precipitation events
- 55% Selected shifts in forest composition
- 40% Selected increases in invasive species
Maine’s forest managers aware of impacts & adapting
Which management decisions would you be willing to adopt/advise?
- 94% Improve road/culvert maintenance and construction
- 70% Thin trees out of overly dense forests
- 63% Foster connected landscapes to promote natural migration of species
- 63% Create early detection programs for new invasions of undesired exotic species
Source: Soucy & de Urioste-Stone (2019)
CC Impacts + Timber Markets
• Naively, can take estimated changes in forest productivity and species distribution to quantify economic impacts of CC.
• However, more complex than that because humans can adapt. Thus, can utilize economic models to account for that.
• At present, more info available at national and global scale.
Source: Tian et al (2016)
Future Implications – Policy, Impacts, and Adaptation
• Lots of plausible futures depending on where society goes
• IPCC framework:
• Physical Impacts → RCPs
• Socio-economic impacts → SSPs
• Which pathway for Maine/NE/US?
• We live in a global world
Shared Socio-economic Pathways & Forest Area Change
Figure 1. Popp et al. (2017) range of projected forest land cover for 5 SSPs, 2020-2100.
Dynamic timber supply model can be used to examine impacts of five forest sector pathways or alternative futures on local, national, and global forest industry. Key drivers include:
- Wood product demand
- Bioenergy demand
- Land use regulation
- Environmental policy
- Technological change
- Forest investment response
Impacts of Expanded CLT Production
- CLT projections based on trends in urbanization, wood-based construction, consumer preferences, technological change, etc.
- Production by 2100 ranges from 10 to 460 million m$^3$/yr
More CLT → larger increases in aboveground and harvested wood product carbon stocks (price incentive)
More CLT → greater levels of avoided emissions from other building materials (substitution effect)
Mitigation Potential
• Not just about impacts and adaptation. Forests also have large CC mitigation potential.
In the U.S., nature has potential to remove 21% of the nation’s carbon pollution—equivalent to removing emissions from ALL cars and trucks on the road…and then some.
| Pathway | NCS Mitigation (Mt CO₂ per year) | Area Available (million acres) |
|-------------------------------|----------------------------------|-------------------------------|
| Reforestation | 3.21 | 1.2 |
| Avoided Forest Conversion | 0.51 | 0.08 |
| Cover Crops | 0.08 | 0.17 |
| Avoided Grassland Conversion | 0.08 | 0 |
| Alley Cropping | 0.06 | 0.03 |
| Urban Reforestation | 0.06 | 0.03 |
| Cropland Nutrient Management | 0.03 | N/A |
| Grassland Restoration | 0.01 | 0 |
| Improved Manure Management | 0 | N/A |
| Fire Management | N/A | N/A |
| Improved Rice Cultivation | N/A | N/A |
U.S. Mitigation Potential: Approximate Number of Cars Removed Each Year in Millions
1 car = 10M cars
Current Knowledge Gaps?
• Not a lot Forest Econ + CC research in Maine/NE...
• What else would we like to know?
1. What CC-related policies are likely to be most influential on forest-dependent economies?
2. Which CC impacts are expected to have the largest impact on forest sector profitability? (e.g., changing winter effect on harvest operations)
3. How will markets shift as a result of CC and related policy?
4. What can forest managers do to adapt to CC?
Question/Comments
Dr. Adam Daigneault
Asst Prof of Forest Policy and Economics
University of Maine School of Forest Resources
[email protected]
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Accounting Principles 9th Edition Weygt
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Accounting Principles 9th Edition Weygt
Principles of Financial Accounting, Chapters 1-18 by Weygandt, Kieso, Kimmel, Paul D. [Wiley, 2008] (Paperback) 9th Edition [Paperback] by Weygandt 4.6 out of 5 stars 6
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Accounting Principles Weygandt 9th Edition Solutions Manual
Solution Manual for Accounting Principles 13th Edition Jerry J. Weygandt. Table of Contents. 1. Accounting in Action. 2. The Recording Process. 3. Adjusting the Accounts. 4. Completing the Accounting Cycle. 5. Accounting for Merchandising Operations (Perpetual Approach) 5A. Accounting for Merchandising Operations – (Periodic Approach)* 6.
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Finance & Projects, Construction & Infrastucture
Kuala Lumpur
Client Alert
January 2019
For further information, please contact:
Mark Lim
Partner +603 2298 7960 [email protected]
Siaw Wan Lim Partner +603 2299 6405 [email protected]
Janice Tay Partner (Disputes) +603 2298 7838 [email protected]
Faez Abdul Razak
Senior Associate +603 2298 7839 [email protected]
Ooi Chih-Wen
Associate (Disputes) +603 2298 6428 [email protected]
Shift in Position of Liquidated Damages in Malaysia Section 75 of the Contracts Act 1950
Cubic Electronics Sdn. Bhd. (In Liquidation) v MARS Telecommunications Sdn. Bhd. 1
General Position of Section 75
The general position in Malaysia under Section 75 of the Contracts Act 1950 ("Section 75") has always been that where there is a breach of contract, an innocent party cannot recover simpliciter the sum fixed in a damages clause regardless of whether it is stipulated as a penalty or liquidated damages. The innocent party must prove the actual damage he has suffered unless his case falls under the limited situation where it is difficult to access actual damage or losses. 2
Background Facts
The Appellant was the owner of a piece of land together with certain plant and machinery on the land (collectively known as "the properties"). The Appellant went into liquidation and as part of the liquidation process, the properties went up for sale. Subsequently, the Respondent offered to purchase the properties and was required to pay an earnest deposit. In addition, the acceptance of the Respondent's offer was conditional upon the sale and purchase agreement ("SPA") for the properties being executed within 30 days failing which the earnest deposit paid by the Respondent would be forfeited in favour of the Appellant.
The Respondent failed to execute the SPA by the stipulated timeline and requested an extension (the "first extension"). This first extension was granted but the Respondent was required to pay a further earnest deposit to the Appellant. The Appellant cautioned that such earnest deposit will be forfeited as agreed liquidated damages if there was another failure to comply with the deadline to execute the SPA. Subsequently, a further three requests for extension was made by the Respondent. The second and third extensions were granted on the same condition that further earnest deposits be paid to the Appellant. Pursuant to the fourth request for extension (the "fourth extension"), the Appellant similarly required the Respondent to pay further earnest deposit, but this time there was an additional requirement for a non-refundable interest on the balance of the deposit for the properties.
1 Appeal No. 02(f) - 64 - 09/2016(W).
2 See Selva Kumar Murugiah v Thiagarajah Retnasamy [1995] 1 MLJ 817, approving the Privy Council decision in Bhai Panna Singh v Bhai Arjun Singh AIR 1929 PC 179.
The Respondent still failed to meet the extended deadline pursuant to the fourth extension and the Appellant terminated the sale. The Appellant thereafter duly forfeited all the earnest deposits paid by the Respondent together with the nonrefundable interest.
An action was then brought by the Respondent against the Appellant for wrongful termination and sought for return of the deposit money and interest paid.
The Respondent's claim was dismissed by the High Court. On appeal, the Court of Appeal ruled that the forfeiture of the entire deposit and interest was impermissible but allowed the forfeiture of the first earnest deposit. The Court of Appeal referred to Selva Kumar a/l Murugiah v Thiagarajah Retnasam 3 and Johor Coastal Development Sdn Bhd v Constrajaya Sdn Bhd 4 and held that there was no evidence to show the Appellant suffered the impugned amount due to the Respondent's breach and neither was the amounts forfeited a genuine preestimate of loss as required under Section 75.
The Appellant appealed. The Federal Court allowed the appeal by reinstating the order of the High Court and in doing so, shifted the position that has been so well ingrained in the industry for the past 30 years.
New Position
Deposits
In dealing with the Respondent's contention that the payments are not true deposits but penalties which are caught by Section 75, the Federal Court held that if there is a breach of contract, any money paid in advance of performance and as part-payment of the contract price is generally recoverable by the payer. 5 However, a deposit paid which is not merely part payment but also as a guarantee of performance is generally not recoverable. 6 If a payment possesses the dual characteristics of earnest money and part payment, it is a deposit. The Federal Court followed the courts in the United Kingdom and India which have held that the principles of law on damages clause are equally applicable to forfeiture of deposits. Thus, Section 75 is applicable to the forfeited deposit in the current case.
Proof of Loss or Damage
Pertinently, the Federal Court opined that it is not necessary for the innocent party to prove his/her actual loss or damage in every case. Selva Kumar and Johor Coastal should not be interpreted to mean that proof of actual loss is the sole conclusive determinant of reasonable compensation. Reasonable compensation is not confined to actual loss, although such evidence may be a useful starting point.
3 See footnote 2.
5 See Dies v British and International Mining and Finance Co [1939] 1 KB 715.
4 [2009] 4 CLJ 569.
6 See Howe v Smith (1884) 27 Ch D 89.
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It was further laid down that the concepts of "legitimate interest" and "proportionality" as enunciated in Cavendish Square Holding BV v Talal EI Makdessi 7 are relevant in deciding what amounts to "reasonable compensation" under Section 75. The courts must first consider whether any "legitimate commercial interest" in performance extending beyond the prospect of pecuniary compensation flowing from the breach is served or protected by a damages clause and then evaluate whether the provision made for the interest is proportionate to the interest identified. Ultimately, the central feature of both the Cavendish case and Section 75 is the notion of reasonableness.
It should also be noted that Section 75 provides that reasonable compensation must not exceed the amount so named in the contract. As such, the damages clause that the innocent party seeks to uphold would function as a cap on the maximum recoverable amount.
The Federal Court went on further to state that if there is a dispute as to what constitutes reasonable compensation, the burden of proof then falls on the defaulting party to show that the damages clause including the sum stated is unreasonable. A sum will be held to be unreasonable if it is extravagant and unconscionable in comparison with the highest conceivable loss which could possibly flow from the breach.
Conclusion
Parties seeking to enforce a damages or liquidated clause must essentially:
(a) prove there was a breach of contract; and
(b) the contract contains a damages or liquidated clause which stipulates a sum to be paid in the case of a breach.
The amount claimable is also subject to the maximum amount stated in the contract.
If the defaulting party feels that the compensation/damages stipulated under the contract is unreasonable, the burden is on the defaulting party to prove that such sum is unreasonable.
Owners and employers can now be comforted that the new position looks favourable to them in the sense that such clauses on deposits or liquidated damages, if challenged in court in terms of enforceability, would have better chances of success in withstanding such challenges.
7 [2015] UKSC 67.
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1
DOI: 10.20396/zet.v28i0.8656749
Interdisciplinarity and statistics in the data of slaves buried at Porto Alegre (1850 to 1885)
Interdisciplinaridade e estatística nos dados de escravos sepultados em Porto Alegre (1850-1885)
Leila Inês Pagliarini de Mello 1 Andréia Dalcin 2 Luciana Neves Nunes 3
Abstract
This paper presents results of a research of a professional master in the field of Statistical Education done with 7th grade students in a private school in Canoas-RS. The question "Can the search for understanding demographic data of slaves buried in the cemetery of the Santa Casa de Porto Alegre, in the XIX Century, contribute to the learning of statistics?" served for an interdisciplinary project in Mathematics, History and Science. With a random sample of 1559 slave death records from the book "Africanos na Santa Casa de Porto Alegre: Óbitos dos escravos sepultados no cemitério da Santa Casa (1850 a 1885)" the class produced charts and tables. Through pretest and posttest it was evaluated that there were advances in the learning of statistical concepts. The statistical concepts were mobilized in the activities and the interdisciplinary look favored the process of data production and analysis, as well as assisted in the debate about black slavery in Porto Alegre in the XIX Century.
Keywords: Statistical Education; Statistical Literacy; Mathematical Modeling; Interdisciplinarity; Elementary School.
Introduction
The insertion of Statistical Education in the discipline of Mathematics is something that has been gaining space in discussions, both in academia and in schools. Statistical Education makes it possible to understand data about certain phenomena and inferences about them, so that it is possible to establish connections between Mathematics and other areas of
Submetido em: 25/09/2019 – Aceito em: 12/02/2020 – Publicado em: 14/04/2020
1Master in Mathematics Teaching from the Federal University of Rio Grande do Sul; Teacher at the State Education Network of Rio Grande do Sul, Brazil. Email: [email protected]
2 PhD in Education, area of Mathematical Education by the State University of Campinas; Professor at the Department of Education and Curriculum at the Faculty of Education and at the Graduate Program in Mathematics Teaching at the Federal University of Rio Grande do Sul, Brazil. Email: [email protected]
3 PhD in Epidemiology from the Federal University of Rio Grande do Sul; Professor at the Statistics Department at the Institute of Mathematics and Statistics and at the Graduate Program in Mathematics Teaching at the Federal University of Rio Grande do Sul, Brazil. Email: [email protected]
Zetetiké, Campinas, SP, v.28, 2020, p.1-20 – e020013
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DOI: 10.20396/zet.v28i0.8656749
knowledge, favoring interdisciplinary work. Therefore, it is necessary, already in the Elementary Education, to provide activities that favor the learning of statistical concepts and the interpretation of results obtained by Descriptive Statistics.
In this context, we understand the necessity of building the statistic literacy, that, according to Lopes (2010, p.2), "requer o desenvolvimento do pensamento estatístico, o qual permite que a pessoa seja capaz de utilizar ideias estatísticas e atribuir um significado à informação estatística" 4 . The statistic literacy makes possible a suitable positioning from the person before the most varied information present in society, and the support to the construction of another areas of knowledge.
The authors Akanime e Yamamoto (2009) define Statistics as the science that studies the necessary techniques to collect, organise, present, analyse and interpret data, in order to draw information regarding a population. The Parâmetros Curriculares Nacionais 5 (PCN) (MEC, 1998) encompass these diverse topics under the heading Tratamento da Informação 6 . Recently, The Base Nacional Comum Curricular 7 (BNCC) (MEC, 2017) text reinforces the necessity of a Statistical Education, understood as something wider than teaching Statistic content and concepts and it points out that students at the end of Elementary School need to know how to plan and produce research reports, do and interpret descriptive statistics that potentialise discussions on aspects about sociocultural and/or ambiental phenomena; in summary, phenomena that affects life.
This present research, that resulted in the master's thesis titled "Learning statistics concepts through a study on the deaths of the slaves of Rio Grande do Sul in the century XIX: an interdisciplinary experience (1850 to 1885)", sought to problematize the Statistical Education teaching and selected as the main question: Can the search for comprehending demographic data from the slaves buried at the Santa Casa Cemetery in Porto Alegre, in the XIX century, contribute to learning Statistics?
For the development of the research, it was proposed an investigation scenario to study in the classroom with seventh year students in a private school in the city of CanoasRS. According to Lopes and Carvalho (2009), the problematization of a theme can be the seed that will support an investigation work, in which students can be asked to elaborate questions and formulate explanations. This investigation scenario involves the teacher and their class, but the students are mainly responsible for the investigative process.
In the current scenario, it was prepared an interdisciplinary project, which counted on the participation of the Science and History teachers of the school, besides the researcher, who was the class' Math teacher. The sequence of didactic activities developed aimed to propose situations that would create the possibility for students to exercise statistical analysis
4 Free translation: "requires developing the statistical thinking, which allows the person to be capable of using statistical ideas and assign a meaning to the statistic information"
5 Free translation: "National Curriculum Parameters"
6 Free translation: "Treatment of Information"
Zetetiké, Campinas, SP, v.28, 2020, p.1-20 – e020013 7 Free translation: "Common National Curriculum Base"
of data from the death records of slaves buried in the Santa Casa Cemetery in Porto Alegre, starting from a random sample of the population. The development of the ability to establish relationships between variables only happens if the student is able to appropriate statistical concepts and ideas, such as distribution, position measures, uncertainty, sample and population. It is understood that you learn statistics by getting involved with it. Furthermore, when faced with real data and information, in the analysis process, discussions about our past of slavery could emerge, with statistics as a mobilizer of debates about values and human rights.
Mathematical Modeling and Interdisciplinarity: some guiding principles
Statistics helps us understand different phenomena, including those related to life conditions, the environment preservation and the promotion of human rights, which are increasingly emerging in society, requiring an interdisciplinary look. Lopes and Carvalho (2009) believe that Statistical Education, in the final years of elementary school, happens through problematization, in which students seek, organize and interpret information. In this exercise of organizing and interpreting, discussions will emerge and enhance a more critical and complex reading of the world.
One of the possibilities of working with Statistical Education in mathematics classes is through mathematical modeling. As stated by Barbosa, "a Modelagem é um ambiente de aprendizagem no qual os alunos são convidados a problematizar e investigar, por meio da matemática, situações com referência na realidade" 8 (2004, p.4). Based on this same author, we believe that:
[...] O ambiente de modelagem está associado à problematização e investigação. o primeiro refere-se ao ato de perguntas e/ou problemas enquanto que o segundo, à busca, seleção, organização e manipulação de informações e reflexão sobre elas. ambas atividades não são separadas, mas articuladas no processo de envolvimento dos alunos para abordar a atividade proposta. nela, pode-se levantar questões e realizar investigações que atingem o âmbito do conhecimento reflexivo. 9 (Barbosa, 2004, p. 75)
It's understood that an investigative and reflective environment, in a practice that uses Mathematical Modeling inside the classroom, provides students with a preparation to use mathematics in different contexts, in addition to understanding the socio-cultural role that mathematics has.
As reported by Barbosa (2001), Modeling cases can be classified in three different ways, as shown in Chart 1.
Chart 1 - Barbosa's classification of modeling cases (2001) [free translation].
8 Free translation: "Modeling is a learning environment in which students are invited to problematize and investigate, through mathematics, situations with reference to reality"
9 Free translation: "The modeling environment is associated to problematization and research. The first refers to the act of questions and/or problems while the second refers to the search, selection, organization and manipulation of information and reflection about them. Both activities are not separate, they are articulated in the student involvement process to address the proposed activity. In it, one can raise questions and carry out researches that reach the ambit of reflective knowledge."
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In all cases, opportunities for discussions in Mathematics classes are created with the goal of providing reflexions about the students' reality. Such reflexions can be supported, mediated or even represented by numbers, tables and graphs, so that Statistical Education is present and integrated with the modeling process, favoring an interdisciplinary work.
Lopes and Carvalho (2009) point out the importance of promoting Interdisciplinary activities, in which students at a few moments solve exercises with a provided content and, at others, research and investigate information and data. It was sought, in the elaboration of the activities proposed for this research, to use an idea, in line with Case 2, by Barbosa (2001), wherein the teacher-researcher proposed a research theme and, in the other phases, there was a work between teachers and students, in which different questions were elaborated and debated.
The idea of interdisciplinarity is also present in the PCN (MEC, 1998) as a way to develop integration of a school subject contents with other areas of knowledge, which contributes to the student's learning.
As reported by Fazenda (2011), "[...] a interdisciplinaridade é entendida como uma mudança de atitude na forma de conceber, compreender e entender o conhecimento, uma troca em que todos saem ganhando, uma vez que há uma mudança de atitude por parte dos envolvidos" 10 . In summary, interdisciplinarity aims at building a global knowledge. Lodovici and Silveira (2011) state that:
O recurso à interdisciplinaridade se impõe, portanto, pela necessidade de um método de análise do mundo, considerando as finalidades sociais desse conhecimento. As disciplinas, isoladamente, não podem responder de forma adequada a problemáticas extremamente complexas. Há necessidade de buscar sínteses conceituais que possibilitem o enfrentamento da investigação nas fronteiras das disciplinas.11 (Lodovici e Silveira, 2011, p.296)
10 Free translation: "[...] interdisciplinarity is understood as a change in attitude in the way of conceiving, comprehending and understanding knowledge, an exchange in which everyone wins, since there is a change in attitude on the part of those involved"
11 Free translation: "The use of interdisciplinarity is imposed, therefore, by the need for a method of analyzing the world, considering the social purposes of this knowledge. Disciplines alone cannot adequately respond to extremely complex issues. There is a need to search for conceptual syntheses that will make it possible to confront research at the borders of disciplines."
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So that interdisciplinarity can materialize, it is necessary to separate from the fragmented view of reality. Fazenda (2011) points out that "interdisciplinaridade na educação vai além do desenvolvimento de novos saberes, pois favorece novas formas de aproximação da realidade, social e novas leituras das dimensões socioculturais das comunidades humanas" 12 (Fazenda, 2011, p.22).
In this context, according to Lopes (2010),
A Estatística, com os seus conceitos e métodos para coletar, organizar e analisar informações diversas tem-se revelado um poderoso aliado neste desafio que é transformar a informação bruta em dados que permitem ler e compreender uma realidade. Talvez por isso, se tenha tornado uma presença constante no cotidiano de qualquer pessoa, fazendo com que haja um amplo consenso em torno da ideia segundo a qual a literacia estatística deva ser uma prioridade da sociedade moderna, ou seja, de uma cidadania com responsabilidade social. 13 (Lopes, 2010, p.1)
Therefore, the importance of Statistics for the education of the student is clear, as a knowledge that instrumentalizes them to make decisions in conditions of uncertainty, relating school content with social life facts.
As Campos et al (2013) say, when the teacher's gaze turns to teaching and learning issues in which an environment is provided wherein research and reflexion stand out as fundamental elements in the knowledge construction process, the principles of Statistical Education can be worked on. Therefore, mathematical modeling projects, in the line of learning by doing, can be developed.
Methodological procedures and pedagogical practice - Description and Results
To the production of data for the research, an interdisciplinary teaching project was carried out. The option for the theme of working with data about slaves buried in the Santa Casa Cemetery in Porto Alegre was the result of a dialogue with the school's History teacher, who mentioned that the Santa Casa de Porto Alegre's Historical Archive has a collection that could be a good source of data, among them, of the deaths of free and enslaved people in the 19th century. This idea also awoke the interest of the Science teacher, due to the possibility of studying the diseases associated with the deaths.
Initially, the Mathematics, History and Science teachers articulated themselves for the construction of an interdisciplinary teaching project and decided, for logistical reasons, that
12 Free translation: "interdisciplinarity in education goes beyond the development of new knowledge, as it favors new ways of approaching the reality, social and new readings of the socio-cultural dimensions of human communities"
Zetetiké, Campinas, SP, v.28, 2020, p.1-20 – e020013 ISSN 2176-1744 13 Free translation: "Statistics, with its concepts and methods of collecting, organizing and analyzing diverse information, has been revealed to be a powerful ally in this challenge, which is to transform raw information into data that allow us to read and understand a reality. Perhaps because of this, it has become a constant presence in anyone's daily life, causing a broad consensus around the idea that statistical literacy should be a priority in modern society, that is, of a citizenship with social responsibility."
the school's seventh year students would be invited to be part of the project. This project became the object of study for the master's research in question. Teachers considered that, for the project to be better accomplished, it would be better to include volunteer students because the research would be carried out in the evening and "accepting the invitation", according to Barbosa (2001), is essential for the student involvement environment in the mathematics research.
Nine volunteer students took part in the research with parental consent, and the Consent Form was signed. The development of pedagogic practice took place in the first semester of 2016.
Specific procedures and results developed in the area of Mathematics were carried out, with the objective to establish an environment to work with mathematical modeling in the classroom that fits in Case 2, defined by Barbosa (2001).
In order to gather tools on prior knowledge and the consolidation of the statistical concepts covered, pre-test and post-test questionnaires were used. The pre-test had seven questions, three of which were multiple choice, formed by basic statistics content. The first two questions were open and identified whether the participants were aware of the concept of population and sample. The third and fourth questions were about reading and interpreting graphs; the fifth, sixth and seventh questions were about mode, mean and median, respectively. To evaluate the consolidation of learning, a post-test was carried out containing the same questions as the pre-test, three months after the end of the pedagogical practice. In this evaluation, the percentages of correct answers in the pre-test and in the post-test were compared, based on the correction made by the teacher-researcher.
Twelve weekly meetings were held with the class, totaling 26 hours worked together. In these meetings, the school library computers and the internet were used. To complete all the proposed tasks, the participants also had hours of work without the presence of the teachers, usually in their homes, individually or even in groups. Through the use of technological resources, the group worked in different ways, including remote moments using Google support tools, such as Google Forms, Google Drive, Google Docs and discussions in a WhatsApp group created by the students.
After giving the pre-test at the first meeting, the concepts of population and sample were presented through a slide show. At this meeting, participants began to handle the book "Africanos na Santa Casa de Porto Alegre: Óbitos dos escravos sepultados no cemitério da Santa Casa (1850-1885)" 14 , a work by Flores (2007) that had been proposed as an object of study by the history teacher. From this contact with the book, the class learned that the population to be studied was the slaves who were buried in the Santa Casa Cemetery, between the years 1850 and 1885. Figure 1 shows the cover of the book used and an example of how the data from the slave death records is presented in the book.
14 Free translation: "Africans at Santa Casa de Porto Alegre: Deaths of slaves buried in the cemetery of Santa Casa (1850-1885)"
(B)
Figure 1 – (A) Cover of the Flores' book (2007); (B) Death record example as presented in the book. Source: Book "Africanos na Santa Casa de Porto Alegre: Óbitos dos escravos sepultados no cemitério da Santa Casa (1850-1885)"
Flores' book (2007) has data on the death records of approximately 7000 slaves, who died between 1850 and 1885. From reading the book and discussing about it, the students understood that the size of the population treated was too big, so they decided to randomly select a sample. From a discussion conducted by the teacher, it was decided that the sample would consist of 25% of the data in a systematic way, that is, in a way that selected records contained in the book from beginning to end. The decision on the sample size came from the participants who observed that the book brings the records in chronological order and are arranged in columns, two columns per page. Intuitively, the class decided to use systematic sampling, as it was decided that one column every two pages would be inserted in the database. The speed of the class in establishing the sample size and the way to select it exceeded expectations. The students demonstrated understanding that the sample must be representative and random.
Then, the computational resource Google Forms was presented to the class as a tool to create a database, and after understanding how to use it, a database was generated with data from a random sample of 1559 cases of death. The database that would be used in the construction of graphs and tables was finalized at the fourth meeting, being that during this period some difficulties on the use of technological resources were overcome by the class, sometimes with the help of teachers, but also autonomously. The interdisciplinarity was already present in the collection of data, for example, when typing the slaves' cause of death, they searched the internet for the meaning and images associated with each unknown disease, indicating the need of interacting with the Science area.
In the fifth and sixth meetings, the History teacher addressed issues related to the trajectory and life of the slaves and the importance of good quality records. This moment was
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important, as some definitions were clarified and helped to conclude the construction of the database. For example, the students cleared up some doubts about the nationality of the slaves, which was one of the variables in the records. The teacher explained that it was called "crioulo" who was born in Brazil, and "africano", the ones who had African countries as nationality. The teacher also commented that children, up to 7 years old, at the time, were considered "innocent" and around 15 years old were considered as adults. In this meeting, the students chose the age of 60 to define the elderly, being an adult between 15 and 59 years old. In addition to that, elements such as the functions they performed and the diseases of this population were also addressed. The clarification of these ideas was important for statistical analysis, in terms of understanding historical demography. At this moment, interdisciplinarity with History proved to be fundamental for the progress of the study of the class.
For the diseases described in the causa mortis, the History teacher suggested that they be classified based on the work of Lycurgo Santos Filho, author of the work História geral da medicina brasileira (1947) 15 . He explained to the class that the study of the cause of death is one of the indications of living conditions in the context of the period studied, being a window through which we can check their possible hardships, marked or not by their clothing, crafts, punishments and eating conditions.
At this stage, the content of mode, medium and median were also addressed. The teacher-researcher made use of a slide show and made the presentation available in the virtual environment Google Docs with the goal of getting students to know the environment and use it to fix the studied concepts and evaluate their understanding. The group showed a lot of interest in the new environment, mainly due to the possibility of simultaneous use, and they used it extensively. Regarding the statistical concepts covered, the greatest difficulty came up with the concept and calculation of median. Figure 2 illustrates the use of the Google Docs virtual environment.
15 Free translation: "General History of Brazilian Medicine"
Source: Authors' collection
So that the students could comprehend the origin of the data they were working with, the seventh meeting was to visit the historical cultural center Centro Histórico-Cultural Santa Casa. The Mathematics teacher, her master advisor and the History teacher went along with the class. Initially, they watched an educative lecture by a museologist about the Santa Casa de Misericórdia hospital complex, with an emphasis on its assistance character, the Santa Casa Cemetery and its Historical Archive. On this occasion, the students had the opportunity to handle the original Death Record book at the Santa Casa Cemetery that gave rise to the work of Flores (2007). Figure 3A illustrates this moment of the research.
It was very important to the students to handle the document that gave rise to the work studied in the classroom. From that visit, they became aware of the fact that, at the time of these records, the deaths of slaves were arranged separately from free people. Just as the burials were done in separate places in the cemetery. The students realized how the work of the historians who built such records was important. With each entry read, from the slaves' original death book, they remembered typing something similar. The letters, which are handwritten, received special attention, due to the way they were written, practically a drawing and not very easy to understand, as can be seen in Figure 3B.
Fonte: Authors' collection
At the following meetings (8º to 10º), the students refined the collected data, generating the first productions from statistical analysis. In this process, Excel data spreadsheet software was used as a computational resource.
Figures 4 to 7 are graphs produced by the participants during the activities and are presented in this work without any changes. For this reason, some inaccuracies, such as the figure formatting or the unsuitable use of lower case letters, appear. The internal titles of the figures are authored by the students and have not undergone any changes.
The Figure 4 shows a sector chart produced by the students. This graph type choice was based on the "nationality" variable classification to be represented, which was of the qualitative type. Considering the results obtained on nationality, according to what was discussed with the History teacher, the students observed that 35% of the slaves were African, 60% were Creoles and 5% had no informed nationality. In addition to encouraging the appropriation of the statistical concept of relative frequency, in a discussion with the History teacher, this result led to the study of endogenous reproduction, which was increasingly encouraged since 1850, with the Eusébio de Queiróz Law, which banned the slave trade to Brazil. In other words, based on statistical results, the study of laws and historical facts was promoted. This moment in the research indicated the development of students' statistical literacy, with regard to reflection on statistical results and attributing a meaning to these results.
Source: Authors' collection
In order to assess the relation between the variables "sex" and "age", the class decided to transform age, which was collected in years, into a categorical variable. To do this, they considered the proposal made by the History teacher, and classified as "innocent" the deaths of people up to 7 years old, "young people" from 8 to 14 years old, "adults" from 15 to 59 years old and "elderly", 60 years or more. To illustrate the relationship between these variables, the class chose to produce a multiple column graph - shown in Figure 5 -, which is indicated to visually represent the crossing of variables. The results obtained enabled a group reflection of the class involving the Science and History subjects. The graph showed an imbalance between the number of deaths of men and women. In the group of innocents, the students observed that there was a match between the number of deaths of boys and girls. However, as age advances, more deaths of men became evident in the data analyzed, which may be explained by the fact that there were more men in this population, in all age categories (young, adults and the elderly). However, the proportion of deaths of women in the "young" (41%) and "adult" (42%) categories, was higher when compared to the "elderly" category (28%). From this result, it is possible to explore with the class, in the Science discipline, certain causes of death, which occurred during childbirth or a few days after the birth of the baby, such as through the study of diseases such as tetanus and precarious forms of childbirth, which would justify registering the causes of death such as: "childbirth", "at birth", "out of time" and "seven-day illness". Again, it was possible to bring reflections of a statistical nature to the classroom, such as discussing the quality of the data that is available, in relation to historical and biological knowledge, which made it possible to analyze the results found.
Source: Authors' collection.
As exploratory data analysis took place, hypotheses about the data were being elaborated. From the results observation, the students suspected, as time went by, that the pattern of the number of deaths changed and that this could be related to the age at which people died. To investigate the incidence of death according to age, based on a suggestion made by the class itself, the sample was reorganized into two groups, according to a new variable, the "age", categorized as: innocent (up to 14 years old) and adults (15 years and older than that). It was decided to show the incidences of deaths year by year through a line graph (or time series graph), as the idea was to investigate the pattern of the variable "number of deaths / year".
Figure 6 shows the graph produced by the class. They realized that there was a high "peak" of deaths in the year 1855, and this result was easily explained, using elements from the History and Science fields, since 1855 was a year of cholera epidemic. Also, through the analysis of the graph in Figure 6, students could observe that the number of deaths among slaves decreased over the years, especially among innocent people. In History classes, the graph was used to discuss the social issues that could justify this decreased number of slaves deaths over the years, and, in particular, the number of deaths of innocents after 1872 and, thus establishing a correlation between the variable pattern and the Lei do Ventre Livre (1871), which declared from that moment on that all the children of slaves were born free, causing the innocent deceased to be registered as free people. That is, from the statistical results, it was possible for the history teacher to problematize the fact that although the graph apparently indicates that the number of deaths of enslaved people was decreasing over time, this was not true. The teacher clarified that what actually changed was the document in which deaths were recorded, as people changed their status from slaves to free. This moment in the research illustrates how the critical thinking of statistical results can be addressed in the classroom. Although the graph that the class made is statistically correct, it does not explain what happened historically, that is, black men and women remained in precarious conditions of life even after being released and continued to die for various reasons.
Source: Authors' collection.
The 11th meeting was dedicated to the study of diseases that were defined as a cause of death. With the participation and discussion conduction of the Science teacher, the students grouped the diseases according to the classification in the book História geral da medicina brasileira (1947), which classifies in 11 groups the diseases of the time studied.
The idea was to identify the diseases with the highest incidence. However, in order to organize the data, the Science teacher instructed the participants to classify the causes of death in four categories, according to the graph shown in Figure 7, produced by the class that preferred a sector graph, due to the variable being qualitative type.
Source: Authors' collection
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DOI: 10.20396/zet.v28i0.8656749
In the results observed in Figure 7, the students concluded that infectious and parasitic diseases that affected 33% of slaves stood out and respiratory diseases were responsible for 15% of deaths. However, 19% had "unknown or non-defined diseases" as their cause of death. The experience lived with the Science teacher at this meeting was relevant because, in addition to discussing how to statistically evaluate the cause of death variable, it was possible to criticize the quality of the information on the deaths described.
At the 12th and last meeting, the students prepared the banner for presentations in the Poster mode of some events. The students who participated in this project had the opportunity to present their work in the school's Scientific Hall in July/2016 and also in external educational events, such as the APECS-Brasil 'I Workshop de Iniciação Científica Júnior' in Brasília - july/2016, the UFRGS Salão Jovem in october/2016 and the III Festival de Ciência in Porto, Portugal in october/2017. In all the events in which they were present, a single banner of the class was presented, which indicated the results of the research. In the presentations, the students organized themselves so that everyone could talk about some aspect of the research. Due to financial expenses, not all students were present at all events.
Pre-test and post-test analysis
In order to evaluate how much knowledge each student obtained about statistical concepts, a pre-test and a post-test were given; the latter, three months after the end of the pedagogical practice. The idea of giving the post-test three months after the pedagogic project is because it was thought that this would be a reasonable time for students not to have the pretest questions memorized. It was found by comparing the results of the pre-test and post-test performed, shown in Figure 8, that the Statistics knowledge of the group of students involved in the research increased, as it is possible to observe an improvement in the answers. The graph in Figure 8 shows the percentage of correct answers for each of the seven questions given in both moments.
15
DOI: 10.20396/zet.v28i0.8656749
Figure 8 - Percentage of correct answers in each of the seven questions in the questionnaire given in the pre-test and post-test.
The first question "What does population mean? Write a sentence using the word population" made it clear that the group of students had the knowledge of population in geographic terms, that is, they understood population as "the total inhabitants of a region or country". Since everyone got the answer to this question wrong in the pre-test, it was concluded that they did not know the definition of population in Statistics. In the post-test, 66% of the group got the question right, which indicates that they managed to expand the concept to other examples that were different than population and number of people in a location.
The second question was "What does sample mean? Write a sentence using the word sample.". In the pre-test, it was possible to observe that the students had an idea about the sample concept, because 66% of the group got the question right. However, it is worth mentioning that among those who got the concept of sample right, 45% of the students used the word population in their definitions, and in 95% of the right answers the idea of "part of a whole" appeared. It is noticeable that the question of representativeness was not addressed by the majority of the group, appearing in only 22% of the responses. For the post-test, the percentage of correct answers rose to 88%.
The third question, presented in Chart 2, had as main objective to identify if the participants were able, based on the analysis of the information presented in a bar chart, to interpret and answer questions related to it. To assess this ability, a question that was part of the evaluation of the Olimpíada Brasileira de Matemática das Escolas Públicas 16 , in 2007, was chosen. Everyone got this question right, both in the pre-test and in the post-test.
A question of low correct answers rate in the pre-test was question 4, which also aimed to evaluate the ability to interpret graphs (see Chart 2). A question from the 2002 Exame Nacional do Ensino Médio 17 (ENEM) was used, which involved a multiple column chart. In the pre-test, 22% of the students got it right, however the group showed an improvement in the interpretation of the question, since 55% got it right in the post-test.
Questions 5, 6 and 7 evaluated concepts of mode, mean and median, and the class performance was low in the pre-test, with the percentage of correct answers being 22%, 44% and 0%, respectively. In question 5, which was about mode, "What does mode mean in statistics? Write a sentence using the word mode.", the group related the concept as being the highest frequency, with examples relevant to mode in statistics. All participants correctly
16 Free translation: "Public Schools' Brazilian Mathematics Olympiad"
Zetetiké, Campinas, SP, v.28, 2020, p.1-20 – e020013 17 Free translation: "National High School Test"
developed the calculations of the arithmetic mean in question 6 (see Chart 3), however there was an error in interpreting the data from the table presented, which generated an error in the sum of the data. On the last question, which was about the median, the students showed not to know anything about this concept in the pre-test. It was possible to verify that there was an increase in the percentage of correct answers when evaluating the performance in these questions in the post-test in relation to the pre-test. The percentage of correct answers rose to 88% in questions 5 and 6. In the last question of the test, question 7 (see Chart 3), which was about median, no one answered the question correctly in the pre-test, which demonstrated a lack of knowledge on the subject. It was evident that they did not know what the median was, since no one wrote about the median, but they commented on the variability of ages, avoiding the theme or referring to the average age. In the post-test, all of them answered demonstrating their understanding of median as the central term of a list of data. However, 66% of the class got the median right. The others made the same mistake that was considering the median value as the central value, but without considering that the list of data should be put in order.
Chart 3- Questions 6 and 7 from pre and post-tests
18
DOI: 10.20396/zet.v28i0.8656749
It should be noted that throughout the practice, the concepts of mode, mean and median were worked on, however the results were not explained in this article. There were activities proposed in Google Docs, such as answering a quiz that involved questions about these concepts. And, throughout the statistical analysis of the death data, questions such as "What is the age mode among the deaths of 1955? And the median? " or "Calculate the arithmetic mean of the age of slaves who died due to cholera" were proposed
Final considerations
Throughout the research, alternatives to work on statistical concepts in Elementary Education were sought. It was tried to show the importance of Statistical Education, as well as its articulation in an interdisciplinary study, using Statistics as a communication tool between different areas of knowledge.
At the first moment, when the study proposal was announced to the students, it's possible to observe an acceptance of the invitation made by the teacher. Although the positive response to the acceptance was small in the class, as only nine students accepted the proposal, this acceptance, according to Barbosa (2001), is essential for the student involvement in the mathematical investigation environment to occur. The small number of participants may be a limitation of this study, but this was because it was an activity developed during the evening. However, it is worth mentioning that this same fact favored very rich and intense debates within the group, in which everyone actively participated.
The approach by Mathematical Modeling provided students with the opportunity to experience classes that favored the involvement and collaboration of all participants, in carrying out an investigative work that brought school Mathematics closer to the components of History and Science. Throughout the activities, it was possible to perceive the applicability of statistical concepts from an interdisciplinary context.
In the quest to understand demographic data of slaves buried in the cemetery of Santa Casa de Porto Alegre, in the 19th century, the students experienced the selection of a random sample, the construction of the database and the elaboration of the appropriate frequency distributions and graphs, considering the characteristics of the study variables and, finally, they made the analysis of the statistical results produced, which synthesized the main subjects addressed by the disciplines of History and Science. The interdisciplinarity and the basis of Mathematical Modeling made it possible for students' statistical learning to be developed and the discussions that took place throughout the time showed that this type of teaching favored the understanding of the statistical concepts covered, as seen in the comparison of the results on the pre-test and post-test. The search for knowledge of the cause of death of slaves buried in the Santa Casa Cemetery in Porto Alegre, in the 19th century, gave students the opportunity to learn about the precarious conditions that slaves lived in, in the whole population: they lived in low, poorly ventilated, small and crowded places. This research allowed teachers from different areas to bring to the classroom important social issues such as discrimination and racism, which are still present today, and has generated some debates among students, making it possible to realize that, throughout the journey in conducting this study, they were able to develop a critical view from the data analysis. This critical thinking appeared in the works that were presented at the different events they participated.
It is also noteworthy the use of technologies, such as the use of Google Forms, slide presentations, Google Docs and the use of electronic spreadsheets, which helped in all stages of the pedagogical practice, whether in the creation of the database, in the exhibition content, in the construction of graphs or even in the preparation of the reports and presentations.
Studying statistical concepts operating with historical data, in an interdisciplinary perspective, showed an excellent opportunity for an experience with Statistical Education, that is, more than teaching Statistics it was possible to contribute to the formation of an awareness about the past, necessary for the formation of critical citizens who will be able to use the knowledge acquired to fight in the present for a better future, with less discrimination and prejudice.
Finally, we evidenced with this research that the study of Statistics, in fact, became the link among disciplines, boosting interdisciplinary work. Hereupon, we will continue to investigate in new researches the potential of Statistics in interdisciplinary pedagogical practices.
References
Akanime, C. T., & Yamamoto, R. K., (2009). Estudo Dirigido de Estatística Descritiva. 2ª ed. São Paulo: Érica.
Barbosa, J. C. (2004). Modelagem matemática: O que é? Por que? Como?. Veritati, (4), p.7380.
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DOI: 10.20396/zet.v28i0.8656749
Barbosa, J. C. (2001). Modelagem na Educação Matemática: Contribuições para o Debate Teórico. ANPED, 1 CD-ROM. Retirado em 15 de outubro, 2017, de: <http://www.ufrrj.br/emanped/paginas/-conteudo_producoes/docs_24/modelagem.pdf>.
Ministério da Educação (MEC). (1998). Parâmetros Curriculares Nacionais (PCN) Brasília: Ministério da Educação- Retirado em 21 de setembro, 2019, de: <http://portal.mec.gov.br/seb/arquivos/pdf/matematica.pdf>.
Ministério da Educação (MEC). (2017). Base Nacional Comum Curricular: Educação Infantil e Ensino Fundamental. Brasília: MEC/Secretaria de Educação Básica. Retirado em 21 de setembro, 2019, de: <http://basenacionalcomum.mec.gov.br/#/site/inicio>.
Campos, C. R., Wodewotzki, M. L., Lorenzetti, & Jacobini, O. R. (2013). Educação Estatística: teoria e prática em ambientes de modelagem matemática. 2ª ed., 144p. São Paulo: Ed. Autêntica.
Fazenda, I. C. A. (2011). Integração e Interdisciplinaridade no Ensino Brasileiro Efetividade ou Ideologia. 6ª ed., São Paulo: Loyola.
Flores, M. (2007). Africanos na Santa Casa de Porto Alegre: Óbitos dos escravos sepultados no cemitério da Santa Casa (1850-1885). Centro Histórico Cultural Santa Casa – Porto Alegre: EST.
Lodovici, F. M. M., & Silveira, N. D. R. (2011). Interdisciplinaridade: desafios na construção do conhecimento gerontológico. Estudos Interdisciplinares sobre o Envelhecimento. Porto Alegre, 16(2), 291-306.
Lopes, C. E., & Carvalho, C. (2009). Literacia Estatística na educação básica. Escrituras e Leituras na Educação Matemática. 1ª Reimp. Belo Horizonte: Autêntica.
Lopes, C. E. (2010) A educação estatística no currículo de matemática: um ensaio teórico. Anais da 33ª Reunião da ANPED (pp. 1-15). Retirado em 06 de outubro, 2017, de: <http://33reuniao.anped.org.br/33encontro/app/webroot/files/file/Trabalhos%20em%20P DF/GT19-6836--Int.pdf>.
Santos Filho, L. (1947). História da Medicina no Brasil: (do século XVI ao século XIX). São Paulo: Ed. Brasiliense.
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Policy Statement
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Those under the age of 13 must have approval from a guardian in order to be issued a Library Account. Guardians must meet ID requirements listed above.
Applicants between the ages of 13 and 17 ("Teen Applicants") i do not need a guardian's permission to be issued a Library Account. Teen Applicants will be issued an account upon presentation of current photo ID, which can include a school ID. Teen Applicants without photo ID will have a library card mailed to their residences. These accounts will have a one-time, three item check-out limit from the Library's book and media collection. Upon returning with the library card, the account holder will have full account privileges.
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Library Account Holders are responsible for reporting lost or stolen library cards and key tags immediately to library staff. Account Holders are responsible for all items checked out by anyone using their Library Account. A replacement card will be issued to the Library Account holder at no cost with presentation of valid photo ID.
Teen account requirements have been updated as a result of the Children's Online Privacy Protection Rule ("COPPA").--
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Gryllus texensis and G. rubens, Field Crickets
(Orthoptera: Gryllidae)
Steven Richardson, Forest Huval and Gene Reagan
Description
The Texas black field cricket (Gryllus texensis) and the southeastern field cricket (Gryllus rubens) are ubiquitous seasonal insects in the southern United States, including Louisiana. Currently, 106 species of field crickets are included in the genus Gryllus. At least two, and possibly three, are present in Louisiana: G. rubens, G. texensis and possibly G. firmus. The physical appearances of many, including those in Louisiana, are nearly identical. Subtle differences in male calling patterns are often the only reliable way to distinguish closely related species. In addition, Louisiana is within the hybrid zone of the two crickets, which can make positive identifications even more difficult.
The adult body length of both species is approximately 1 inch (25mm). Mature nymphs can be as large as adults but possess only wing buds. Adults possess dark brown or black forewings. Light brown hindwings are sometimes visible, protruding posteriorly from underneath the forewing. Adults have hind legs that are longer than the body, bearing multiple long spines on the tibia. Females have a long, straight ovipositor at the end of the abdomen used for laying eggs beneath the soil. Both species are almost externally identical, with the exception of G. rubens females. They possess longer ovipositors than those of female G. texensis. Both sexes possess a pair of long, slender appendages (cerci) near the tip of the abdomen. The antennae are slender, and about 1.5 times the length of the body.
Life Cycle
Gryllus texensis and G. rubens can both be found during warm seasons of the year in Louisiana, where they typically go through two generations annually. Adults present during late summer and early fall lay eggs that overwinter and become the first generation of adults during spring. Males produce a chirping mating
call using specialized surfaces on their wings that are detected by sensory organs on their front legs. Gryllus rubens has a higher pulse per trill rate and more low frequency ticks per phrase compared to G. texensis. Crickets use preexisting structures to act as acoustic amplifiers for their chirping. A 2011 study by Professor Jang Yikweon showed that younger males of G. rubens listen to the sounds of other males and attempt to steal females attracted to those songs by placing themselves between that male and an approaching female. However, older males use their own songs in an attempt to outcompete the sound of other males. Adults of both sexes in the early summer generation possess longer
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wings that allow for wider dispersal. Adults in early fall are shorter winged. But these females have higher reproductive potential than those found in the spring, presumably because fewer resources are allocated to growing and maintaining longer wings. One adult female can lay hundreds of eggs during her lifetime. Eggs from spring adults incubate for around 20 days beneath the soil with the duration dependent on temperature and are sensitive to soil moisture levels. When nymphs emerge from the soil, they are about the size of a pin head, roughly 1/12 of an inch (2 mm) in length. First generation nymphs molt eight to 10 times and quickly grow into adults during late spring or early summer. Time from nymph to adult takes two to three months and is dependent on environmental conditions and food consumption. Both species are omnivores, scavengers, and cannibals, feeding on a wide range of organic matter including plants, fruits, and protein from dead arthropods.
Ecological Significance and Pest Status
The frequent problem with both G. texensis and G. rubens species is seasonal swarming during outbreak years. Favorable environmental conditions the previous year can lead to massive numbers of overwintering eggs and result in a huge late summer generation of field crickets. Massive numbers of emerging crickets result in swarms lingering mainly around lights at night in the fall. Although they are not considered urban pests, they can be an eyesore and an aesthetic issue for homeowners with halogen or mercury vapor lights around homes and outbuildings. During some years they may cover the perimeter and walls of convenience stores and truck stops in massive numbers due to the use of bright parking lot lights. Even in years with low numbers, some crickets enter buildings and
homes around brightly lit entrances. Field crickets will not infest or breed inside homes due to their dependence on humidity and food resources, as well as a lack of moist soil necessary for egg laying. Field crickets can be occasional pests in home gardens, fruit and field crops, but in Louisiana they are mainly episodic nuisance pests.
Field crickets are an important food source for many insectivorous wildlife, including birds, lizards, predatory insects, spiders and various other arthropods. They are also parasitized by a number of insect parasitoids, most notably species of flies and wasps in several families. The large biomass available during outbreak years is an episodic boom to these organisms and often results in unusually large populations of organisms that are higher in the food chain during subsequent seasons.
Control
Although appropriate insecticides could be used for a perimeter treatment around homes or businesses, they do little to prevent more crickets from appearing in swarms in the coming days. The most effective treatment strategy is to keep perimeter lights off to prevent attracting large numbers of crickets and other insects. Where lights must be kept on, replace any halogen and mercury vapor lights or other lights that attract insects with an alternative that produces a different wavelength of light. Avoid ultraviolet and blue light as these are the most visible colors to insects. One light bulb recommendation is a yellow-colored compact fluorescent light (CFL) that is less likely to attract large numbers of insects.
References
Adamo, S. A., and M. E. Lovett. 2011. Some like it hot: the effects of climate change on reproduction, immune function and disease resistance in the cricket Gryllus texensis. Journal of Experimental Biology 214: 1997–2004.
Adams, W. 2016. Cricket tails and fails in central Texas. U.S. 105 New Country Local News. https:// us105fm.com/cricket-tales-and-fails-in-central-texas/ (accessed 20 May 2021).
Jang, Y. 2011. Male responses to conspecific advertisement signals in the field cricket Gryllus rubens (Orthoptera: Gryllidae). Plos One 6(1): https://doi.org/10.1371/journal.pone.0016063 (accessed 20 May 2021).
Cade, W.H., D. Otte. 2000. Gryllus texensis n. sp.: a widely studied cricket (Orthoptera: Gryllidae) from the southern United States. Transactions of the American Entomological Society 126: 117123.
Weissman, D. B., and D. A. Gray. 2019. Crickets of the genus Gryllus in the United States (Orthoptera: Gryllidae: Gryllinae). Zootaxa, 4705: 1-277.
Zemel, R. S., and D. C. Houghton. 2017. The Ability of Specific-wavelength LED Lights in Attracting Night-flying Insects. Great Lakes Entomologist 50: 79–85.
Contact Us: For advice about arthropod identification or diagnosis, contact the LSU AgCenter Department of Entomology. Reach the department through the Contact Us webpage: https://bit.ly/36c4awm.LSU AgCenter logo
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The LSU AgCenter and LSU provide equal opportunities in programs and employment.
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MBTA 2023-2027 Capital Improvement Plan Oversight Report
REPORT
MBTA Advisory Board
177 Tremont Street, 4 th Floor, Boston, Massachusetts 02111 www.mbtaadvisoryboard.gov
Capital Committee: (A-Z by municipality)
ADVISORY BOARD STAFF
Brian Kane Executive Director
Amira Patterson Transportation Planner
Deborah West Office Manager
The MBTA Advisory Board is a government body organized under Massachusetts General Law to oversee the finances, operations, and activities of the Massachusetts Bay Transportation Authority. The Advisory Board represents the interests of the 176 cities and towns in the MBTA service district. In FY23 these municipalities will contribute over $180 million in subsidies to the MBTA via municipal assessments
Contents
APPENDIX 2: Municipal Statements: ......................................................................................................... 21
EXECUTIVE SUMMARY
The 176 cities and towns in the MBTA Service District broadly support the Massachusetts Bay Transportation Authority's (MBTA) Capital Investment Plan (CIP). There is much to be applauded in the plan: continued investments in new red and orange line cars, over $500 million for the South Coast Rail project, and hundreds of millions more for new, cleaner, buses and the facilities to maintain and operate them from. There are also areas where this plan could do better. Specifically, the lack of a cohesive strategy around rail transformation is disappointing. While there is $50 million over 5 years to support the procurement of future regional rail rolling stock, the lack of a strategy, timeline, and location for the commuter-to-regional transition is disappointing. There is much demand for electrified, regional rail to start as soon as possible, and the MBTA owes its public a timeline and strategy for transitioning from Commuter to Regional Rail.
There is also great concern about what the future holds. A $230 million operating budget fiscal cliff looms in Fiscal Year (FY) 2023, as does the so-called fiscal calamity capital budget deficit in FY2024 when many federal and state funds dry up. What is the MBTA's strategy to manage the fiscal cliff and fiscal calamity without service cuts?
Also considering the recent deaths at a railroad crossing in Wilmington, and at the Broadway Station in South Boston, member municipalities also legitimate safety concerns. Hundreds of millions of dollars have been spent in the past few years, yet incidents continue to occur. Is the system actually getting safer, more reliable, and efficient or not? What can the MBTA show for the public's investment, and can it categorically assure the public that the system is safe for all stakeholders?
INTRODUCTION
For the first time in many years, the MBTA proposes an independent, rolling, 5year, stand-alone Capital Investment Plan, and we praise this action. This plan also marks the return to a document with a 5-year horizon, as opposed to the past two plans that were each one-year in duration. While the MBTA deserves credit for these advances, it must be noted that it is still in violation of Massachusetts General Law, specifically M.G.L. c. 161a, § 5(g), paragraph 8, sentence 1 which states: "The authority shall conduct a series of public meetings within 30 days of issuance of an initial draft of the capital investment program and shall submit a final capital investment program to the advisory board, for its review, no later than January 15 of each year." The Advisory Board received the CIP on March 24, 2022 – eighty-two days after the statutory deadline. The MBTA should either follow the law, or ask the Legislature to change the law instead of ignoring it.
The FY2023-FY2027 CIP is a $9.4 billion dollar program encompassing 552 individual projects. Such a large plan requires more attention, scrutiny, and transparency than the current schedule or current public process provides. The Authority's current CIP review schedule calls for a 31-day public comment period from March 24, 2022 to April 25, 2022 and three public meetings, before a scheduled authorization vote by the MBTA Board of Directors in May 2022. Thirty-one days to review $9.4 billion requires considering $312,903,226 each day, or $13,037,634 each hour for 31 days straight. Certainly, meaningful oversight and scrutiny requires more time than this.
PROCESS OVERVIEW
The full MBTA Advisory Board met on March 28, 2022, to receive a presentation on the CIP from the MBTA's Jillian Linnell, Senior Director of Capital Planning. At this
2
meeting, the Advisory Board voted to refer the plan to its Capital Investment Plan Oversight Committee with a charge to review the plan, write an oversight report, and make a recommendation to the full Advisory Board about the plan. This document represents the completion of that charge. The CIP Oversight Committee met on April 14 and April 21 to meet its charge, discuss an approach, and direct staff on the drafting of this document. In addition, the Commuter Rail Committee met on April 14, 2022 and the Rapid Transit Committee met on April 19, 2022 to provide additional input on specific components of the CIP and provide comments to the Capital Committee for its consideration. In addition, the Capital Committee solicited letters from all communities in the district for inclusion in this report. These letters are found at the end of this document.
The MBTA Board of Directors voted to release the Fiscal Year's 2023-2027 Capital Investment Plan to the public for a 31-day comment period at its March 24, 2022 meeting. Following this, the Authority hosted 3 public meetings on March 31, April 6, and April 12 via Zoom to discuss the plan with the public and garner its comments. In addition, MBTA staff presented early drafts of the plan at the MBTA Board of Director's Finance & Audit Committee at its meetings on January 26, February 10, and March 10. This committee is scheduled to receive a final presentation on the plan at its May 12, 2022 meeting, followed by a final vote by the Board of Directors on May 26. The plan takes effect on July 1, 2022 at the start of fiscal year 2023.
FUNDING
The Capital Investment Plan is funded, essentially, by three different sources: MBTA, Federal, and State (in order of amounts).
3
MBTA Funding:
To fund its share of the capital plan, the MBTA issues what it calls revenue bonds, which are loans made against its future revenue, as well as certain other types of borrowing. These loans are paid back with interest from the annual operating budget, sometimes over a 30-year period unless re-financed. For instance, this year, in 2022, the Authority is scheduled to pay off a loan from 1998. As of June 2021, the MBTA owes $5.35 billion in debt, with the last payment on these debts scheduled for 2052. The anticipated interest on this borrowing is $2.3 billion over the same time periods. 1 This is $7.65 billion in debt that must be repaid from the operating budget between 2022 and 2052, assuming no additional borrowing. To support its share of the CIP, the Authority plans to borrow $3.9 billion against its operating budget. In addition to borrowing against the operating budget, the MBTA also plans to utilize about $500 million in surplus operating dollars to the capital budget for use in the near term.
Federal Funding:
Money from the United States government is the second-largest source of funding for the CIP. Federal funds will provide $3.8 billion over 5 years towards this CIP, including money from the Federal Transit Administration (FTA), Federal Railroad Administration (FRA), Transit Security Grant Program, and money flexed from the Federal Highway Administration (FHWA). FTA funds flow to the MBTA under numerous programs generally authorized under a 5-year federal transportation bill. FRA funds are also grants awarded to the Authority dedicated to commuter rail projects. The Transit Security Grant Program is a discretionary grant appropriation providing capital dollars to strengthen the safety and security of the nation's transit
1 MBTA Financial Statements and Required Supplementary Information, June 30, 2021. p. 35
systems. Finally, FHWA funds refer to dollars flexed to the MBTA via the Boston Regional Metropolitan Planning Organization (MPO). The Authority also borrowed $850 million from the U.S. Department of Transportation in 2017 under its Transportation Infrastructure Finance and Innovation Act (TIFIA), and Railroad Rehabilitation and Improvement Financing (RRIF) programs, principally to fund federally mandated safety improvements on the Commuter Rail system. The TIFFIA and RRIF loans were consolidated in 2020, and the total loan increased to over $850 million. This loan, which has an interest rate of between 1.15% and 1.45%, will be completely paid off in 2054. 2 The T also holds $420 million in Build America Bonds (BABs), which were issued in 2009 under the American Recovery and Reinvestment Act (ARRA) to create jobs and stimulate the economy.
State Funding:
The Commonwealth of Massachusetts has made a commitment to fund $1.41 billion of this CIP from The Commonwealth's borrowed sources. The State is committed to directly funding certain specific projects such as the South Coast Rail project, and the manufacture of new Red and Orange Line cars. Each year the Executive Branch files a borrowing authorization for transportation, called a transportation bond bill with the Legislative Branch. This bill seeks authorization to borrow against future tax revenue to fund ongoing and new transportation infrastructure projects. Generally, the Legislature eventually passes a compromise bond bill, which is signed by the Governor, thus authorizing the borrowing of funds for specific projects by the Commonwealth's Treasurer and Receiver General. The Commonwealth has outstanding statutory debt of $28 billion as of June 30, 2020. 3
2
3
MBTA Financial Statements and Required Supplementary Information, June 30, 2021. p. 31
2020. P. 119
Commonwealth of Massachusetts Comprehensive Annual Financial Report for the Fiscal Year Ended June 30,
5
SPENDING
The Fiscal Year's 2023-2027 Capital Investment Plan programs $9,342.5 billion to fund 552 discrete capital projects across the MBTA region, and across all MBTA modes of transportation. Funds are budgeted for static infrastructure, revenue and non-revenue vehicles, as well as for projects to expand the network. Table 1, below, describes the proposed spending by MBTA primary mode or line.
Table 1: FYs 23-27 CIP Programmed Spending by Mode/Line
Spending is also spread out across 8 broad categories: Vehicles; Guideway, Signal, and Power; Maintenance and Administration Facilities; Expansion (includes Green Line Extension and South Coast Rail); Passenger Facilities; Bridge and Tunnel; Technology and Innovation; and other Projects. Table 2 details proposed capital spending by category.
Table 2: FYs 23-27 CIP Programmed Spending by Category
Source: MBTA Advisory Board analysis
Spending can also be broken out by the phase it is currently in. The MBTA categorizes phases as either: Construction; Design; Planning; Proposed; PrePlanning; or Closeout. Table 3 below, describes the proposed spending in these phased during the 5-year CIP.
Table 3: FYs 23-27 CIP Programmed Spending by Phase
Source: MBTA Advisory Board analysis
Commuter Rail:
There are 118 projects included in the Commuter Rail category. The largest single project is $493.5 million to fund continued work on the South Coast Rail project, to extend the Middleborough/Lakeville Commuter Rail line to Fall River and New Bedford via Taunton. The second largest Commuter Rail program is $173.6 million to install Automatic Train Control signal cab equipment on all northside Commuter
Rail lines. Major work is also funded at both North and South Stations, the two termini of Commuter Rail. At North Station, $157.4 million is programmed for the design of the Draw 1 Bridge replacement and expansion. Draw 1 carries all northside lines just outside North Station via a movable bridge over the Charles River. This critical reliability and modernization project will fund the design of a new, larger drawbridge which will include 6 tracks instead of 4 on the bridge itself, as well as the addition of 2 new platforms at North Station for increased capacity. At South Station, $71.1 million is programmed for construction of new signals, switches, track, and generators to improve reliability, and improve train movements at the southside terminal. While this series of discrete projects is notable, and clearly aimed at bringing the system into a state of good repair, we lament the lack of a coherent strategy to convert the Commuter Rail system into a Regional Rail system, and call upon the Authority to take urgent action to formulate and implement such a strategy.
Green Line:
There are 52 Green Line projects in the CIP, valued at over $1.6 billion in FYs 2327. The largest single programmed expenditure is $357.7 million towards the Green Line Extension from Lechmere to Union Square and College Avenue in Medford. Although this segment of the Green Line Extension project is scheduled to open later this year, funds will be needed for several years before finalization and close out. The second largest program among Green Line projects is $311.2 million for the continued design and development of Green Line Type 10 cars. Known as the Green Line supercar, these funds will be used to continue design on the new cars which will transform the line and add significant capacity at lower operating costs. Funds are also in this CIP for a Green Line Train Protection System; infrastructure
improvements on the Green Line's central subway tunnel; street-level track, station and signal improvements; as well as funds for upgraded and improved maintenance equipment at Green Line maintenance facilities. One of the most exciting programs funded in this CIP is $40.1 million to transform and upgrade Hynes Convention Center Station into a modern, 100% accessible station. Completing this station, along with planned work at Symphony Station will leave just Boylston Station as the last inaccessible station on the Green Line subway. We urge the MBTA to begin the design and public process to make Boylston, and all other Green Line stations and surface stops 100% accessible as soon as possible. We note the funding to make Newton Highlands accessible in this plan.
Systemwide:
Projects that span all or part of the MBTA network are categorized as systemwide investments. These projects, such as electrical power upgrades to more than one subway line, systemwide fare collection, and administrative facilities are examples. 196 discrete projects are programmed in this category, valued at over $1.5 billion over 5 years. Many of these projects are state-of-good-repair projects, and relatively small in nature. Projects such as: heating, ventilation, and air conditioning inspection and evaluation ($0.8), upgrades to parts warehouses, traction power substation battery replacements ($0.5), and systemwide switch replacement ($0.8m) are examples. The largest single project is $420.1 million over 5 years towards the replacement of the existing automated fare collection (AFC) system. Again, this year, we seek clarity from the MBTA about concerns with the singletrack section of the Old Colony line between JFK/UMass station and Braintree. Once South Coast Rail comes online, the pressure on this segment will increase. We seek reassurances that the MBTA is confident in its ability to operate additional
service over this segment with minimal interruption to existing service levels to Old Colony communities.
Bus:
This plan marks a major investment in the Authority's bus system. Over $1.1 billion for 65 discrete projects are included in the plan. Major investments in the bus fleet, facilities, stops as well as improvements to municipal streets and signals is all included in this CIP. $471.6 million is programmed to procure new hybrid-electric and battery-electric 40-foot buses to replace vehicles from the mid-2000's. To support these new vehicles, $481.1 million is programmed to upgrade or to replace existing bus maintenance and fueling facilities, including the Quincy, Albany, Arborway, North Cambridge, Everett, and Charlestown facilities. $139.8 million is programmed to overhaul parts of the existing bus fleet to help ensure service reliability, and efficiency. Over $53.4 million is also programmed to design, construct, and operate new dedicated bus lanes, and to upgrade existing municipal traffic signals to give MBTA buses priority. Lane and TSP projects are programmed specifically in Boston, Somerville, Malden, Chelsea, Lynn, Everett, Cambridge, and Brookline. While the transformation of bus facilities is laudable, we hope the MBTA is adamant about cost containment with its contractors. Borrowed public money is not a blank check.
Red/Orange Lines:
This $1.08 billion category will fund the ongoing procurement, testing, and commissioning of 252 new Red Line and 152 new Orange Line cars, plus upgrades to the signal system used to safely manage these vehicles while in revenue service. Funds in this category will also be used to expand and to upgrade maintenance yards and facilities to support these new vehicles. A small amount of these CIP
category funds will go towards the joint Red and Orange Line station at Downtown Crossing. The MBTA should also update stakeholders on the status of the Red/Orange line car replacement, and tunnel/Right-Of-Way upgrades to assure the public that the project is moving forward in a timely, and orderly manner.
Red Line:
The plan also includes $452.4 million in upgrades to Red Line infrastructure. The largest project in the plan is $185.2 million towards the rehabilitation of the approach track from the Charles/MGH Station onto the Longfellow (West Boston) bridge. Included in this initiative is new track, power, communication and signal systems, and additional emergency exits and redundant elevators. Funds are also programmed for repairs to the ageing Alewife, Braintree, and Quincy Adams parking garages. State of Good Repair projects are also programmed including improvements to cables, interlockings, tracks, elevators, signals, duct banks, and tunnels.
Multimodal:
Multimodal projects are ones that benefit more than one MBTA mode, or type of service. For instance, replacement of electrical substations benefits both heavy and light rail modes. The largest discrete project in this category is $25.1 for improvements to trucks, brakes, motors, current collectors, propulsion and auxiliary fuses on the Blue Line and improvements to propulsion, brakes, HVAC, and doors on the Red and Orange Lines. Funding to continue the planning for the Red/Blue connector is also included in this category. The Authority owes its stakeholders an update on the Fare Transformation initiative, and the Advisory Board requests an update for its member communities soon.
Orange Line:
$182.9 million is programed in this category for upgrades to Orange Line track, power, station elevators, technology, and overall station amenities. The largest single project in this category is $46.5 million for a full rebuild of Wellington Yard including upgrades to track, power, signal, communications, drainage, and other yard elements. Wellington is the principal maintenance facility for the current Orange Line fleet as well as for the new vehicles currently under testing and construction.
Silver Line:
The Silver Line is series of bus rapid transit routes operating in both Boston and Chelsea. $117 million is budgeted for 5 projects, including $77 million towards the procurement of 45 sixty-foot enhanced electrical hybrid buses to replace parts of the existing fleet of dual-mode articulated hybrid buses. Funding is also included for repairs and upgrades to Courthouse Station, and completion of the new Chelsea Silver Line/Chelsea Commuter Rail Station. The MBTA urgently owes communities just north of Boston, and the City of Everett specifically, an explanation for the delay in the implementation of the Silver Line Extension project. Cites such as Everett and Chelsea have permitted new construction based on MBTA timelines for the start of this service, yet the wait continues.
Blue Line:
$87 million over 5 years is programmed in the CIP specifically for Blue Line projects. The largest single project is $50.6 million towards infrastructure improvements across the Blue Line. This will include rebuilding the Long Wharf Emergency Egress; track and tunnel infrastructure improvements between Aquarium and Maverick; communication room improvements; and Suffolk Downs station reconstruction.
Funds are also included for improvements on the blue line cars, as well as for station and maintenance facility improvements. Please provide stakeholders an update on progress towards connecting the Red and Blue Lines, an improved multimodal Wonderland Station, and on the elimination of trip-stops on the Blue Line.
Mattapan High Speed Line:
The Mattapan High Speed Line is a light rail line connecting Ashmont and Mattapan Stations in Boston and Milton. The bulk of the funding in this category is $69.3 million to support the pre-design of improvements to make stations accessible, as well as for power upgrades and other infrastructure improvements to the line. There are also funds to continue the overhauls of the World War II-era light rail trollies. The Authority owes an explanation to the people of Ashmont, lower Dorchester, Mattapan and the Town of Milton about the delay in the refurbishment of the PCC cars.
Ferry:
$39.5 million is programmed for the MBTA's Ferry service. The largest project is $22.3 million for improvements for the Hingham Ferry dock. This project will see the replacement of the existing floating dock, access gangway, canopy, and walkways; extension of canopy structure to the Hingham Intermodal Center; and upgraded lighting, safety, and security systems. In addition, funding is programmed for overhaul work on MBTA-owned ferry vessels.
Paratransit:
Just under $30 million is programmed for MBTA's paratransit program, The RIDE. Of this, $18.1 million will go towards the ongoing replacement of RIDE vans and sedans, equipment of the full fleet with reliable in-vehicle technology, and procurement of a maintenance quality control consultant. Funding is also
programmed for software planning for The RIDE, and upgrades to vehicle components.
ANALYSIS
The structural deficit experienced by the MBTA since Forward Funding caused needed maintenance to be skipped, and required vehicle replacements to be
delayed. Without sufficient revenue for its operating budget, necessary safety and other oversight positions were unfilled. Routine maintenance, and infrastructure
upgrades were deferred and deferred again, as additional borrowing would only place more pressure on an already pressured operating budget. Because the MBTA
lacks a dedicated subsidy source for its infrastructure needs, it is forced to borrow against its future operating subsidy sources, adding pressure on future operating
budgets to service the Authority's substantial debt. The MBTA's current subsidy sources simply are insufficient to fund its daily, safe operation, and repay its
massive debt; never has been, never will be. The MBTA is less safe than it could be because of its financial constraints, and it might only get worse. A 2021 report by
the Massachusetts Taxpayers Foundation, a group not know for hyperbole, estimates that the MBTA needs $1.25 billion annually in new revenue for its capital
and operating budgets by July 2024. Without it, the Foundation reports, "the trend is unequivocal and unsettling. This is a fiscal calamity."
4
Fiscal Cliff: March 2023:
The MBTA predicts a $236 million operating deficit for FY2024 (July 1, 2023 – June
30, 2024).
5
Without a minor miracle, or dramatic changes, service cuts and/or fare increases appear likely starting in July 2023. For context, in late 2020, the Authority
4
5
MBTA finances cast a long, red shadow for incoming leaders, 9/16/21
03/AF%20Subcommittee%20FY23%20Budget%20Preview%203.10.22%20-%20VF.pdf https://cdn.mbta.com/sites/default/files/2022-
proposed service cuts aimed at netting $112 million in savings, which is less than half of the estimated Fiscal Cliff deficit 6 . The service cuts proposed in 2020 were:
* End all heavy rail, light rail and bus service at 12AM
* End weekend commuter rail
* End all commuter rail service at 9PM
* End ferry service
* Cut 25, consolidate 14, and shorten 5 bus routes
* 5%-20% frequency reduction on all remaining service.
* Terminate the green line E branch at Brigham Circle
* Extend wait times to 40 minutes for The RIDE
* Close 6 commuter rail stations, and the Needham layover facility
* End the suburban bus program
These service cuts were expected to net half of the operating deficit expected in the Fiscal Cliff. Also, these deficits only grow year-over-year. The MBTA is headed straight for a fiscal calamity that starts 6 months from the start of the next Gubernatorial Administration, and next Legislature. But, the budgets and plans, such as next year's CIP and Operating budget will likely be published starting next March, three months after the start of the new Administration and Legislature.
Fiscal Calamity March 2024:
As the Massachusetts Taxpayers Foundation (MTF) report points out, one year after the Fiscal Cliff, comes the Fiscal Calamity. On top of the massive operating budget
deficit requiring a fix, starting in 2024 the MBTA starts facing a massive capital deficit, because specific, targeted one-time state and federal funds expire at the
end of FY23. Starting in FY2024, over $4 billion in one-time funding was granted to the MBTA for specific projects:
* New Red and Orange Line cars
* South Coast Rail
* Green Line Extension
6
See MBTA Advisory Board's "Forging Ahead Review" December 4, 2020
As MTF reports, by 2025 or 2026 the MBTA will be left with only its federal formula funds, $60 million in state bond cap, and its own revenue bonds which must be repaid from future operating budgets for its capital program, unless something changes. These funds will amount to less than $1 billion in funding starting in FY2025/6, compared with the nearly $2 billion per year the Authority has been investing for the past few years. $1 billion is a lot of money, unfortunately it is insufficient for the deferred maintenance needs of the system, let alone major transformations for safety, climate change, or system expansion.
Safety:
Is the MBTA safe? With recent reports of derailments 7 , collisions 8 , escalator failures 9 , deaths on the Red Line 10 , Commuter Rail collisions, 11 and numerous other issues resulting in injuries and death suggests a second look is needed. The MBTA has a history of safety concerns. In September 2019 a special panel chaired by former federal transportation Secretary Ray LaHood was emplaned to review T safety. This damning report made it clear that change was needed at the MBTA to make it safer.
Critical [Performance Maintenance Inspections] PMIs are not taking place as required. This creates a serious issue that requires immediate attention and this information has already been shared with MBTA leadership. Over the years, due to shortage of and/or inexperienced leadership, competing priorities and fiscal controls, operational managers have had difficulty identifying what maintenance and inspections need to be done, or have been dropped due to fiscal pressures or lack of staffing. Furthermore, there is little, or in many cases, no data to support what maintenance and inspections are required, or what has been accomplished. In other instances, procedures are well documented and available, but are not enforced by local supervision. It also does not appear that sufficient condition assessments have been conducted on many system assets that may drive a higher
7 Boston Globe: "MBTA Among nation's worst for derailments, records show" 6/11/19
9 Boston CBS: "9 hurt at Back Bay MBTA station after escalator malfunction" 9/27/21
8 Commonwealth Magazine: "T gets/gives updates on collision, derailment" 9/21/21
10 NBC Boston: "Man dead after being dragged by Red Line Train" 4/10/21
11 WCVB TV: "Wilmington woman killed after vehicle collides with MTA train" 1/23/22
level of preventive maintenance actions. This will require leadership's urgent attention to identify what inspections and maintenance must take place, at what intervals, and establish performance indicators that show progress against stated goals
Safety Review Panel Final Report, December 9, 2019 p. 4
Two-and-a-half years later, the public has the right to ask if anything has changed? Millions have been invested in the past decade in MBTA infrastructure, yet what is there to show for these investments? Is the system safer, more efficient, more reliable, easier to use? It remains unclear. Within reason, the public deserves reassurance that the system is safe. MBTA leadership has a public duty, over and above any duty to any elected official, to the public regarding the state of the MBTA's safety, and reliability.
Wants and Needs:
Faced with a pending operating deficit next year, a calamitous capital deficit the year after, and lack of clarity around safety, the MBTA finds itself in difficult situation to say the least. To assist in this, the Advisory Board recommends the following:
* Commit to piloting platform edge doors at a subway station in the next 5 years. This critical safety measure can not only prevent injuries and deaths, it has the potential to make stations cleaner, and more inviting.
* Establish a $50 million over 5 years fund to maintain and refurbish local commuter rail stations in coordination with municipalities.
* Publish an updated State of Good Repair (SGR) backlog and estimate the effect of annual CIPs on this number over time.
* Explain what is really going on with Fare Transformation
* Commit to maintaining current service levels on all modes. Cities and towns are now required to permit more high-density development near T stations.
All parties have an interest in reducing parking at these new developments, and reducing vehicle miles traveled. To achieve this, however, cities and towns need a commitment from the MBTA that sufficient service will be available to support the people living in this new housing.
* Establish a middle-to-long-term project planning office dedicated to the MBTA
CONCLUSION
Perhaps the transition from fossil-fuel propelled transit to electricity-propelled buses, trains, ferries, and paratransit vehicles is too much for the MBTA to manage on its own. There was a time within living memory when the T could transform itself- in the 1980's, it put the Orange Line underground while extending the Red Line on either end, and rebuilding the southwest corridor rail line, diverting all southside traffic and re-creating the Fairmount Line. This was done largely with internal MBTA-led planning, procurement and project management. Perhaps the MBTA of the 2020's cannot match the MBTA of 40 years ago and simultaneously electrify its bus and regional rail networks; launch modern Red and Orange Lines with new, modern signals at stations with platform edge doors; while also expanding its ferry service, procure and deploy larger Green Line trains to expand capacity; revolutionize paratransit; and expand the ferry system.
The cities and towns of the MBTA Advisory Board district oppose service cuts above all. Especially at a time when the Commonwealth is mandating increased density in our communities based on proximity to MBTA service, the MBTA and Commonwealth cannot turn around and then remove said service. 2023 and 2024 will be difficult. The next administration will come into office faced with tough choices not just in public transportation, but across state government. The MBTA's
municipalities hope things can improve and the operating and capital budget estimates are less terrible than predicted.
APPENDIX 1: Summary of MBTA Questions/Concerns from this Report:
* When can the public expect a timeline and strategy document on the transition from Commuter to Regional Rail?
* What is the strategy for managing through the fiscal cliff and the fiscal calamity without service cuts?
* What can the MBTA show for the public's hundreds of millions in safety investments in recent years? Can and will MBTA leadership categorically assure the public that the system is safe for all stakeholders?
* Abide by all aspects of M.G.L. c. 161a, § 5(g) and publish the CIP when required by state law.
* Provide more than 31 days to review such massive spending plans.
* Begin the design and public process to make Boylston, and all other Green Line stations and surface stops 100% accessible.
* Reassure the public that the opening of South Coast Rail will not effect service levels, or schedule adherence for other South Coast Rail communities, especially with respect to the single track segment in Braintree, Quincy, and Dorchester.
* Be diligent around cost containment when building new bus maintenance facilities.
* Provide an update on the Fare Transformation initiative.
* Move faster on the Silver Line Extension.
* Update stakeholders on the Red/Blue Connector
* Begin design of a new, multi-modal, Wonderland combination Blue Line/Regional Rail station.
* Start the initiative to replace trip-stops on the Blue Line with new, modern signals.
* Provide an explanation and new timeline for the refurbishment of the PCCs, and upgrade of the Mattapan Line.
* Commit to piloting platform edge doors at a subway station in the next 5 years.
* Establish a $50 million over 5 years fund to maintain and refurbish local commuter rail stations in coordination with municipalities.
* Publish an updated State of Good Repair (SGR) backlog and estimate the effect of annual CIPs on this number over time.
* Commit to maintaining current service levels on all modes
* Establish a middle-to-long-term project planning office dedicated to the MBTA
APPENDIX 2: Municipal Statements:
Ruthanne Fuller
Mayor
City of Newton, Massachusetts
Office of the Mayor
Brian Kane, Director MBTA Advisory Board 177 Tremont Street, 4th Floor Boston, Massachusetts 02111
Delivered via email to: [email protected]
Official Statement from the City of Newton
Dear Director Kane,
The City of Newton begins this Official Statement with our sincere appreciation for the many safety and access improvements across the system during an extraordinarily difficult period. This includes the extensive track and signal work on the Green Line here in Newton.
The remaining focus of the City of Newton Official Statement is on the reconstruction of our three Commuter Rail stations in the medium-term and improved express bus service immediately.
Newton is the only community along the Worcester Line that continues to experience long service gaps during the day in commuter rail service. The City has previously called on the MBTA and MassDOT to work to accelerate permanent improvements Newton's three Commuter Rail stations in Auburndale, West Newton and Newtonville in order to augment service and to provide accessibility. In the meantime, we continue to call on the MBTA to reinstate our previous Express Bus services from these stations.
Newton is thrilled that the MBTA has made significant progress on the design for upgrading the three Newton Commuter Rail stations. The MBTA has confirmed funding through final design for the stations and is committed to completing the design in 2023.
We are now focusing on construction funds with the help of Congressman Jake Auchincloss, Senator Cynthia Creem and State Representation Kay Khan. We have spoken with the MBTA about MassDOT / MBTA providing funding as well as the MBTA pursuing major federal grants through the Bipartisan Infrastructure Law; the MBTA is targeting the upcoming All Stations Accessibility Grant. We would like to continue working with the MBTA to pursue grants for this important project until construction is fully funded.
The operational difficulty is that the platforms at the three stations in Newton are all only one-sided, meaning that trains must switch onto a single track before and after the three Newton Stations, in order to stop here. To stop in Newton, an outbound train toward Worcester must switch onto the southerly track before arriving at Newtonville Station, and then must switch back to the northerly track after stopping at the Auburndale Station. If there is an inbound train traveling toward Boston at the same time, one or the other train must wait while the other serves the Newton stations. Not only does Newton have limited service but our platform configuration impacts the speed of all the other trains.
Newton had historically been served by Express Buses, that complemented our Commuter Rail service, particularly for access into and out of Boston. The impact on people living and working in Newton along with our Commuter Rail concerns are significantly exacerbated by the recent modifications to the Express Buses which serve Newton. Until recently, riders relied on Routes 553, 554, 556 and 558 to travel between these station areas of Newton and Boston, especially during the
Telephone (617) 796-1100 Fax (617) 796-1113 TDD/TTY (617) 796-1089 Email [email protected]
April 13, 2022
hours when the Commuter Rail trains did not stop in Newton. As part of the Forging Ahead process, however, Routes 553, 554, 556 and 558 were all truncated and now begin and end in Newton Corner. The ultimate solution, of course, is to rebuild with three new fully accessible ADA-compliant Commuter Rail stations with two platforms each in Newton – at Auburndale, West Newton and Newtonville – so that both tracks could be used, such that the MBTA could operate frequent all-day service through Newton, without the need to switch tracks or avoid stopping in Newton.
While we wait for the renovation of these stations to be funded, designed, and constructed, we cannot expect our residents to continue to rely on the MBTA for their commuting and other travel needs when they suddenly find that the time and effort required to take public bus transportation between Newton and Boston has become so much less convenient and efficient. We need the MBTA to take these concerns seriously and take action to reinstate our previous Express Bus service, even while working vigorously toward the complete and timely reconstruction of the three Newton Commuter Rail stations in Auburndale, West Newton and Newtonville.
In closing, we are grateful to be part of the MBTA network and look forward to continued collaboration.
Sincerely,
Ruthanne Fuller Mayor, City of Newton
April 20, 2022
Brian Kane, Director MBTA Advisory Board 177 Tremont Street, 4th Floor Boston, MA 02111
Dear Members of the MBTA Advisory Board,
The City of Revere urges the Advisory Board to support the MBTA's investing in the Wonderland Commuter Rail Station and Multimodal Connector. Revere is concerned about the lack of investment in the Wonderland Multimodal Station, a project that has already secured millions from diverse funding sources.
The Wonderland Multimodal Station will offer a commuter rail station within the City of Revere, which holds the unfortunate distinction of being the only community north of Boston through which the Newbury and Rockport Line passes but does not stop. The station itself will allow for improved connectivity across the North Shore and a larger supply of a vital, transit-dependent workforce. Especially impactful would be a pedestrian connection from the commuter rail to the Blue Line terminus at Wonderland Station, only a distance of about 1000 feet. Instead of North Shore commuters driving down and parking at Wonderland to then take the Blue Line, they would be able to seamlessly take the train to the subway into downtown Boston and beyond.
The current CIP lacks as significant an investment in multimodal projects as is necessary to elevate the region's connectivity. Already home to not only the Blue Line but also a host of buses that travel across the region, Wonderland Station is poised to become a crucial transit hub. Unlocking this potential will reduce traffic on state roads heading north while promoting the sustainable transit patterns that are necessary to combat climate change.
The Wonderland Multimodal Station has recently been dedicated $4 million dollars by the U.S. Congress, thanks to Senator Ed Markey and Assistant Speaker Katherine Clark. The project has also had funding for several years through the Commonwealth's Transportation Bond Bill. At this point, only the MBTA is missing from the table to initiate this project. Thank you for your consideration as we work together to advance safe, reliable, and transformative transit projects for the benefit of our residents.
Regards,
Brian M. Arrigo
Tel. 781-286-8111 • www.revere.org
Brian M. Arrigo Mayor
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6:00 p.m.-Mayor Flannigan calls the meeting to order. Steve Aston, Alderman Ward I; Mark Spence, Alderman Ward I; Marsha Mills, Alderman Ward II (by Zoom); and Cody Quist Alderman, Ward II are present. Also in attendance is Linda Haynes, City Clerk and Cindy Davenport, City Attorney.
Mark Spence makes a motion to adjourn to executive session per RSMo. 610.021 #1Legal, #2-Real Estate, #3-Personnel. Cody Quist seconds the motion. Roll call vote is as follows: Mark Spence-Aye, Steve Aston-Aye, Marsha Mills-Aye, Cody Quist-Aye.
Executive session is held and adjourned.
6:30 p.m.-Mayor Flannigan calls the meeting back to order. Dwayne Washford, Assistant Maintenance Superintendent; Terry Foster, Chief of Police; and A.J. Girondo, City Engineer are present. There are nine guests in attendance.
In re: Pledge of Allegiance & Moment of Silence-Mayor Flannigan leads the Pledge of Allegiance and then a moment of silence is held.
In re: Remarks of Visitors-None
In re: Approval of Consent Agenda items-Mark Spence makes a motion to remove the purchase of body cameras and offering bank drafts for separate discussion, and approving the rest of the consent agenda items which includes the minutes from the December 14 th Board of Aldermen meetings; financial reports; paid bills report; Payroll Monitor report for December; Bank Statement Monitor report for October, November,, and December; Planning and Zoning Commission minutes from their December 7 th meeting; Department Head reports from the Court Clerk, City Clerk, Assistant Superintendent, and Chief of Police; safety additions for the salt spreaders for $1,994.22; promotion of Officer Graham to Sergeant; purchase of two new police vehicles under the State of Missouri purchasing contracts; records disposal (see attached list that is being made a part of these minutes); and asset disposal of the old desk telephones. Steve Aston seconds the motion. Roll call vote is as follows: Steve Aston-Aye, Mark Spence-Aye, Cody Quist-Aye, Marsha Mills-Aye.
In re: Body cameras-Chief Foster answers questions asked by the Board of Aldermen. Cody Quist makes a motion to purchase the body cameras for the police department from Digital Alley for $4,889.00. Steve Aston seconds the motion. All are in favor.
In re: Bank drafts-Mark Spence clarifies that Dale, referred to in the memo to the Board, is Dale McDonald. Mark Spence makes a motion to authorize the purchase of the software, support, and training for $873.50 and make arrangements with the Bank of Old Monroe to accept bank drafts as a form of payment for utility customers. Cody Quist seconds the motion. All are in favor.
1
In re: Moscow Mills Bicentennial Committee update-Mayor Flannigan states sponsorships are still coming in and Bicentennial merchandise is being sold. Their next meeting is on January 27 th .
In re: Risk grant presentation-MIRMA-Kelly Beets states that Moscow Mills has received the highest score he has issued so far this year, which is a 98%, of the fifteen cities he has evaluated this year. MIRMA has awarded the City a grant of $2,933.40 toward the purchase of body cameras. Kelly Beets presents Chief Foster with a plaque.
In re: Promotion of Office Graham-Chief Foster states that he requested Sergeant Graham be here this evening, in honor of his recent promotion to Sergeant. Sergeant Graham has been with the City for seven years. He did the recent traffic study, does IT functions for the Department, and other items. He has never missed a day of work. Chief Foster presents Sergeant Graham with a certificate of achievement.
In re: Traffic Control Study-Sergeant Graham goes over the traffic control study. The study indicates many missing and faded signs. Mayor Flannigan states that it will cost the City around $4,000 to $5,000 to address all of the sign issues. Sergeant Graham explains how a City wide speed limit can be set, with signs posted at all street entrances. Mark Spence asks if the businesses being affected will be informed prior to the parking changes. Mayor Flannigan states that he has spoken to David Howell, the owner of Harry J's, and he is on board. Cindy Davenport suggests getting the needed signs and supplies ordered and then the ordinance amendment will be presented. Mark Spence makes a motion to move forward with addressing the issues indicated by the traffic control study by purchasing the necessary signs and supplies. Cody Quist seconds the motion. All are in favor.
In re: Updates and repairs to sewer treatment plant-A.J. Girondo of George Butler Associates states the baffle curtain purchase has been cancelled because the new operator believes it may not be necessary. The manufacturer of the Muffin Monster has supplied a transducer and other items that were needed for free. He needs to get bids for the install of the brushes. The alarm systems for the sewer system are discussed. Mayor Flannigan states that the treatment plant condition is being addressed daily and changes suggested by the new operator are being implemented. The EPA and MoDNR will be doing an on-site visit later this month.
In re: Cannon General Contractors-Pine Tree and Byrd St. Lift Station RehabChange Order #1-A.J. Girondo states that the change order is only for an extension of time for the project completion, because the pumps have been on backorder. Final completion will be extended to June 1, 2021. Cody Quist makes a motion to approve Change Order #1 and allow the Mayor to sign the document. Steve Aston seconds the motion. All are in favor.
Chief Foster states that he would like to take a minute to introduce his officers in attendance, so they can be excused. Introductions are made and the members of the
2
Police Department exit the meeting.
In re: Maintenance Department storage shed-Mayor Flannigan explains that the UV light bulbs at the Crooked Creek Wastewater Treatment Facility are currently being stored at the building located at the old Northwest Treatment Facility. Transporting the bulbs for storage can damage them, and they are expensive. He is recommending a storage shed be purchased and placed at the CCWWTF for the UV light bulb storage, and storage of other wastewater items such as the new two man boat and trolling motor. He has obtained three bids that were included in the meeting packets. Cody Quist makes a motion to purchase the 10 x 12 portable building from A-1 Portable Buildings for $4,210 and allow the Mayor to sign any necessary paperwork for the purchase. Steve Aston seconds the motion. All are in favor.
In re: Ordinance #931-to amend section 88.040 of Chapter 88-Gross Receipts and Franchise Taxes-Cindy Davenport reads the title of Ordinance #931 in full two times. Mark Spence makes a motion to approve Ordinance #931. Steve Aston seconds the motion. Roll call vote is as follows: Mark Spence-Aye, Steve Aston-Aye, Marsha MillsAye, Cody Quist-Aye.
In re: Ordinance #932-to amend section 75.451(A)(3) of Chapter 75-Offenses- Cindy Davenport reads the title of Ordinance #932 in full two times. After a short discussion, Cody Quist makes a motion to approve Ordinance #932. Mark Spence seconds the motion. Roll call vote is as follows: Mark Spence-Aye, Steve Aston-Aye, Marsha Mills-Aye, Cody Quist-Aye.
In re: City credit card for the Mayor's use-After a short discussion, Mark Spence makes a motion to obtain a City issued credit card in the Mayor's name for City purchases, with a credit limit of $1,000. Cody Quist seconds the motion. All are in favor.
In re: Ratification of budget error correction-After a short discussion, Cody Quist makes a motion to ratify the e-mailed vote regarding the budget error corrections. Mark Spence seconds the motion. All are in favor.
In re: Maintenance agreement for generators-Dwayne Washford states that he only obtained one bid, because this is the only company around who offers this service. After a short discussion, Mark Spence makes a motion to approve the maintenance agreement with Cummins for the annual cost of $2,941.84, and allow Dwayne to sign the maintenance agreement. Cody Quist seconds the motion. All are in favor.
In re: Tearing down restrooms on property recently purchased-Tearing down the restrooms is discussed. Mayor Flannigan states that the City's employees will be doing the work. Steve Aston makes a motion to tear down and remove the restrooms, at a cost of up to $500. Mark Spence seconds the motion. All are in favor.
3
January 19, 2021-6:30 p.m.
Board of Aldermen-Regular Meeting
Held at Moscow Mills City Hall
In re: Location of Christmas decorations-Mayor Flannigan points out the current locations of the light pole decorations that are put up and taken down each year. The Board may want to consider changing the location of these decorations. Mark Spence recommends postponing this item to the next meeting so the issue can be considered. The Board is in agreement.
The audience is given time to exit the meeting.
Mark Spence makes a motion to adjourn to executive session per RSMo. 610.021 #1Legal and #2-Real Estate. Steve Aston seconds the motion. Roll call vote is as follows: Mark Spence-Aye, Steve Aston-Aye, Marsha Mills-Aye, Cody Quist-Aye.
Executive session is held and adjourned.
Mark Spence makes a motion to adjourn. Steve Aston seconds the motion. All are in favor.
Respectfully Submitted:
Linda Haynes, City Clerk
Patrick Flannigan, Mayor
4
Records disposal approved on 1/19/2021 Consent Agenda
Original
| Original | | |
|---|---|---|
| Box # | Year | Record Description |
| 126 | 2017 | Accounts Payable Invoices |
| 134 | 2018 | Accounts Payable Invoices |
| 136 | 2018 | Accounts Payable Invoices |
| 125 | 2017 | Accounts Payable Paid bills reports-signed/approved by |
| 135 | 2018 | Accounts Payable Paid bills reports-signed/approved by |
| 127 | 2017 | Accounts Payable-computer printouts |
| 135 | 2018 | Accounts Payable-computer printouts |
| 145 | 2014 | Accounts Payable-W-9's |
| 145 | 2015 | Accounts Payable-W-9's |
| 123 | 2017 | Accounts Receivable aging for Board of Aldermen |
| 123 | 2017 | Accounts Receivable aging reports-Monthly |
| 134 | 2018 | Accounts Receivable aging reports-Monthly |
| 102 | 2014 | Animal tag receipt books |
| 102 | 2015 | Animal tag receipt books |
| 125 | 2017 | Bank Statements |
| 134 | 2018 | Bank Statements |
| not boxed | 2014 | Bids for various items to purchase and services |
| not boxed | 2015 | Bids for various items to purchase and services |
| 124 | 2017 | Billing registers-utilities-computer printouts |
| 131 | 2018 | Billing registers-utilities-computer printouts |
| 127 | 2017 | Billing-Hauled in waste billing |
| 134 | 2018 | Billing-Hauled in waste billing |
| 127 | 2017 | Billing-Sewer surcharges |
| 134 | 2018 | Billing-Sewer surcharges |
| not boxed | 2017 | Budget draft working papers |
| not boxed | 2018 | Budget draft working papers |
| 114 | 2016 | Building Permit Monthly Report to Board of Aldermen |
| 127 | 2017 | Building Permit Monthly Report to Board of Aldermen |
| 114 | 2014 | Check registers |
| 114 | 2014 | Check registers |
| 114 | 2015 | Check registers |
| 114 | 2015 | Check registers |
| 113 | 2016 | Citizen Complaint Forms |
| 123 | 2017 | Citizen Complaint Forms |
| 125 | 2017 | City Clerk reports to Board of Aldermen |
| 135 | 2018 | City Clerk reports to Board of Aldermen |
| 138 | 2019 | Dept head reports to the BOA-consent agenda |
| 127 | 2017 | Collections file-utilities |
| not boxed | 2018 | Collections file-utilities |
| 113 | 2016 | Community Building rental contracts, calendar, cleaning lists |
| 127 | 2017 | Community Building rental contracts, calendar, cleaning lists |
| 125 | 2017 | Court revenue worksheets |
| 135 | 2018 | Court revenue worksheets |
| 123 | 2017 | Credits/adjustments-utilities-computer printouts |
| 134 | 2018 | Credits/adjustments-utilities-computer printouts |
| 123 | 2017 | Deposit journals-utilities-computer printouts |
| 130 | 2018 | Deposit journals-utilities-computer printouts |
| 127 | 2017 | Deposit slip carbons for misc deposits & bad checks |
| 134 | 2018 | Deposit slip carbons for misc deposits & bad checks |
| 123 | 2017 | E-bill Registrations |
| 130 | 2018 | E-bill Registrations |
| 113 | 2016 | Employee Time cards |
| 127 | 2017 | Employee Time cards |
| 145 | 2016 | Employee Time Off Requests |
| 145 | 2017 | Employee Time Off Requests |
| not boxed | 2017 | Employment applications/resumes |
| not boxed | 2018 | Employment applications/resumes |
| not boxed | 1984 | End of year tax reports-1096 & 1099's |
| 102 | 2014 | Fuel logs |
|---|---|---|
| 102 | 2015 | Fuel logs |
| not boxed | 2015 | Grant file-MIRMA-City Hall security system |
| not boxed | 2013 | Grant file-MIRMA-Police Department securtiy system |
| not boxed | 2014 | Grant file-MIRMA-Police Department securtiy system |
| not boxed | 2013 | Grant file #42-Mo Safety Center-DWI Enforcement-wages |
| not boxed | 2013 | Grant file #43-Mo Safety Center-DWI Enforcement-wages |
| not boxed | 2014 | Grant file #44-Mo Safety Center-DWI Enforcement-wages |
| n/a | 2014 | Grant file #45-Mo Safety Center-Youth DWI Enforcement- |
| not boxed | 2014 | Grant file #46-Mo Dept of Public Safety-LLEBG-Trunked |
| 125 | 2017 | Mayor's memos |
| not boxed | 2018 | Mayor's memos |
| 97 | 2014 | Meter readings |
| 102 | 2015 | Meter readings |
| 127 | 2017 | Meter removal requests |
| 130 | 2018 | Meter removal requests |
| 121 | 2017 | Payments journals & cash receipts journals-computer |
| 122 | 2017 | Payments journals & cash receipts journals-computer |
| 132 | 2018 | Payments journals & cash receipts journals-computer |
| 133 | 2018 | Payments journals & cash receipts journals-computer |
| not boxed | 1980 | Payroll file |
| not boxed | 1981 | Payroll file |
| not boxed | 1982 | Payroll file |
| not boxed | 1983 | Payroll file |
| not boxed | 1984 | Payroll file |
| 114 | 2014 | Payroll file |
| 114 | 2015 | Payroll File |
| 97 | 2014 | Payroll-computer printouts |
| 102 | 2015 | Payroll-computer printouts |
| 120 | 2009 | Personnel files-ex-employees |
| 120 | 2010 | Personnel files-ex-employees |
| 120 | 2012 | Personnel-Medical files-ex-employees |
| 120 | 2013 | Personnel-Medical files-ex-employees |
| not boxed | 1990 | Real Estate and Personal Property Tax Books |
| not boxed | 1991 | Real Estate and Personal Property Tax Books |
| not boxed | 1992 | Real Estate and Personal Property Tax Books |
| not boxed | 1993 | Real Estate and Personal Property Tax Books |
| not boxed | 1994 | Real Estate and Personal Property Tax Books |
| not boxed | 1995 | Real Estate and Personal Property Tax Books |
| not boxed | 1996 | Real Estate and Personal Property Tax Books |
| not boxed | 1997 | Real Estate and Personal Property Tax Books |
| not boxed | 1998 | Real Estate and Personal Property Tax Books |
| not boxed | 1999 | Real Estate and Personal Property Tax Books |
| not boxed | 2000 | Real Estate and Personal Property Tax Books |
| not boxed | 2001 | Real Estate and Personal Property Tax Books |
| not boxed | 2003 | Real Estate and Personal Property Tax Books |
|---|---|---|
| not boxed | 2004 | Real Estate and Personal Property Tax Books |
| not boxed | 2005 | Real Estate and Personal Property Tax Books |
| not boxed | 2006 | Real Estate and Personal Property Tax Books |
| not boxed | 2007 | Real Estate and Personal Property Tax Books |
| not boxed | 2008 | Real Estate and Personal Property Tax Books |
| not boxed | 2009 | Real Estate and Personal Property Tax Books |
| not boxed | 2010 | Real Estate and Personal Property Tax Books |
| not boxed | 2011 | Real Estate and Personal Property Tax Books |
| not boxed | 2012 | Real Estate and Personal Property Tax Books |
| not boxed | 2013 | Real Estate and Personal Property Tax Books |
| 34 | 2004-2007 | Receipt Book |
| 127 | 2017 | Receipt file |
| 135 | 2018 | Receipt file |
| 114 | 2016 | Service orders-utilities |
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Year:2017 Volume:2 Issue: Pages:70-73
Sustained Silent Reading in Foreign Language Education: An Update
University of Southern California (Emeritus)
Stephen Krashen Los Angeles, California, USA [email protected]
Beniko Mason Shitennoji University Junior College Osaka, Japan [email protected]
Recommended citation: Krashen, S. & Mason, B. (2017). Sustained Silent Reading in Foreign Language Education: An Update. Turkish Online Journal of English Language Teaching (TOJELT), 2(2), 70-73.
1. Introduction
Three reviews of the impact of in-school reading on second language development have been published in the last ten years. Briefly, in-school reading is referred to as "sustained silent reading": A few minutes is set aside from the language class and students read what they want to read: There are no book reports or other forms of accountability. (For a discussion of the elements of successful SSR, see Krashen, 2011).
Reviews have been published in the form of "meta-analyses," a very useful and precise way of presenting the results of many individual experiments.
An "effect size" is calculated for each study, in this case, for each comparison between test scores achieved by students doing in-school free reading and traditional instruction. A positive effect size means the reading group did better. Effect sizes of around .2 mean that the advantage of the reading group was small, .5 medium, and .8 or greater is considered a large effect size.
Table 1 presents the results of the three recent meta-analyses of studies involving second and foreign language acquisition. Nearly all are studies of English as a foreign language. In each study, time is set aside in the "experimental" group in which students can select their own reading material, and accountability is either minimal or there is no test or report of any kind. The comparison group experiences traditional pedagogy.
The average effect size for reading comprehension ranges from .54 to .87, and for vocabulary from .18 to .47, both confirming that SSR is effective. Several individual studies are included in more than one meta-analysis, but the overlap is not extensive.
Table 1. Effect Sizes for Three Recent SSR Meta-Analyses
Number of studies analyzed in parentheses ( ).
As was the case with first language studies (Krashen, 2004), the effect was greater when the program lasted a year or longer (Nakanishi, 2015). Jeon and Day (2016) did not find a difference in effectiveness between longer and shorter programs, but only included four longterm (over one academic year) programs.
2. An Important New Study
Suk (2016) will attract a great deal of attention. It appeared in The Reading Research Quarterly, considered the most prestigious journal in the field, and the published article is long and detailed.
Suk (2016) examined the impact of free voluntary reading on 83 Korean undergraduates studying EFL who were at the advanced beginner/low intermediate level. Readers read graded readers for 15 minutes once a week in class, and were expected to read outside of class, with a word count goal of 200,000 words to read in 15 weeks. In contrast to the usual procedure in sustained silent reading (Pilgreen, 2000), students took a test on each book they read.
Suk made 350 books available to the readers with 155 different titles. She did not provide details about the books (names or publishers), but we can estimate the difficulty level. She constructed the vocabulary test by sampling words from the 155 different titles using words from the 2000, 3000, and 4000 word levels. This means that the students were reading graded readers from the intermediate to the upper level (1600 to 2500 word levels).
3. The Results
None of the students reached the reading goal of 200,000 words. The mean was about 150,000 words (about 600 pages) read, with a large standard deviation (about 80,000, about 320 pages). The maximum read was about 190,000 (about 760 pages), the minimum was about 8500 (34 pages). The average number of books read was 10, less than one per week. This means that the average book contained about 15,000 words. Assuming each page has 250 words, the average book length was about 60 to 70 pages.
Suk (2016) stated that students read between two and three hours per week outside of school. If so, their reading rate was quite slow. We estimated that they read a total of about 40 hours (assuming 2.5 hours per week) on the average, or 2,400 minutes (3.75 hours in class, 37.5 hours at home). This means they read only a little more than 60 words per minute, which is very slow (compare to Mason & Krashen, 2017, McQuillan & Krashen, 2008).
Krashen & Mason (2017)
One possible explanation for the slow reading rate may have been because participants were tested on each book they read, likely trying to remember what they were reading while they were reading. (To confirm this, one would have to compare reading rate without the post-test with reading rates with the post-test.) Another possible cause for the slow rate is the difficulty of the books. Based on our calculations, the graded readers appear to have been selected from the intermediate to upper level, but Suk's subjects were considered to be advanced beginner and low intermediate level.
The readers did better than comparison students, who did a traditional EFL course focusing on intensive reading (1). We calculated effect sizes based on a formula that takes pretest scores into consideration (Effect size = the difference between the experimental and comparison gains divided by the pooled pre-test standard deviation; Morris, 2008). Table 2 shows that our calculations give results similar to the effect sizes reported by Suk, using a different procedure (MANOVA).
Table 2. Two Different Effect Size Formula for Suk (2016)
1
2
1 Effect Size formula calculated by Krashen and Mason (2017).
2 Effect Size formula calculated by Suk (2016).
Comparing Table 1 and Table 2, the effect size calculations resemble previous studies results. The reading test, however, suffered from low reliability (r = .65). In contrast, the vocabulary test was shown to be quite reliable (r = .96). Another problem is that students were asked to record their finishing time after reading each passage and after answering comprehension questions for a total of four passages. This is an expected procedure when measuring reading rate, but may affect comprehension and thus literacy development.
4. Discussion
The research on SSR in EFL is remarkably consistent. SSR is clearly more effective than traditional instruction in improving reading ability and vocabulary.
The conditions in Suk's study were not optimal. Readers were tested after reading each book, and were pushed for time on the reading test. Both of these conditions may have interfered with comprehension. Nevertheless, Suk's results were quite similar to what has been found in previous reviews, confirming that the impact of self-selected reading is robust.
This does not imply that testing readers after each book is acceptable. None of the studies in Table 1 used these kinds of tests. Controlled studies would be necessary to show that there is no detrimental effect on comprehension when students are tested on each book they read, and, of course, we would be interested in seeing if enjoyment of reading is affected. Our concern is whether students will continue to read after the course is over. Similarly, it should be determined whether timed post-tests have an effect on comprehension.
What is remarkable about Suk's study is that SSR worked even though conditions were far from optimal. Her subjects were tested after reading each book, were pushed for time on the reading test, and read only a modest amount, less than one graded reader per week.
Note:
(1) The intensive reading students read assigned essays from a course book, reviewed vocabulary and challenging grammatical structures from the readings, and practiced strategies for learning vocabulary, as well as pre-reading, making predictions, and inferencing.
Acknowledgement: We thank Kenneth Smith for very helpful comments on an earlier version of this paper.
References
Jeon, E.Y. and Day, R. (2016). The effectiveness of ER on reading proficiency: A meta-analysis. Reading in a Foreign Language 28, (2), 246-265.
Krashen, S. (2004). The Power of Reading. (second edition). Libraries Unlimited.
Krashen, S. (2007). Extensive reading in English as a foreign language by adolescents and young adults: A meta-analysis. International Journal of Foreign Language Teaching, 3 (2), 2329.
Krashen, S. (2011). Nonengagement in sustained silent reading: How extensive is it? What can it teach us? Colorado Reading Council Journal, 22, 5-10.
Mason, B. & Krashen, S. (2017). Self-selected reading and TOEIC performance: Evidence from case histories. Shitennoji Daigaku Kiyo, 63, 469-475.
McQuillan, J. & Krashen, S. (2008). Commentary: Can free reading take you all the way? A response to Cobb (2007). Language Learning & Technology, 12(1), 104–108.
Morris, S. (2008). Estimating effect sizes from pretest-posttest-control group designs. Organizational Research Methods, 11, 364-386.
Nakanishi, T. (2015). A meta-analysis of extensive reading research. TESOL Quarterly, 49(1), 6– 37.
Pilgreen, J. (2000). The SSR Handbook: How to Organize and Maintain a Sustained Silent Reading Program. Portsmouth, NH: Heinemann.
Suk, N. (2016). The effects of extensive reading on reading comprehension, reading rate, and vocabulary acquisition. Reading Research Quarterly, 52(1), 73-89.
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TO: All Heads of Departments/Agencies/State Universities and Colleges and Other Offices of the National Government, Government Owned or Controlled Corporations and Local Government Units; Budget Officers; Heads of Accounting Units and All Others Concerned
SUBJECT: Guidelines on the Release of Funds for FY 2008
1.0 PURPOSE
1.1 To provide the budgetary policies relative to the release and utilization of funds for FY 2008;
1.2 To prescribe the procedural guidelines on the treatment of releases and obligations for FY 2008, covering the following periods:
1.2.1 January 2 to March 31, 2008, prior to the effectivity date of R.A. No. 9498, FY 2008 General Appropriations Act (GAA); and,
1.2.2 April 1, 2008, i.e., the effectivity of the FY 2008 GAA until the date of approval of the Agency Budget Matrix (ABM).
1.3 To provide the necessary rules and regulations to implement the FY 2008 GAA; and,
1.4 To reiterate the required budgetary reports.
2.0 COVERAGE
All government agencies, including Local Government Units (LGUs) and Government Owned or Controlled Corporations (GOCCs) receiving budgetary support from the national government in FY 2008.
3.0 GENERAL GUIDELINES
3.1 Allotment releases during the year from all sources shall be consistent with the FY 2008 Allotment Release Program (ARP). The ARP of each department/agency shall be equal to the budget level of the department/agency budget under the FY 2008 GAA or the National
Expenditure Program (NEP), whichever is lower. The following items form part of the agency ARP and shall not be considered as an “add-on”:
3.1.1 Automatic appropriation under the FY 2008 Budget of Expenditures and Sources of Financing (BESF) i.e., Retirement Life Insurance Premiums (RLIP), which shall be computed at twelve percent (12%) of the itemized salaries except for agencies which are not covered by the GSIS Retirement Law, Special Accounts in the General Fund (SAGF), among others;
3.1.2 Actual obligations incurred by the agency from January 2 to March 31, 2008, as authorized under Circular Letter No. 2008-1 and 2008-2 dated January 2 and February 29, 2008, respectively. These obligations shall be issued Special Allotment Release Orders (SAROs), based on the Financial Report of Operations (FRO) or Statement of Allotments, Obligations and Balances (SAOBs) of the agency for the period January 2, 2008 to March 31, 2008, chargeable against the R.A. No. 9401 as reenacted.
3.1.3 SAROs issued from January 2, 2008 to March 31, 2008 for specific agency budgets charged against the following:
126.96.36.199 R.A. No. 9401, as reenacted; and,
188.8.131.52 R.A. No. 9401 Continuing Appropriations.
3.1.4 Actual obligations to be incurred by agencies starting April 1, 2008, as authorized under item 3.4 of this Circular.
3.1.5 Releases from the Unprogrammed Fund (UF) under R.A. No. 9498.
3.2 The appropriation for the agency’s specific budget under R.A. No. 9498 shall be released through the ABM i.e., for amounts comprehensively released, and, through the issuance of SAROs.
3.3 Departments/Agencies may avail of additional budgetary provisions from the multi-user Special Purpose Funds (SPFs) such as the Calamity Fund, Contingent Fund, E-Government Fund, International Commitment Fund, Miscellaneous Personnel Benefits Fund (MPBF), National Unification Fund, Priority Development Assistance Fund and Pension and Gratuity Fund (PGF). Releases from these SPFs are considered over and above the department/agency ARP and shall be consistent with the Special Provisions of the said SPFs.
3.4 Upon effectivity of the FY 2008 GAA i.e., April 1, 2008 and pending approval of the ABM, departments/agencies are authorized to incur obligations which shall be charged against the amount to be comprehensively released under the “Not Needing Clearance” (NNC) portion of their ABM.
3.5 Departments/Agencies are required to prepare their financial and physical plans/targets and accomplishments for 2008 which shall be used as basis for measuring their performance. They are required to submit to DBM Budget Execution Documents (BEDs) and Budget Accountability Reports (BARs) prescribed under NBC No. 507 dated January 31, 2007.
3.6 The Agency Performance Review (APR) shall be conducted by DBM to determine the level of performance of each agency in terms of physical outputs as well as actual expenditures incurred in the production/delivery of goods/services to the public vis-à-vis targets for the same period. The result of the APR will be used as one of the basis for deciding the necessity of any of the following:
3.6.1 Release of the balance of the “For Later Release of the NNC portion” of the approved ABM;
3.6.2 Additional release from SPFs;
3.6.3 Withdrawal of released allotment;
3.6.4 Approval of requests for realignment; or,
3.6.5 Revision of plans/targets as reflected in their submitted BEDs.
3.7 Agencies are authorized under certain provisions of R.A. No. 9498, flexibilities in the use of their regular budgets, among others:
3.7.1 Use of Savings
184.108.40.206 Augmentation of any item of expenditure within Maintenance and Other Operating Expenditures (MOOE) without prior approval of the DBM with the exception of confidential and intelligence fund.
220.127.116.11 Any deficiency in the actual requirements for compensation, Year-End Benefits (YEB), Retirement and Gratuity/Terminal Leave (RG/TL), pensions and other personnel benefits shall be given priority in the use of savings as defined under Section 60 of the General Provisions of R.A. No. 9498. In no case, however, can any excess provision or release for RLIP be considered as savings of the agency.
18.104.22.168 Payment of honoraria in accordance with the provisions of Section 47 of the General Provisions of RA. No. 9498 and Budget Circulars Nos. 2003-5, 2007-1 and 2 and
22.214.171.124 Payment of Collective Negotiation Agreement benefits if these resulted in improved systems and efficiencies and thus enabled agencies to meet and deliver their required plans/targets as reflected in their BEDs.
3.7.2 Use fees collected from seminar, trainings and conferences for the purpose of conducting said activities.
3.7.3 Use proceeds from sale of official publications for the purpose of defraying the cost of preparing, printing and disseminating such publications provided that the agency was not provided any amount or had insufficient funds programmed under their regular budget for the said purpose.
3.7.4 To sell and use the proceeds of sale of obsolete, unnecessary equipment for the purchase of new ones and the rehabilitation of existing vital equipment.
3.7.5 Use the service fees collected from BIR, GSIS, HDMF and PHIC, mutual benefits associations/cooperatives for the operation of a Provident Fund established in favor of all its employees.
3.8 Agencies may avail of excess income realized and deposited with the Bureau of Treasury pursuant to Special Provision No. 9 of the Unprogrammed Fund under R.A. No. 9498 to augment their operating requirements except Personal Services (PS). It must be emphasized, however, that agencies already authorized by law to retain all or a portion of their income collections for their operating requirements are no longer qualified to avail of use of excess income.
3.9 Appropriations shall be available for release and obligation one year after the end of the year it was appropriated with the exception of PS, which shall lapse at the end of the year. Thus, requests for realignment of released allotment under the **FY 2007 budget** shall be requested until **June 30, 2008** so as to provide agencies with sufficient time to implement projects/activities covered by said realignment.
3.10 The deadline for the submission of requests for any release requiring issuance of SARO and Notice of Cash Allocation (NCA) in FY 2008 shall be on **November 15, 2008**.
3.11 Agencies are hereby reminded that the “no report, no release” policy, as it applies to the submission of BEDs and BARs prescribed under NBC Nos. 507 and 507-A shall be strictly enforced.
4.0 SPECIFIC GUIDELINES
4.1 Preparation and Approval of the ABM
4.1.1 The ABM, which shall be prepared by DBM, in coordination and consultation with agencies (format shown in Annex A), shall be presented by:
126.96.36.199 Operating unit (OU) i.e., agency receiving NCA directly from DBM;
188.8.131.52 Allotment class i.e., PS, MOOE and Capital Outlays (CO);
184.108.40.206 Programs/Activities/Projects (P/A/Ps), consistent with the presentation under the FY 2008 GAA; and,
220.127.116.11 Funding source i.e.,
- Agency specific budget under the FY 2008 GAA; and,
- Automatic Appropriations under the FY 2008 BESF i.e., RLIP, SAGF and other items classified as such.
For Foreign Assisted Projects (FAPs) allocation, the ABM should be further broken down into Peso Counterpart (PC)/Loan Proceeds (LP) and project/category/component per allotment class basis.
4.1.2 The ABM shall reflect the following disaggregation of the agency budget under the FY 2008 GAA:
18.104.22.168 Withheld Portion - pertains to the amount programmed for operating requirements of agencies from January 2 to March 31, 2008 under the FY 2008 GAA. (Since the government operated under a reenacted budget during this period, said Withheld Amount shall not be programmed for release).
22.214.171.124 Net Program - pertains to the amount programmed for the operating requirements of agencies from April 1 to December 31, 2008. (The Net Program is the difference between the FY 2008 GAA and the Withheld Portion of the ABM).
4.1.3 The Net Program portion of the ABM shall further be segregated into Needing Clearance (NC) and Not Needing Clearance (NNC) to determine the items to be issued SAROs as well as the amount to be released comprehensively. The total of the NC and the NNC
columns shall be equal to the agency’s Net Program under the ABM.
4.1.4 The NC portion corresponds to the following budgetary allocation in the agency specific budgets:
126.96.36.199 Confidential and Intelligence Fund which is subject to prior approval of the President of the Philippines;
188.8.131.52 Procurement of motor vehicles and motorized equipment which is subject to prior approval either by the DBM or the President of the Philippines, as the case may be, pursuant to existing and other guidelines that may be issued for the purpose;
184.108.40.206 Lump-sum appropriations under the agency’s approved budget corresponding to items or activities which do not have specific details thereby necessitating the submission of certain documentary requirements prior to its release such as:
- Creation or expansion of new agencies and organizational units;
- Creation of new positions;
- Reclassification of positions;
- Newly legislated schools;
- Amount appropriated for the Equivalent Record Form and Master Teacher;
- Nationwide, region-wide and district-wide lump-sum for infrastructure and non-infrastructure projects;
- Special Purpose Funds of the Regional Governor and Vice Regional Governor as well as the share in internal revenue collections under the budget of the Autonomous Region of Muslim Mindanao; and,
- All other lump-sum amounts under agency specific budgets.
220.127.116.11 Annually appropriated SAGF built-in under the agency budget;
18.104.22.168 Budgetary support/assistance of the national government to the GOCCs and LGUs.
22.214.171.124 Budgetary reallocation by the legislature which provided additional amounts for programs or projects or which introduced new items in the budgets of some departments, bureaus, offices and agencies; and,
126.96.36.199 Budgetary items/provisions for Conditional Implementation under the President’s Veto message, which are subject to specific guidelines to be issued by the appropriate agencies.
4.1.5 The NC portion of the ABM shall be released to the agency through a SARO upon compliance with certain documentary requirements.
4.1.6 The NNC portion of the ABM refers to items in the agency budgets under the FY 2008 GAA not included under Item 4.1.4 of this Circular.
4.1.7 The following built-in appropriation items under the FY 2008 GAA, although part of the comprehensive release, can only be obligated by the agency subject to compliance with the required clearance/approval/documentation:
188.8.131.52 Computers and other information technology equipment which need clearance/approved Information Systems Strategic Plan from the National Computer Center under the Commission on Information and Communications Technology of the Office of the President;
184.108.40.206 Communication equipment which require clearance from the National Telecommunications Commission;
220.127.116.11 Firearms which need the prior approval of the Philippine National Police;
18.104.22.168 Research and development in the natural, agricultural, technological and engineering sciences which has not yet been approved by the Department of Science and Technology and/or the Department of Agriculture;
22.214.171.124 Books to be procured by agencies other than schools and The National Library exceeding the authorized five (5) copies per title, which need prior approval from DBM;
126.96.36.199 On-going FAPs which require the attainment of certain conditionalities; and,
188.8.131.52 Grants, subsidies and contributions which must be supported by details indicating among others, the purpose, amount intended for each beneficiary and the list of recipients.
4.1.8 For FY 2008, the allotments to be comprehensively released shall be equivalent to at least 50% of PS, MOOE and CO of the
NNC portion of the ABM of the agency. For appropriation items, however, for which entering into contracts cannot be made on a piecemeal or by phase basis, release for the same may be made in full.
4.1.9 The allotment to be comprehensively released shall be indicated under the “This Release” column of the ABM and the total thereof shall be highlighted in bold words on the last page of the ABM. The difference between the NNC and the “This Release” column of the ABM shall correspond to the “For Later Release” portion which shall be issued SAROs after the conduct of the APR.
4.1.10 The effective date of the approved ABM is April 1, 2008. Thus, obligations incurred under item 3.4 of this Circular shall be charged against the amount comprehensively released under the ABM.
4.1.11 The ABMs (by funding source) i.e., for agency specific budget as well as automatic appropriation shall be signed/approved by the DBM Secretary or his authorized representative. ABMs of SUCs, MMDA, the Pasig River Rehabilitation Commission and the regionalized portion of the DPWH, DepEd, DOH, TESDA and CHED Supervised Institutions shall be signed/approved by the concerned DBM Regional Director.
4.1.12 The original copy of the approved ABM shall be issued by the DBM to the agency.
4.2 **Release of SARO**
4.2.1 Obligations incurred from January 2 to March 31, 2008
184.108.40.206 Agencies shall submit to DBM their FRO or SAOB for the period January 2 to March 31, 2008 reflecting total overdrafts in allotment and overdrafts in obligations authorized pursuant to CL Nos. 2008-1 and 2008-2, segregated as follows:
- Actual obligations for regular operating expenditures;
- Actual obligations for the 10% salary increase of civilian personnel including the corresponding adjustments for government counterpart contributions to PAG-IBIG, PhilHEALTH and the Employees Compensation Insurance Premium (ECIP), and, adjustments in Subsistence Allowance (SA) and Hazard Duty Pay (HDP) of military/uniformed personnel, as authorized under E.O. 611 dated March 14, 2007;
• Actual obligations for RLIP including the increase resulting from the 10% salary adjustment.
220.127.116.11 DBM shall issue separate SAROs to cover said overdrafts in allotments and overdraft in obligations, chargeable against the following:
• Agency Regular Budget, R.A. 9401, as reenacted, for regular operating requirements;
• MPBF, R.A. No. 9401, as reenacted for the 10% salary increase including the corresponding adjustments in government counterpart contributions for PAG-IBIG, PhilHEALTH and the ECIP and adjustment in SA and HDP of military/uniformed personnel;
• Automatic Appropriations for RLIP including the increase as a result of the 10% salary adjustment.
18.104.22.168 Agencies shall, upon receipt of the SAROs covering the overdraft incurred for the period January 1 to March 31, 2008 shall adjust the authorized/recorded overdraft in allotments and overdraft in obligations in their books.
4.2.2 “For Later Release of NNC” portion and “Needing Clearance” portion of the ABM
22.214.171.124 DBM shall issue SARO to cover the “For Later Release” portion subject to the results of the APR conducted.
126.96.36.199 Agencies shall submit to DBM, Special Budget Requests (SBRs) for items categorized under NC portion of the ABM, duly supported with the required documentary requirements.
4.2.3 Multi-user SPF’s
188.8.131.52 Agencies shall submit to DBM, an SBR for expenditures eligible to be charged against the multi-user SPF’s.
184.108.40.206 DBM shall issue the SARO after thorough evaluation of the SBR subject to applicable guidelines.
220.127.116.11 As a general rule, certain PS requirements/deficiencies of agencies are authorized to be charged against the following SPF’s:
- **MPBF** shall be used to fund PS deficiencies of employees who are still in the government service such as: 10% salary increase and adjustment in SA/HP authorized per EO 611, authorized bonuses, allowances, premium payments and deficiency arising from the filling up of vacant positions.
For funding requirements resulting from filling up of vacant positions, the deficiency shall initially be charged against the available allotment of the agency. Release from the MPBF for the purpose shall only be made after the APR and if it has been determined that the PS deficiency can not be accommodated within the agency’s available allotment.
- **PGF** shall be used to fund PS requirements of retired government personnel such as: RG/TL, pension benefits authorized under existing laws and additional benefits authorized under the Rationalization Plan per E.O. No.366.
For retirement gratuity benefits, agencies are reminded to urge their retirees who are qualified to retire under RA No. 1616 to avail of the GSIS retirement package under RA No. 8291 or CA No. 660. In the event said retirees opt to avail of the benefits under RA No. 1616, their gratuity benefits shall be charged against available savings.
4.2.4 Adjustments/Realignments between the NNC and NC Portions of the ABM
18.104.22.168 Once the approved ABM has been issued to the agency, any adjustment or revision in the amounts classified under the NNC and NC columns will necessitate the issuance of SARO by DBM.
22.214.171.124 Request for adjustments/realignments shall be submitted to DBM-Central Office or the concerned DBM-Regional Office, as the case may be.
4.3 Issuance of Disbursement Authorities
4.3.1 As basis for DBM in determining the disbursement requirements of agencies to implement their programs and projects, they shall submit their Monthly Cash Program (MCP) reflecting the monthly requirements.
126.96.36.199 For the period January 2, to March 31, 2008, the amount to be reflected in the MCP shall be the actual disbursements for the period.
188.8.131.52 Requirements for April 1 – December 31, 2008 shall reflect the following:
- Allotment released comprehensively to the agency as cited under item 4.1.8 of this Circular;
- RLIP computed at 12% of the initial release for itemized salaries including the 10% salary adjustment;
- SAROs issued to the agency from January 2, 2008 to March 31, 2008 requiring disbursement authorities;
- Continuing Appropriations (unobligated allotment) as of December 31, 2007. In this instance, copy of the last page of the Registries of Allotments and Obligations showing the Continuing Appropriations (MOOE and CO), prepared by the Budget Officer, should be submitted as supporting document.
4.3.2 The MCP shall indicate the portion to be funded out of NCA, Non-Cash Availability Authority (NCAA) or Cash Disbursement Ceiling (CDC). The MCP should be broken down by program/project and allotment class i.e., PS, MOOE and CO. Identification/segregation shall also be made as to Regular Programs including Locally Funded and Foreign Assisted Projects. For FAPs, the breakdown by PC and LP component portion should be reflected, with the LP portion further broken down into its cash and non-cash components.
4.3.3 Separate MCPs shall be submitted by the agency whenever the following items are requested for release:
184.108.40.206 Specific agency appropriations under the FY 2008 GAA particularly the amounts under the NC portion of the approved ABM;
220.127.116.11 Claims against multi-user SPF's under the FY 2008 GAA;
18.104.22.168 Automatic Appropriations i.e., RLIP and SAGF, among others,
22.214.171.124 The “For Later Release” portion of the NNC of the approved ABM.
4.3.4 Budgetary policies and requirements for the preparation of MCPs are as follows:
126.96.36.199 On the Release of NCA
- The amount for PS should fully provide for/take into consideration the following:
- All filled positions inclusive of the government counterpart contributions;
- 10% salary adjustment of civilian personnel including the required increase in government counterpart contributions and adjustments in SA and HDP of military and uniformed personnel authorized per EO 611; and,
- Timing of the grant of year-end benefits and other similar items of expenditures, including pensions for uniformed/military personnel and veterans.
- Seasonal periods or peak and slack times in the provision of MOOE (when agencies’ activities/work program require adjustment in operating expenses) should always be taken into consideration.
- CO must likewise be programmed in accordance with scheduled work targets e.g., initial construction activities will only entail fifteen percent (15%) mobilization costs and the balance shall be in accordance with the work program. Likewise, equipment will require cash only on the expected delivery date and not at the bidding and procurement stages.
- For FAPs, the release of the PC and LP components shall be synchronized. Moreover, the cash portion of the LP component shall be released only upon receipt of the BTr certification re: receipt or availability of LP from the foreign lending institution.
- NCA requirements of prior year’s Accounts Payables (A/Ps) i.e., for goods, services, projects delivered/rendered/completed and accepted during
the previous years which remain unpaid up to the end of December 31, 2007 shall follow the guidelines prescribed under CL No. 2004-3.
- NCA requirement for **current year A/Ps** i.e., for goods, services, projects to be delivered/rendered/completed and accepted during the year (charged against FY 2008 and prior years’ budget) shall be paid pursuant to the procedures prescribed under CL Nos. 2004-3 and 2005-2.
### 188.8.131.52 On the release of NCAA
- Departments/agencies availing of foreign loan proceeds through direct payment (i.e., creditors/suppliers directly paid by the lending institution upon request of the Implementing Agency) charged against available allotment, shall submit a request for the issuance of NCAA prior to submission of availment application to Foreign Lending Institutions.
- Requests for NCAA shall be supported by the following as prescribed under CL No. 2003-12 dated December 4, 2003:
- Photocopy of Application for Withdrawal or equivalent document covering the amount requested;
- Certified list of obligated allotments issued for the project against which the disbursements shall be applied; and,
- Details of disbursements expressed both in peso and equivalent foreign currency as indicated in the application.
### 184.108.40.206 On the release of CDC
- CDC is an authority issued by DBM to DFA and DOLE to utilize their income collected/retained by their foreign service posts (FSPs) to cover its operating requirements but not to exceed the released allotment to the said post.
• Release of CDC shall be supported by the following accountability reports as consolidated by the DFA or DOLE Home Office:
- FSP Monthly Report of Income;
- FSP Status of Working Fund; and,
- Projected Annual Report of Income
4.4 Conduct of the Agency Performance Review
4.4.1 As basis of DBM in determining the level of agency performance in terms of physical outputs as well as actual expenditures incurred in the production/delivery of goods/services to the public, the information on the agencies’ accomplishments contained in their BARs shall be correlated to their plans/targets as reflected in the BEDs.
4.4.2 DBM shall undertake on a periodic basis, analysis of agency performance using the following BEDs and BARs required to be submitted by the agencies:
220.127.116.11 **BEDs**
To be submitted to DBM on or before **April 15, 2008**.
- FY 2008 Physical and Financial Plan (PFP) – reflects the OU’s physical and financial (budgetary allocation) performance/targets in FY 2008 broken down by quarter;
- Monthly Cash Program – reflects the monthly disbursement requirements of the OU; and,
- Estimate of Monthly Income – which shall reflect the estimated monthly income of the agencies for the current year consistent with the BESF for the given year.
18.104.22.168 **BARs**
To be submitted on the dates prescribed under NBC No. 507 dated January 31, 2007
- Quarterly Physical Report of Operations – reflects the OUs’ actual physical accomplishments for a given quarter, in terms of the performance measures indicated in their PFP.
- Quarterly Financial Report of Operations – reflects the OUs’ actual obligations/expenditures incurred by
P/A/P and allotment class for a given quarter, corresponding to the reported physical accomplishments for the same period.
- Quarterly Report of Actual Income – reflects the OUs’ actual income collections from all sources for a given quarter broken down by month.
- Statement of Allotment, Obligations and Balances – reflects the OUs’ summary report of allotments received and corresponding obligations/expenditures incurred during the month, from all sources by object of expenditure.
- Monthly Report of Disbursements – reflects all the monthly disbursements of the OUs during the month, arising from NCA, NCAA, CDC issued.
4.4.3 The agency’s Quarterly Physical Report of Operations and Financial Report of Operations shall be analyzed against the same quarter, as reflected in the FY 2008 Physical and Financial Plan.
4.4.4 In addition, to determine the monthly financial status of the agency, the Statement of Allotments, Obligations and Balances shall be used for the purpose.
4.4.5 The Monthly Report of Disbursements shall be evaluated with the program for the same month as reflected in the Monthly Cash Program.
4.4.6 The FY 2008 Quarterly Report of Income shall be compared with the same period covered under the Estimate of Monthly Income.
4.5 Use of Excess Income
4.5.1 Excess income is generated once actual income collected and deposited by the agency with the Bureau of the Treasury (BTr) during the year exceeds its revenue estimates under the FY 2008 BESF.
4.5.2 Agencies may submit to DBM a request for use of excess income once its targeted revenue level for the year per FY 2008 BESF has been realized and exceeded.
4.5.3 DBM shall determine the level of excess income in the following manner:
22.214.171.124 If collections of the agency from existing fees and charges exceed the annual income targets reflected in the FY 2008 BESF due to improved efficiency in operation or upgraded service delivery;
126.96.36.199 If an agency has collections coming from new fees and charges due to implementation of new or additional activity/program started during the year, hence not considered in the original income targets per FY 2008 BESF;
188.8.131.52 If the level of estimated revenue of the agency per FY 2008 BESF is consistent with the normal trend of increases in actual revenue collections for the past years.
4.5.4 In the event that the estimated revenue of an agency is decreased as a result of their representation during budget preparation that they are unable to maintain the normal trend of increase in their revenue, their request for use of excess income shall be reevaluated by DBM, to wit:
184.108.40.206 DBM shall establish the trend of the annual revenue collection generated from regular fees and charges/recurring income by the agency during the immediately preceding years (i.e., FYs 2007, 2006 and 2005).
220.127.116.11 DBM shall re-estimate the appropriate level for FY 2008 by applying the average growth rate of actual revenue collections in the preceding years.
4.5.5 In computing the amount of excess income that can be availed of by the agency, DBM shall, in lieu of the original revenue estimate per FY 2008 BESF, use, for purposes of comparison with the actual revenues generated for 2008, the following levels, whichever is higher:
- Actual collections for recurring income of the preceding year (i.e., FY 2007 level);
- Re-estimated income estimate for FY 2008.
5.0 REITERATION OF EXISTING POLICIES AND ENUNCIATION OF NEW POLICIES
The Common Fund System policy shall continue to be used. Under this System, cash allocation balances of agencies under the regular MDS sub account may be used to cover payment of due and demandable A/Ps i.e., goods and services.
which have been delivered during the year charged against their prior years' budget, after satisfying their regular operating requirements as reflected/considered in their MCP. The policy of having separate MDS sub-accounts for retirement gratuity/terminal leave benefits and prior years' accounts payable, as well as trust liability account under E.O. No. 338, shall be maintained.
6.0 RESPONSIBILITY OF THE HEAD OF AGENCY
The Head of Agency shall be held personally liable for any payment of expenditures not in accordance with the provisions of the Circular.
7.0 EFFECTIVITY
These guidelines shall take effect immediately.
ROLANDO G. ANDAYA, JR.
Secretary
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Britain: Blair meets Bush amidst a growing governmental crisis
Chris Marsden 6 April 2002
The summit meeting between President George W. Bush and British Prime Minister Tony Blair at the president's ranch in Crawford, Texas was meant to concentrate on elaborating plans for military action against Iraq. Instead it has been transformed into a crisis meeting to discuss the danger to Middle East stability posed by Israel's invasion of the West Bank and Gaza Strip.
Though there is an element of caricature in both positions, the latter is closer to the truth. There is no reason to deny that Blair privately entertained doubts over Bush's support for Sharon's military offensive, but this must be understood within the context of his government's full support for US plans for war against Iraq. As with Bush, any efforts on Blair's part to urge restraint upon Sharon are only in order to ensure the eventual success of their joint plans to transform the Middle East into a US protectorate—with British companies hopefully also benefiting from these arrangements.
Following Bush's April 4 speech urging an Israeli withdrawal, a largely sycophantic British media credited Blair with having persuaded the president to tone-down his overt support for Ariel Sharon's efforts to destroy the Palestinian Authority. Descriptions of Blair's role in regards to the US administration usually fall into two camps: his supporters hail him as a wise counsel urging caution on Bush and a vital bridge between the US and Europe, while his growing array of critics depict him as Bush's poodle, dancing to Washington's tune and sacrificing Britain's own independent interests in the process.
Up until Bush made his public statement, Blair had not made a single public criticism of either the Israeli offensive or US policy in the region. Instead he had maintained a deathly silence on the fate of the
Palestinians, while seeking to suppress growing opposition within his own party to Britain supporting America's planned war against Iraq.
Parliament was recalled on April 3 to enable MPs to pay tribute to the recently deceased Queen Mother. Blair refused to countenance appeals by some Labour MPs for parliament to also debate the situation in the Middle East prior to his departure for Texas. Veteran Labour MP and father of the house Tam Dalyell requested the extension of the debate. He told the Mirror newspaper, "I just despair of what is happening and yet there is no condemnation from our prime minister. I want him to tell Sharon that his policy has no hope of success, it is making everything worse. And for the prime minister to be thinking of attacking Iraq at such a time is sheer folly."
Blair has not made even the most mealy-mouthed criticisms of Sharon or appealed for the US to call off its dogs. His situation was made increasingly untenable after 122 MPs, mostly from the Labour Party, signed a motion expressing "deep unease" over plans for war against Iraq and urging "restraint"—linking this to fears for Mideast stability as a result of Sharon's invasion and siege against Arafat's Palestinian Authority.
Alice Mahon MP said that Foreign Secretary Jack Straw and Defence Secretary Geoff Hoon had "no authority" to speak for Labour. "Jack Straw is not, for example, suggesting Britain intervene to help the Palestinians," she said. "If Britain is trying to be a global policeman on the US scale, the money is going to come from hospitals, schools, pensions and the other necessities of people's lives."
Others who have criticised Blair's support for a military attack on Iraq include former cabinet ministers Chris Smith and Frank Dobson, and Foreign Office Minister Tony Lloyd, who warned, "Any massive
Powered by TCPDF (www.tcpdf.org)
strike against Iraq would further polarise and alienate opinion within the Middle East and broader afield."
In the event, parliament proceeded with a nauseous display of collective royalist sycophancy and mourning for Britain's past imperial grandeur with no protest being raised by Blair's critics.
The Campaign Group of Labour MPs claimed that a majority of the 641 constituency Labour parties would oppose further action against Iraq.
Earlier this week, Number 10 had promised to issue an intelligence dossier confirming Saddam Hussein was actively building so-called weapons of mass destruction, but the document's release was cancelled. The MI6 dossier was said to be weak in its evidence on the existence of a weapons programme and does not link Iraq to the September 11 terrorist atrocities. It also casts doubt on reports that hijacker Mohammed Atta met an Iraqi intelligence official in Prague.
Blair therefore welcomed Bush's speech as a green light for his own retreat in the face of mounting political difficulties. It was only after the president had spoken that Blair finally found his voice. IsraeliPalestinian violence "has the makings of a catastrophe," he said, in an interview with NBC television. Violence will not stop without some kind of political framework, he added, and Bush had taken the right step in trying to engage both sides. A spokesman also took pains to deny any plans for imminent military action against Iraq.
On the day of Bush's speech, Iraq issued a direct challenge to Blair to prove it was developing weapons of mass destruction. Foreign Minister Dr Naji Sabri told Blair to "send the team of your inspectors to Baghdad. There are no weapons of mass destruction in Iraq. There are no means of producing them."
Even so, his government's cautionary tone was couched in terms stressing loyalty to US interests. Blair's official spokesman said, "Two sides will not be able to make progress alone. You have to have a third party to bring the sides together to get a political dialogue going. You need an external force, external pressure, to bring the political process forward all the time. That is why we want to help the United States to play this role."
Moreover the door was left open for Britain to accede in whatever policy decision Washington makes with respect to Iraq. Blair's spokesman added, "Iraq is an issue that is not going to go away. You cannot put your head in the sand and pretend that weapons of mass destruction do not exist. The Crawford meeting will give us a chance to get a better understanding of the nature of the threat we face and the options available for dealing with it."
To contact the WSWS and the Socialist Equality Party visit:
wsws.org/contact
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Design your own circus outfit!
Cass makes her own acrobat outfit in *The Company of Eight*: now you can design your own just like hers, beautiful enough to wear in front of the circus crowds.
Cass has always wanted to audition as an acrobat for the famous Circus Boat that sails the warm seas of the Longest World. But when her chance is snatched away, she comes up with a new plan. Soon she has secured a job on the Palace Boat, following the circus around the islands. Yet Cass has been invited on the boat for a very different reason – and it’s not long before she is embroiled with thieves, sword fighters and a mysterious group of women called The Company of Eight...
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Low degree bounded cohomology and $L^2$-invariants for negatively curved groups
Andreas Thom
Abstract. We study the subgroup structure of discrete groups that share cohomological properties which resemble non-negative curvature. Examples include all Gromov hyperbolic groups.
We provide strong restrictions on the possible s-normal subgroups of a ‘negatively curved’ group. Another result says that the image of a group, which is boundedly generated by a finite set of amenable subgroups, in a group, which admits a proper quasi-1-cocycle into the regular representation, has to be amenable. These results extend to a certain class of randomorphisms in the sense of Monod.
Mathematics Subject Classification (2000). 22F10; 28D15 37A15 37A20.
Keywords. Hyperbolic group, higher rank lattice, property (T), orbit equivalence, $\ell^2$-invariants, bounded cohomology.
1. Introduction
This note is a companion to a paper by J. Peterson and the author [PT07], to which we refer for background and notation. Cohomology and bounded cohomology of an infinite group with coefficients in the left regular representation have proved to be useful tools to understand properties of the group. For the study of $\ell^2$-homology and cohomology we refer to the book by W. Lück [Lüc02], for information about bounded cohomology the standard reference is the book by N. Monod [Mon01].
Non-vanishing of the second bounded cohomology with coefficients in the left regular representation is the key condition in the work of Burger–Monod [BM02], Monod–Shalom [MS04], [MS06] and Mineyev–Monod–Shalom [MMS04] on rigidity theory. In [PT07], Peterson and the author studied non-vanishing of the first cohomology with coefficients in the left regular representation and derived results about the subgroup structure. Now we link first $\ell^2$-cohomology and second bounded cohomology via an exact sequence of $LG$-modules, where $LG$ denotes the group von Neumann algebra. Moreover, we extend the methods of [PT07] to apply to a wider class of groups including all non-elementary Gromov hyperbolic groups. The key
notion here is the notion of quasi-1-cocycle, which appeared already in several places including Monod’s foundational work [Mon01].
The organization of the article is as follows. Section 1 is the introduction. After studying quasi-1-cocycles and the first quasi-cohomology group in connection with Lück’s dimension theory in Section 1 and 2, we introduce a class of groups $D_{\text{reg}}$ closely related to the class $C_{\text{reg}}$, which was studied in [MS04], [MS06]. Examples of groups in the class $D_{\text{reg}}$ include non-elementary Gromov hyperbolic groups and all groups with a positive first $\ell^2$-Betti number. In the sequel we prove two main results. In Section 3 we prove that an s-normal subgroup of a group in $D_{\text{reg}}$ is again in $D_{\text{reg}}$ using methods from [PT07]. In Section 4 we show that all group homomorphisms from a group, which is boundedly generated by a finite set of amenable subgroups, to a group, which admits a proper quasi-1-cocycle into an infinite sum of the left regular representation, have amenable image. If one adds property (T) to the assumptions on the source group, the image has to be finite. Since the combination of bounded generation and property (T) applies to many lattices in higher rank Lie groups, this gives a new viewpoint towards some well-known results in the field.
In the last section, we study the class of groups which admit such proper quasi-1-cocycles and show that it is closed under formation of free products and a notion of $\ell^2$-orbit equivalence. The methods imply that the results of Section 4 extend to certain randommorphisms in the sense of Monod; see [Mon06].
Throughout the article, $G$ will be a discrete countable group, $\ell^2G$ denotes the Hilbert space with basis $G$ endowed with the left regular representation.
**Definition 1.1.** Let $\pi : G \to U(H_\pi)$ be a unitary representation of $G$. A map $c : G \to H_\pi$ is called a *quasi-1-cocycle* if the map
$$G \times G \ni (g, h) \mapsto \pi(g)c(h) - c(gh) + c(g) \in H_\pi$$
is uniformly bounded on $G \times G$. We denote the vector space of quasi-1-cocycles with values in $H_\pi$ by $QZ^1(G, H_\pi)$. The subspace of uniformly bounded quasi-1-cocycles is denoted by $QB^1(G, H_\pi)$.
In analogy to the definition of $H^1(G, H_\pi)$, we define the following:
**Definition 1.2.** The first quasi-cohomology of $G$ with coefficients in the unitary $G$-representation $H_\pi$ is defined by
$$QH^1(G, H_\pi) = QZ^1(G, H_\pi)/QB^1(G, H_\pi).$$
The relevance of $QH^1(G, H_\pi)$ becomes obvious in the next theorem, which links low degree cohomology and second bounded cohomology with coefficients in $H_\pi$.
Theorem 1.3. Let $G$ be a discrete countable group and $H_\pi$ be a unitary $G$-representation. There exists an exact sequence as follows:
$$0 \to H^1(G, H_\pi) \to QH^1(G, H_\pi) \xrightarrow{\delta} H^2_b(G, H_\pi) \to H^2(G, H_\pi).$$
Here $\delta$ denotes the Hochschild coboundary, which maps a 1-chain to a 2-cocycle.
Proof. The proof is contained in [Mon01]. However, since this sequence is relevant for our work, we give a short argument. Clearly, the first non-trivial map is injective, since the trivial 1-cocycles are precisely the bounded ones, by the Bruhat–Tits fixed point lemma. The kernel of $\delta$ is given precisely by those 1-chains which are cycles and define elements in $H^1(G, H_\pi)$. It remains to prove exactness at $H^2_b(G, H_\pi)$. This is obvious since the elements which are mapped to zero are precisely those which are coboundaries of 1-chains. Thus, these are precisely those which are in the image of the coboundary map $\delta$. □
It is clear that homological algebra can fit every comparison map between additive functors, which is defined on a suitable chain level, into a long exact sequence. Hence the above exact sequence can be extended to the right; see [Mon01]. Since we will not need this extension we do not dwell on this.
2. Second bounded cohomology and dimension theory
The following theorem was first observed for finitely generated groups by Burger–Monod in [BM02] as a consequence of the new approach to bounded cohomology developed by N. Monod in [Mon01]. Later the result was extended to arbitrary countable groups by V. Kaimanovich [Kai03]. Note that we do not state the most general form of the result but rather a version which we can readily apply to the problems we study.
Theorem 2.1. Let $G$ be a discrete countable group and $H_\pi$ be a separable dual Banach $G$-module. There exists a standard probability space $S$ with a Borel $G$-action, leaving the probability measure quasi-invariant, such that there exists a natural isometric isomorphism
$$H^2_b(G, H_\pi) \cong ZL^\infty_{\text{alt}}(S^3, H_\pi)^G.$$
Here $ZL^\infty_{\text{alt}}(S^3, H_\pi)$ denotes the space of alternating 3-cocycles with values in $H_\pi$.
The naturality of the isomorphism immediately implies that, in case $H_\pi$ carries an additional module structure over a ring $R$ (which commutes with the $G$-action), the isomorphism is an isomorphism of $R$-modules. One highly non-trivial consequence
of the preceding theorem (from our point of view) is that $H^2_b(G, H_\pi)$ can be viewed as a subspace of $L^\infty(S^3, H_\pi)$ for some standard probability space $S$. The following corollary makes use of this fact.
In the sequel, we are freely using Lück’s dimension function for $LG$-modules, which is defined for all modules over the group von Neumann algebra $LG$. For details about its definition see [Lüc02]. Note that $\ell^2 G$ carries a commuting right $LG$-module structure, which induces $LG$-module structures on all its (quasi-)cohomological invariants.
**Definition 2.2.** An $LG$-module $M$ is called rank separated if for every non-zero element $\xi \in M$
$$[\xi] := 1 - \sup\{\tau(p) \mid p^2 = p^* = p \in LG, \xi p = 0\} > 0.$$
For more information on the notion of rank, we refer to [Tho07]. The only consequence we need is the following lemma.
**Lemma 2.3.** An $LG$-module is rank separated if and only if every non-zero $LG$-submodule has a positive dimension.
**Corollary 2.4.** Let $G$ be a discrete countable group and $K \subset G$ a subgroup. Then $H^2_b(K, \ell^2 G)$ is a rank separated $LG$-module. In particular, every non-zero element generates a sub-module of positive dimension.
**Proof.** If we apply Theorem 2.1 to $K$, it follows that $H^2_b(K, \ell^2 G) \subset L^\infty(S^3, \ell^2 G)$. Let $\xi \in H^2_b(K, \ell^2 G)$ and assume that there exists a sequence of projections $p \in LG$ such that $p_n \uparrow 1$ and $\xi p_n = 0$ for all $n \in \mathbb{N}$. If $\xi p_n = 0$, then for a co-null set $X_n \subset S^3$, we have $\xi(x)p_n = 0$ for all $x \in X_n$. Clearly, the intersection $\bigcap_{n \in \mathbb{N}} X_n$ is still co-null and hence $\xi(x) = 0$ for almost all $x \in S^3$. This implies that $\xi = 0$. □
**Corollary 2.5.** Let $G$ be a discrete countable group and $K \subset G$ a subgroup. The $LG$-module
$$QH^1(K, \ell^2 G)$$
is rank separated if and only if $K$ is non-amenable.
**Proof.** In view of the exact sequence
$$0 \to H^1(K, \ell^2 G) \to QH^1(K, \ell^2 G) \to H^2_b(K, \ell^2 G),$$
the $LG$-module $QH^1(K, \ell^2 G)$ is rank separated if both $H^1(K, \ell^2 G)$ and $H^2_b(K, \ell^2 G)$ are rank separated. Hence, the proof is finished by Corollary 2.4 and Hulanicki’s Theorem; see also the proof of Corollary 2.4 in [PT07]. □
Following [MS06], we denote by $\mathcal{C}_{\text{reg}}$ the class of groups for which
$$H^2_b(G, \ell^2 G) \neq 0.$$
This class was studied extensively in [MS06], and strong results about rigidity and superrigidity were obtained. An a priori slightly different class is of importance in the results we obtain.
**Definition 2.6.** We denote by $\mathcal{D}_{\text{reg}}$ the class of groups with
$$\dim_{LG} QH^1(G, \ell^2 G) \neq 0.$$
**Remark 2.7.** Neither of the possible inclusions between $\mathcal{C}_{\text{reg}}$ and $\mathcal{D}_{\text{reg}}$ is known to hold. Any positive result in this direction would be very interesting. Both of the inclusions seem to be likely. Indeed, it is very likely that $\dim_{LG} QH^1(G, \ell^2 G)$ and $\dim_{LG} H^2_b(G, \ell^2 G)$ can only take the values $0$ or $\infty$. At least if $G$ is of type FP$_2$, this would imply $G \in \mathcal{C}_{\text{reg}} \iff G \in \mathcal{D}_{\text{reg}}$. Moreover, it would give the implication
$$\beta^{(2)}_1(G) \in (0, \infty) \implies G \in \mathcal{C}_{\text{reg}},$$
which seems natural. However, we did not succeed in proving the required restriction on the values of the dimension.
Both $\mathcal{C}_{\text{reg}}$ and $\mathcal{D}_{\text{reg}}$ consist of groups which all remember some features of negatively curved metric spaces. It is therefore permissible to call these groups ‘negatively curved’. We will see this more directly in the examples below.
**Lemma 2.8.** Let $G$ be a countable discrete group. If the group $G$ is in $\mathcal{D}_{\text{reg}}$, then either the first $\ell^2$-Betti number of $G$ or the second bounded cohomology of $G$ with coefficients in $\ell^2 G$ does not vanish. The converse holds if $\beta^{(2)}_2(G) = 0$.
**Proof.** This is immediate from Theorem 1.3 and Corollary 2.4. □
A large class of groups in $\mathcal{D}_{\text{reg}}$ is provided by a result from [MMS04], Theorem 3.
**Theorem 2.9.** All non-elementary hyperbolic groups are in $\mathcal{D}_{\text{reg}}$.
**Proof.** In [MMS04], it was shown that all hyperbolic groups have non-vanishing $QH^1(G, \ell^2 G)$. In fact, it was shown that there exists some element in $QH^1(G, \ell^2 G)$ which even maps non-trivially to $H^2_b(G, \ell^2 G)$. It follows from Corollary 2.5 that all non-elementary (i.e. non-amenable) hyperbolic groups are in $\mathcal{D}_{\text{reg}}$. □
In [MS04], the class $\mathcal{C}_{\text{reg}}$ is studied more extensively. One result we want to mention is the following:
Theorem 2.10 (Corollary 7.6 in [MS04]). Let $G$ be a discrete group acting non-elementarily and properly by isometries on some proper CAT($-1$) space. Then
$$H^2_B(G, \ell^2 G) \neq 0.$$
Note that in view of Lemma 2.8, the preceding theorem provides examples of groups in $\mathcal{D}_{\text{reg}}$ as soon as the second $\ell^2$-Betti number of the corresponding group vanishes.
3. Non-existence of infinite s-normal subgroups
The following notion of normality was studied by Peterson and the author [PT07] in connection with a non-vanishing first $\ell^2$-Betti number. The definition of s-normality goes back to the seminal work of S. Popa, who studied similar definitions in [Pop06].
Definition 3.1. Let $G$ be a discrete countable group. An infinite subgroup $K \subset G$ is said to be $s$-normal if $gKg^{-1} \cap K$ is infinite for all $g \in G$.
Example 3.2. The inclusions
$$\text{GL}_n(\mathbb{Z}) \subset \text{GL}_n(\mathbb{Q}) \quad \text{and} \quad \mathbb{Z} = \langle a \rangle \subset \langle a, b \mid ba^p b^{-1} = a^q \rangle = \text{BS}_{p,q}$$
are inclusions of s-normal subgroups.
Given Banach space valued functions $f, g : X \to B$, defined on a set $X$, we write $f \asymp g$ if the function
$$X \ni x \mapsto \| f(x) - g(x) \| \in \mathbb{R}$$
is uniformly bounded on $X$.
A unitary $G$-representation is said to be strongly mixing if $\langle g\xi, \eta \rangle \to 0$ for $g \to \infty$. The following lemma is the key observation which leads to our first main results.
Lemma 3.3. Let $G$ be a discrete countable group and let $K \subset G$ be an infinite s-normal subgroup. Let $H_\pi$ be a strongly mixing unitary representation of the group $G$. The restriction map
$$\text{res}^G_K : QH^1(G, H_\pi) \to QH^1(K, H_\pi)$$
is injective.
Proof. Let \( c : G \to H_\pi \) be a quasi-1-cocycle, which is bounded on \( K \). Therefore \( c(k) \asymp 0 \) as a function of \( k \in K \). We compute
\[
c(gkg^{-1}) \asymp (1 - gkg^{-1})c(g) + gc(k) \asymp (1 - gkg^{-1})c(g),
\]
as a function of \((g, k) \in G \times K\). For \( k \in g^{-1}Kg \cap K \), we obtain that
\[
\|(1 - gkg^{-1})c(g)\| \leq \|c(gkg^{-1})\| + C' \leq C
\]
for some constants \( C', C \geq 0 \). Since \( K \subset G \) is s-normal, the subgroup \( g^{-1}Kg \cap K \) is infinite. Now, since \( H_\pi \) is strongly mixing, we conclude that
\[
2\|c(g)\|^2 = \lim_{k \to \infty} \|(1 - gkg^{-1})c(g)\|^2 \leq C^2.
\]
Hence \( g \to \|c(g)\| \) is uniformly bounded by \( 2^{-1/2}C \). This proves the claim. \( \square \)
The following theorem is a non-trivial consequence about the subgroup structure for groups in the class \( \mathcal{D}_{\text{reg}} \). It is our first main result.
**Theorem 3.4.** Let \( G \) be a discrete countable group in \( \mathcal{D}_{\text{reg}} \) and let \( K \subset G \) be an infinite s-normal subgroup. The group \( K \) satisfies at least one of the following properties:
(i) the first \( \ell^2 \)-Betti number of \( K \) does not vanish, or
(ii) the second bounded cohomology of \( K \) with coefficients in \( \ell^2 K \) does not vanish.
In particular, \( K \) can neither be amenable nor a product of infinite groups.
Proof. By Lemma 3.3, the restriction map
\[
QH^1(G, \ell^2 G) \to QH^1(K, \ell^2 G)
\]
is injective. One easily sees that \( QH^1(K, \ell^2 K) \subset QH^1(K, \ell^2 G) \) generates a rank-dense \( LG \)-submodule in \( QH^1(K, \ell^2 G) \). Hence \( QH^1(K, \ell^2 K) \) cannot be zero-dimensional and we see that \( K \) is in \( \mathcal{D}_{\text{reg}} \), and the claim follows from Lemma 2.8. We conclude that \( K \) can neither be amenable or a product of infinite groups, since both classes of groups have vanishing first \( \ell^2 \)-Betti number (see [Lüc02]) and vanishing second bounded cohomology with coefficients in the left regular representation; see [MS06]. \( \square \)
**Remark 3.5.** The result easily extends to ws-normal subgroups; see [PT07].
### 4. Bounded generation and finiteness theorems
It has been observed by many people that boundedly generated groups and non-elementary hyperbolic groups are opposite extremes in geometric group theory. In
this section we support this view by showing that there are essentially no group homomorphisms from a boundedly generated with property (T) to a Gromov hyperbolic group. Later, in Section 5.2, we can even extend this result to a suitable class of random morphisms in the sense of Monod; see [Mon06].
A group $G$ is said to be \textit{boundedly generated} by a subset $X$ if there exists $k \in \mathbb{N}$ such that each element of $G$ is a product of less than $k$ elements from $X \cup X^{-1}$. We say that $G$ is boundedly generated by a finite set of subgroups $\{G_i, i \in I\}$ if $G$ is boundedly generated by the set $\bigcup_{i \in I} G_i$.
\begin{lemma}
Let $G$ be a non-amenable group which is boundedly generated by a finite set of amenable subgroups. Then the group $QH^1(G, \ell^2 G^{\oplus \infty})$ is zero.
\end{lemma}
\begin{proof}
We view $\ell^2 G^{\oplus \infty} \cong \ell^2(G \times \mathbb{Z})$ and consider it as an $L(G \times \mathbb{Z})$-module. In view of Corollary 2.5, we can assume that $QH^1(G, \ell^2 G^{\oplus \infty})$ is rank separated. Hence, given an arbitrary element
$$c \in QH^1(G, \ell^2(G \times \mathbb{Z})),$$
in order to show that it is zero, we have to provide a sequence of projections $p_n \in L(G \times \mathbb{Z})$ such that $p_n \uparrow 1$ and $cp_n = 0$ for all $n \in \mathbb{N}$.
Let $G$ be boundedly generated by amenable subgroups $G_1, \ldots, G_n$. The restriction of a quasi-1-cocycle onto $G_i$ is almost bounded, i.e., there exists a projection $q_i \in L(G \times \mathbb{Z})$ of trace $\tau(q_i) \geq 1 - \varepsilon/n$ such that $cq_i$ is bounded on $G_i$. Setting $p = \inf_{1 \leq i \leq n} q_i$, we obtain a projection $p$ with trace $\tau(p) \geq 1 - \varepsilon$ such that $cp$ is bounded on $G_i$ for all $1 \leq i \leq n$. The cocycle identity and bounded generation imply that $cp$ is bounded on the whole of $G$. Hence $cp = 0 \in QH^1(G, \ell^2(G \times \mathbb{Z}))$. The sequence $p_n$ is constructed by choosing $\varepsilon < 1/n$. This proves the claim.
\end{proof}
As we have seen, non-elementary Gromov hyperbolic groups are in $D_{\text{reg}}$, but more is true:
\begin{lemma}
Let $G$ be a Gromov hyperbolic group. There exists a proper quasi-1-cocycle on $G$ with values in $\ell^2 G^{\oplus \infty}$.
\end{lemma}
\begin{proof}
This is an immediate consequence of the proof of Theorem 7.13 in [MS04], which builds on Mineyev’s work on equivariant bicombs; see Theorem 10 in [Min01].
\end{proof}
The following theorem is the second main result of this article. A cocycle version of it will be presented in the last section as Corollary 5.12.
\begin{theorem}
Let $G$ be a group which admits a proper quasi-1-cocycle into $\ell^2 G^{\oplus \infty}$, and let $H$ be a group which is boundedly generated by a finite set of amenable subgroups. Then every group homomorphism $\phi : H \to G$ has amenable image.
\end{theorem}
Proof. We may assume that \( \phi \) is injective, since any quotient of a group which is boundedly generated by amenable groups is of the same kind. If the quotient is non-amenable, then the restriction of the proper quasi-1-cocycle coming from Lemma 4.2 has to be bounded on \( H \) by Lemma 4.1. Indeed, \( \ell^2 H^{\oplus \infty} \cong \ell^2 G^{\oplus \infty} \) as unitary \( H \)-representations using a coset decomposition and hence Lemma 4.1 applies. However, the quasi-1-cocycle is unbounded on any infinite subset. This is a contradiction since \( H \) follows to be finite and hence amenable.
Remark 4.4. The result applies in particular to the case when \( G \) is Gromov hyperbolic. In this case we can even conclude that the image is finite or virtually cyclic, since all amenable subgroups of a Gromov hyperbolic group are finite or virtually cyclic.
From the above theorem we can derive the following corollary.
Corollary 4.5. Let \( G \) be a group which admits a proper quasi-1-cocycle into \( \ell^2 G^{\oplus \infty} \), and let \( H \) be a group which
(i) is boundedly generated by a finite set of amenable subgroups, and
(ii) has property (T) of Kazhdan–Margulis.
Then every group homomorphism \( \phi : H \to G \) has finite image.
Proof. Any quotient of a property (T) group has also property (T). However, the image of \( \phi \) is amenable by Theorem 4.3 and the only amenable groups with property (T) are finite. This finishes the proof.
Remark 4.6. Note that results like the preceding corollary are well known if one assumes the target to be a-T-menable, whereas here: many Gromov hyperbolic groups have property (T). Examples of groups \( H \) which satisfy assumptions (i) and (ii) of Corollary 4.5 include \( \text{SL}_n(\mathbb{Z}) \) for \( n \geq 3 \) and many other lattices in higher rank semi-simple Lie groups; see [Tav90]. Conjecturally, all irreducible, non-cocompact lattices in higher rank Lie groups share these properties. In [BM02], it was shown that higher rank lattices in certain algebraic groups over local fields have property (TT) of Monod; see Theorem 13.4.1 in [Mon01] and the definitions therein. A similar proof can be carried out in this situation.
Note that the groups which satisfy the conditions (i) and (ii) do not always satisfy property (TT) of Monod. Indeed, in an appendix of [Man06] Monod–Rémy construct boundedly generated groups (in fact lattices in higher rank semi-simple Lie groups) with property (T) which fail to have property (QFA) of Manning (see [Man06]) and property (TT) of Monod. Hence, the plain quasification of property (T), which would yield some version of property (TT) of Monod (and should of course also imply property (QFA) by an extension of Watatani’s proof, see [Wat82]) is too strong to hold for all lattices in higher rank semi-simple Lie group. Hence, the combination
of conditions (i) and (ii) is perhaps the appropriate set of conditions that encodes the way in which higher rank lattices satisfy a strong form of property (T).
**Remark 4.7.** The mechanism of properness vs. boundedness works in the context of ordinary first cohomology with coefficients in $\ell^p$-spaces as well. In fact, G. Yu [Yu05] provided proper $\ell^p$-cocycles for hyperbolic groups, whereas Bader–Furman–Gelander–Monod [BFGM07] studied the necessary strengthening of property (T) for higher rank lattices. A combination of Theorem B in [BFGM07] and Yu’s result allows to conclude Corollary 4.5 for lattices in certain algebraic groups (see the assumption of Theorem B in [BFGM07]). However, even for this special case, our approach seems more elementary, just using the notion of quasi-1-cocycle.
## 5. Groups with proper quasi-1-cocycles
### 5.1. Subgroups and free products.
Every quasi-1-cocycle is close to one for which
$$c(g^{-1}) = -g^{-1}c(g)$$
holds on the nose. Indeed, $\tilde{c}(g) = \frac{1}{2}(c(g) - gc(g^{-1}))$ is anti-symmetric and only bounded distance away from $c$. Note also that $\tilde{c}$ is proper if and only $c$ is proper. We call the quasi-1-cocycles which satisfy this additional property anti-symmetric.
**Lemma 5.1.** Let $G$, $H$ be discrete countable groups and let $H_\pi$ be a unitary representation of $G * H$. Moreover, let $c_1 : G \to H_\pi$ and $c_2 : H \to H_\pi$ be anti-symmetric quasi-1-cocycles. Then there is a natural anti-symmetric quasi-1-cocycle
$$c = (c_1 * c_2) : G * H \to H_\pi$$
which extends $c_1$ and $c_2$.
**Proof.** Let $w = g_1 h_1 g_2 h_2 \ldots g_n h_n$ be a reduced element in $G * H$ (i.e., only $g_1$ or $h_n$ might be trivial). We define
$$c(w) = c_1(g_1) + g_1 c_2(h_2) + g_1 h_1 c_1(g_2) + \cdots + g_1 h_1 \ldots g_n c_2(h_n).$$
Clearly, $c$ is anti-symmetric, i.e., $c(w^{-1}) = -w^{-1}c(w)$ just by construction and using that $c_1$ and $c_2$ were anti-symmetric. Let us now check that it is indeed a quasi-1-cocycle. Let $w_1$ and $w_2$ be elements of $G * H$ and assume that $w_1 = w'_1 r$ and $w_2 = r^{-1} w'_2$, such that the products $w'_1 w'_2$, $w'_1 r$ and $r^{-1} w'_2$ are reduced in the sense that the block length drops at most by one.
Then the identities
$$c(w'_1 w'_2) = w'_1 c(w'_2) + c(w'_1),$$
$$c(w'_1 r) = w'_1 c(r) + c(w'_1),$$
$$c(r^{-1} w'_2) = r^{-1} c(w'_2) + c(r^{-1})$$
hold up to a uniformly bounded error. Hence, using the three equations above, we can compute
\[
c(w_1 w_2) = c(w'_1 w'_2)
= w'_1 c(w'_2) + c(w'_1)
= w'_1 r c(r^{-1} w'_2) - w'_1 r c(r^{-1}) + c(w'_1)
= w'_1 r c(r^{-1} w'_2) - w'_1 r c(r^{-1}) + c(w'_1 r') - w'_1 c(r)
= w_1 c(w_2) + c(w_2),
\]
again up to uniformly bounded error. In the last step we used that \(c\) is anti-symmetric. In fact, the construction seems to fail at this point if one does not assume \(c_1\) and \(c_2\) to be anti-symmetric, since we cannot assure that \(c(r^{-1}) + r^{-1} c(r)\) is uniformly bounded. This finishes the proof.
**Remark 5.2.** Note that obviously the class of \(c\) in the first quasi-cohomology does depend heavily on \(c_1\) and \(c_2\) and not only on their classes in the first quasi-cohomology.
**Theorem 5.3.** The class of groups \(G\) which admit proper quasi-1-cocycles \(c : G \to \ell^2 G^{\oplus \infty}\) is closed under subgroups and free products.
**Proof.** The assertion concerning subgroups is obvious since we can just restrict the cocycles and decompose the regular representation according to the cosets.
Let us now turn to the question about free products. Given proper quasi-1-cocycles \(c_1 : G \to \ell^2 G^{\oplus \infty}\) and \(c_2 : H \to \ell^2 H^{\oplus \infty}\) we can regard both as taking values in \(\ell^2 (G * H)^{\oplus \infty}\) and can assume that they are anti-symmetric. Moreover, since the set of values of \(c_1\) and \(c_2\) in a bounded region is finite, we can add a bounded 1-cocycle and assume that the minimum of \(g \mapsto \|c_1(g)\|_2\) and \(h \mapsto \|c_2(h)\|\) is non-zero on \(G \setminus \{e\}\) resp. \(H \setminus \{e\}\).
We claim that the quasi-1-cocycle \((c_1 * 0) \oplus (0 * c_2) : G * H \to \ell^2 (G * H)^{\oplus \infty}\) is proper. Here we are using the notation of Lemma 5.1. Let \(w = g_1 h_1 g_2 h_2 \ldots g_n h_n\) be a reduced element in \(G * H\). Clearly,
\[
\|(c_1 * 0)(w)\|^2 = \sum_{i=1}^{n} \|c(g_i)\|^2.
\]
Hence, using the properness of \(c_1\), the set of \(g_i\)'s that can appear with a given bound on \(\|(c_1 * 0)(w)\|\) is a finite subset of \(G\). Moreover, we find an upper bound on \(i\) since the minimum of \(g \mapsto \|c(g)\|\) is assumed to be non-zero. The same is true for the set of \(h_i\)'s. Hence, the set of elements \(w \in G * H\) for which \(\|(c_1 * 0) \oplus (0 * c_2)(w)\|\) is less than a constant is finite. This finishes the proof. \(\square\)
5.2. Orbit equivalence. In this section we study the stability of the class of groups which admit proper quasi-1-cocycles in a multiple of the regular representation under orbit equivalence. For the notion of *orbit equivalence*, which goes back to work of Dye (see [Dye59], [Dye63]), we refer to Gaboriau’s nice survey [Gab05] and the references therein; see also [Gro93]. Although it remains open whether the class is closed under this relation, we are able to prove that it is closed under a slightly more restricted relation, which we call $\ell^2$–orbit equivalence. (To our knowledge, the idea of $\ell^2$–orbit equivalence goes back to unpublished work of R. Sauer.) Unfortunately, we cannot say much more about the class of groups which are $\ell^2$–orbit equivalent to Gromov hyperbolic groups. This is subject of future work. Literally everything extends to the suitable notions of measure equivalence, but for sake of simplicity we restrict to orbit equivalence.
Let $G$ be a discrete countable group. Let $(X, \mu)$ be a standard probability space and $G \curvearrowright (X, \mu)$ be a measure preserving (m.p.) action by Borel automorphisms. We denote by $X \rtimes G$ the inverse semigroup of partial isomorphisms which are implemented by the action (not just the equivalence relation). Two partial isomorphisms $\phi$, $\psi$ which are induced by the action are said to be *orthogonal* if $\text{dom}(\phi) \cap \text{dom}(\psi) = \emptyset$ and $\text{ran}(\phi) \cap \text{ran}(\psi) = \emptyset$. They are said to be *disjoint* if they are disjoint as subsets of the set of morphisms of the associated discrete measured groupoid. Clearly, orthogonal partial isomorphisms are disjoint. All equalities which concern subsets of a probability space or partial maps between probability spaces are supposed to hold almost everywhere, i.e., up to a set of measure zero, as usual.
Every partial isomorphism can be written as an infinite orthogonal sum
$$\phi = \bigoplus_{i=1}^{\infty} \phi_{A_i} g_i$$
for some Borel subsets $A_i$ and $g_i \in G$. The sub-inverse-semigroup of those for which there is a finite sum as above is denoted by $X \rtimes_{\text{fin}} G$. If $G$ is finitely generated and $l : G \to \mathbb{N}$ is a word length function on $G$, there is yet another sub-inverse-semigroup, which is formed by those infinite sums for which
$$\sum_{i=1}^{\infty} \mu(A_i) l(g_i)^2 < \infty.$$
We denote it by $X \rtimes_2 G$. Since $l(gh)^2 \leq (l(g) + l(h))^2 \leq 2(l(g)^2 + l(h)^2)$, it is obvious that $X \rtimes_2 G$ is closed under composition. Note also that the summability does not depend on the set of generators we choose to define the length function.
**Definition 5.4.** Let $(X, \mu)$ be a standard probability space and $G, H \curvearrowright (X, \mu)$ essentially free m.p. actions by Borel automorphisms. The data is said to induce an orbit-equivalence if the orbits of the two actions agree up to measure zero. In this case injective natural homomorphisms of inverse semigroups,
$$\phi_1 : G \to X \rtimes H \quad \text{and} \quad \phi_2 : H \to X \rtimes G,$$
are defined. We say that an orbit equivalence is an $\ell^2$-orbit-equivalence if the image of $\phi_1$ (resp. $\phi_2$) is contained in $X \rtimes_2 H$ (resp. $X \rtimes_2 G$).
**Remark 5.5.** If the images are contained even in $X \rtimes_{\text{fin}} G$ (resp. $X \rtimes_{\text{fin}} H$), one usually speaks about a uniform orbit equivalence. Using Gromov’s dynamical criterion, this also implies that $G$ is quasi-isometric to $H$. Thus $\ell^2$-orbit equivalence is somehow halfway between quasi-isometry and usual orbit equivalence.
**Definition 5.6.** Let $H_\pi$ be a unitary $G$-representation which carries a compatible normal action of $L^\infty(X)$. A 1-cocycle of $X \rtimes_2 G$ with values in $H_\pi$ is defined to be a map $c : X \rtimes_2 G \to H_\pi$ such that
1. $c(\phi) \in \chi_{\text{ran}(\phi)} H_\pi$,
2. $c$ is compatible with infinite orthogonal decompositions of the domain,
3. $c(\psi \phi) = \psi c(\phi) + c(\psi)$ if $\text{dom}(\psi) = \text{ran}(\phi)$.
A 1-cocycle is said to be inner if $c(\phi) = (\phi - \chi_{\text{ran}(\phi)})\xi$ for some vector $\xi \in H_\pi$. In analogy to the group case we call a map $c : X \rtimes_2 G \to H_\pi$ satisfying (1) and (2) from above a quasi-1-cocycle if $\|\psi c(\phi) - c(\psi \phi) + c(\psi)\|$ is uniformly bounded for $\psi, \phi$ with $\text{dom}(\psi) = \text{ran}(\phi)$.
**Definition 5.7.** A quasi-1-cocycle $c : X \rtimes_2 G \to H_\pi$ is said to be proper if for every sequence of disjoint partial isomorphisms $\phi_i \in X \rtimes G$ with $\liminf_{i \to \infty} \mu(\text{dom}(\phi_i)) > 0$, we have that $\lim_{i \to \infty} \|c(\phi_i)\| = \infty$.
**Lemma 5.8.** Let $G$ be a discrete countable group. Let $(X, \mu)$ be a standard probability space and $G \curvearrowright (X, \mu)$ be an m.p. action by Borel automorphisms. Let $c : G \to H_\pi$ be a quasi-1-cocycle. There is a natural extension of the (quasi-)1-cocycle $c$ to a (quasi-)1-cocycle $\tilde{c} : X \rtimes_2 G \to L^2(X, \mu) \otimes_2 H_\pi$ where $G$ acts diagonally.
**Proof.** We define
$$\tilde{c}\left( \bigoplus_{i=1}^{\infty} \chi_{A_i} g_i \right) = \sum_{i=1}^{\infty} \chi_{A_i} \otimes c(g_i).$$
Since $\|c(g)\| \leq C \cdot I(g)$ for some constant $C > 0$, the right-hand side is well defined in $L^2(X, \mu) \otimes_2 H_\pi$. It can be easily checked that all relations are satisfied. □
**Lemma 5.9.** If the quasi-1-cocycle $c : G \to H_\pi$ is proper, then so is the quasi-1-cocycle $\tilde{c} : X \rtimes_2 G \to L^2(X, \mu) \otimes_2 H_\pi$, which we obtain from the construction in Lemma 5.8.
**Proof.** Let $\phi_i$ be a sequence of disjoint partial isomorphisms with $\liminf_{i \to \infty} \mu(\phi_i) \geq \varepsilon > 0$. In order to derive a contradiction, we can assume that $\|\tilde{c}(\phi_i)\| < C$ for some constant $C$ and all $i \in \mathbb{N}$.
Hence, for every $i \in \mathbb{N}$, at least half of $\phi_i$ is supported at group elements $g \in G$ with $\|c(g)\| \leq 2C/\varepsilon$. Indeed, if not, then $\|\tilde{c}(\phi_i)\| \geq 2^{-1/2}\varepsilon \cdot 2C/\varepsilon > C$. Since this holds for all $i \in \mathbb{N}$ and the support of $g \in G$ has measure 1, the set of $g \in G$ with $\|c(g)\| \leq 2C/\varepsilon$ has to be infinite. This is a contradiction since we assume $c$ to be proper.
**Theorem 5.10.** The class of groups which admit a proper quasi-1-cocycle with values in an infinite sum of the regular representation is closed under $\ell^2$-orbit equivalence.
**Proof.** Let $G$ and $H$ be $\ell^2$-orbit equivalent groups. We show that if $G$ admits a proper quasi-1-cocycle with values in $\ell^2 G^{\oplus \infty}$, then $H$ admits a proper quasi-1-cocycle with values in $\ell^2 H^{\oplus \infty}$.
Let $c : G \to \ell^2 G^{\oplus \infty}$ be a proper quasi-1-cocycle. Lemma 5.8 says that we can extend $c$ to a quasi-1-cocycle which is defined on $X \rtimes_2 G$ and takes values in $L^2(X, \mu) \otimes_2 \ell^2 G^{\oplus \infty}$. Note that the homomorphism $\phi : H \to X \rtimes_2 G$ is compatible in the sense that the obvious actions are intertwined with the natural isomorphism
$$L^2(X, \mu) \otimes_2 \ell^2 G^{\oplus \infty} \cong L^2(X, \mu) \otimes_2 \ell^2 H^{\oplus \infty}.$$
We conclude by noting that the restriction $\tilde{c}|_H : H \to L^2(X, \mu) \otimes_2 \ell^2 H^{\oplus \infty}$ is proper by Lemma 5.9, and that $L^2(X, \mu) \otimes_2 \ell^2 H^{\oplus \infty} \cong \ell^2 H^{\oplus \infty}$ as unitary $H$-representations.
**Remark 5.11.** A similar proof applies to the case where $H$ merely embeds into $X \rtimes_2 G$ (i.e., is not necessarily part of an orbit equivalence). This type of sub-object is called random subgroup in [Mon06]. However, note that an arbitrary random subgroup does not necessarily satisfy the $\ell^2$-condition we impose. We could speak of $\ell^2$-random subgroups in case it satisfies the $\ell^2$-condition.
The following strengthening of Theorem 4.3 is also an immediate consequence of Theorem 5.10.
**Corollary 5.12.** Let $G$ be a group which is boundedly generated by a finite set of amenable subgroups and let $H$ be a Gromov hyperbolic group. Let $H \curvearrowright (X, \mu)$ be an m.p. action by Borel automorphisms on a standard probability space. Any homomorphism of inverse semi-groups $\phi : G \to X \rtimes_2 H$ has amenable image. Moreover, if $G$ has property (T) of Kazhdan, then the image of $\phi$ has finite measure.
**Remark 5.13.** In terms of randommorphisms, the last corollary says that any $\ell^2$-randommorphism from $G$ to $H$ has finite image; in the sense that the relevant $G$-invariant measure $\mu$ on the polish space $[G, H]_\bullet$ (see [Mon06] for details) is a.e. supported on maps with finite image such that
$$\int_{[G, H]_\bullet} \# \phi(G) \ d\mu(\phi) < \infty.$$
Acknowledgments. Thanks go to Theo Bühler, Clara Löh and Thomas Schick for interesting discussions about bounded cohomology. I am grateful to Roman Sauer for sharing his ideas about $\ell^2$-orbit equivalence. I also want to thank the referee for several useful remarks that improved the exposition.
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Received November 9, 2007; revised April 7, 2008
A. Thom, Mathematisches Institut, Bunsenstr. 3–5, 37073 Göttingen, Germany
E-mail: [email protected]
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Use of Crusade Risk Score in predicting major bleeding among acute myocardial infarction patients receiving Streptokinase
Siti Syarihan Abdullah 1 , Nur 'Izzati Mokhtar 1 , Matthew John Arulappu 1 , Nur Ainnaja Azman 1 , Ong Ming Jian 1 , Liew Jia Yee 1 , Ting Wei Jiun 1 , Tan Yin Xin 1
1Hospital Selayang, Selangor, Ministry of Health Malaysia
Abstract
Introduction: Thrombolysis therapy in the management of acute myocardial infarction (AMI) significantly increases major bleeding risk. As major bleeding is associated with mortality, predicting the bleeding could improve the overall outcome of thrombolysis therapy. The use of CRUSADE risk score has not been evaluated among the Malaysian population, particularly in AMI patients who received streptokinase.
Objective: This study aimed to evaluate the association of the patient characteristics and clinical outcomes with major bleeding events and to examine the prognostic value of CRUSADE risk score in predicting major bleeding among AMI patients in Hospital Selayang.
Method: AMI patients admitted to Hospital Selayang who received streptokinase from Jan 2015 to Dec 2018 were included through universal sampling. Patients were grouped into major bleeding and non-major bleeding groups. Patients' demographic data, baseline clinical characteristics and clinical outcomes during the hospital stay were extracted from the electronic medical records. The CRUSADE risk score was calculated for all patients and tested using C statistic and receiver operating characteristics (ROC) curve.
Results: In this study, 143 AMI patients with median age of 54 years old (interquartile range (IQR) 14) were included. Three patients had major bleeding (2.1%), while 31 patients had minor bleeding (21.7%). Patients with minor bleeding and without bleeding were grouped into the non-major bleeding group (n=140, 97.1%).
There was no significant differences in the demographics and baseline characteristics between the two groups. Major bleeding was associated with mortality (p=0.013) and longer duration of hospital stay (p=0.003). There was no significant prognostic value of the CRUSADE model in predicting major bleeding among AMI patients receiving Streptokinase [C=0.539; 95% Confidence Interval (CI) 0.353-0.726; p=0.816].
Conclusion:
CRUSADE risk score was not an independence predictor of major bleeding in AMI patients who received streptokinase in Hospital Selayang. Future study with a larger population is needed to get
more significant results.
Keywords: Acute myocardial infarction, CRUSADE risk score, thrombolysis therapy, major bleeding
NMRR ID:
NMRR-16-1817-32350
Corresponding Author: Siti Syarihan binti Abdullah
Pharmacy Department, Hospital Sungai Buloh, Jalan Hospital, 47000 Sungai Buloh, Selangor.
Email: [email protected]
Introduction
The leading cause of morbidity and mortality worldwide and in Malaysia is coronary artery disease (1–4). According to the World Health Organization (WHO), 115.14 deaths per 100,000 population in Malaysia in 2019 were caused by coronary artery disease, which includes acute coronary syndrome, ST-elevation myocardial infarction (STEMI), non-ST elevation myocardial infarction (NSTEMI) and unstable angina (2). The main goal of treatment for myocardial infarction (MI) is to reduce the size of infarct. The latest treatment modalities for MI with electrocardiographic evidence of STEMI consist of thrombolysis, percutaneous coronary intervention (PCI) and medical treatment (1, 3, 5). Reperfusion must be done early and prompt as time lost is equivalent to myocardium lost (1). Therefore, it is practicable to start thrombolysis therapy in the emergency department in order to reduce delay from first medical contact to cardiac reperfusion.
The use of streptokinase as thrombolytic agent is very common as it is effective and affordable. Mortality risk is significantly reduced by thrombolysis therapy with streptokinase, where it will restore the coronary patency (1). However, thrombolysis therapy is also associated with the increased risk of major bleeding events (4–7). In-hospital major bleeding is associated to short- and long-term mortality, stroke, MI, blood transfusion, as well as increased duration of hospital stay and cost (8). Clinical decisions should weigh between the risks of recurrent ischemia and major bleeding as both risks are associated with higher mortality rate (7).
The CRUSADE (Can Rapid Risk Stratification of Unstable Angina Patients Suppress Adverse Outcomes with Early Implementation of the ACC/AHA Guidelines) score is one of the tools introduced to predict the risks of bleeding in NSTEMI patients (9, 10). This score was originally developed for NSTEMI patients, but was subsequently validated in STEMI patients (11). Previous studies reported that CRUSADE score was accurate in the prediction of major bleeding events (4). However, this score was created based on Caucasian population (5, 8), and limited studies have been performed to validate the application of CRUSADE score in the management of STEMI among the East Asian population. The score functions have not been evaluated in the Malaysian setting with different patient characteristics and treatment patterns, particularly in STEMI patients. Directly applying this prediction model may over or underestimate the bleeding risks. Therefore, this study was carried out to evaluate the association of the patient characteristics and clinical outcomes with major bleeding as well as to examine the prognostic value of CRUSADE risk score in predicting the in-hospital major bleeding among acute myocardial infarction (AMI) patients in Hospital Selayang.
Method
A single-centred retrospective study was carried out in Hospital Selayang, Selangor, Malaysia. This study was registered in the National Medical Research Register (NMRR) (ID No: NMRR-16-1817-32350) and ethics approval was granted by the Medical Research and Ethics Committee (MREC), Ministry of Health on 3 rd July 2018.
All AMI patients aged above 18 years old who were admitted to Hospital Selayang and received a single dose of IV Streptokinase 1.5 million units from January 2015 to December 2018 were included in this study. Patients were excluded if they received double thrombolysis therapy (streptokinase and tenecteplase) or if they had taken oral anticoagulant prior to MI.
Sample size estimation was calculated using the population proportion formula (12). Prior data indicated that the proportion of major bleeding was 0.183 (13). If the Type I error probability and precision were 0.05 and 0.05, the targeted sample size was 167 patients.
Patients' demographic data and baseline laboratory data before streptokinase administration (i.e. hematocrit level, heart rate, systolic blood pressure, creatinine clearance-calculated using Cockcroft-Gault formula) were extracted from Hospital Selayang's electronic medical record and documented into the data collection form. All records throughout the hospital stay episode were checked and clinical outcomes such as major and minor bleeding, heart failure, cardiogenic shock and mortality were documented.
Patients were classified into two groups, namely major bleeding group and non-major bleeding group, based on the presence or absence of major bleeding. The definition of major and minor bleeding was shown in Table 1. Those with minor bleeding and no bleeding were grouped into the non-major bleeding group. CRUSADE risk score was calculated for every patient based on the baseline and clinical information collected. Table 2 showed the algorithm of CRUSADE risk score calculation (10), and Table 3 showed the risk stratification for CRUSADE risk scores.
Data were analysed using Statistical Package for Social Science (SPSS) version 21.0 and Microsoft Excel version 2013. Descriptive analysis such as frequency, percentage, median and interquartile range (IQR) were used to analyse the distribution of demographic data. Statistical tests such as Fisher's exact test (for categorical data) and Mann-Whitney test (for continuous data) were performed to compare the differences of demographics, baseline data and clinical outcomes between major bleeding and non-major bleeding groups. Meanwhile, to test the prognostic value of CRUSADE risk score, C-statistic or the area under the receiver operating characteristic (ROC) curve were used. C-statistics are commonly used in medical literature to evaluate a scoring system's capacity to distinguish between two groups of population that do and do not experience the outcome of interest. A C-statistic value of 0.5 and below suggests a very
poor model, while a value more than 0.7 suggests a good model (14). A p-value less than 0.05 was regarded as being statistically significant.
Table 1: Definition of Major and Minor Bleeding
Major Bleeding
* Fatal bleed
* ICB – confirmed by computed tomography (CT) or magnetic resonance imaging (MRI)
* Upper gastrointestinal bleed (UGIB) – confirmed by Oesophagus Duodenoscopy (OGDS) procedure
* Retroperitoneal bleed
* ≥ 5cm hematoma
* Overt bleeding (including on imaging) with decrease Hemoglobin ≥ 5g/dl or Hematocrit ≥ 15% from baseline
Minor Bleeding
* Gum bleeding
* Spontaneous gross hematuria*
* Spontaneous hematemesis*
* Other bleeding not requiring treatment or causing hemodynamic compromise, resulting Hemoglobin drop by 3 – 5 g/dl or Hematocrit drop by 10 -15%
(*even if hemoglobin or hematocrit drop was < 3g/dl or <10%, respectively)
* Bleeding that causes substantial hemodynamic compromise that requires intervention or treatment (i.e. blood product transfusion/ Vitamin K/ Tranexamic acid).
Definition is based on the Thrombolysis in Myocardial Infarction (TIMI), Global Use of Strategies to Open Occluded Arteries (GUSTO) and ACUITY criteria of major/ severe bleeding(18, 20, 21)
Table 2: Algorithm to determine the CRUSADE risk score of in-hospital major bleeding
Table 3: CRUSADE Risk Score Stratification
Results
The number of AMI patients receiving IV Streptokinase in Hospital Selayang from January 2015 to December 2017 were 596. A total of 143 patients met the inclusion criteria of this study (Figure 1). Only three patients (2.1%) were in the major bleeding group, while the remaining 140 (97.9%) were in the nonmajor bleeding group. There was no statistically significant difference in the demographics and baseline characteristics between the two groups (Table 4). There was also no significant difference in the CRUSADE risk score between the major bleeding and non-major bleeding group, with a median score of 23 (min, max 23, 33) and 25 (IQR 15), respectively.
Excluded (n=453)
- missing/ incomplete data (n=434)
- thrombolysed with tenecteplase (n=13)
- received double thrombolysis therapy (n=3)
- streptokinase for indications other than MI (n=2)
- receive oral anticoagulant prior streptokinase (n=1)
Abbreviation: AMI = Acute myocardial infarction
Figure 1: Selection process of eligible patients
Table 4: Patient characteristics (n=143)
a Mann-Whitney test, b Fischer exact test
Abbreviation: BP = Blood pressure; CrCl = Creatinine clearance (calculated using Cockcroft-Gault formula); IQR = Interquartile range
There were only three cases (2.1%) of major bleeding events observed in this study, while 31 patients (21.7%) had minor bleeding. Most of the bleeding cases occurred within 24-hour post streptokinase administration (20.3%), including all three cases of major bleeding. The types of bleeding identified were summarised in Table 5.
Table 5: Bleeding events observed in this study
The clinical outcomes that were observed in this study were presented in Table 6. Mortality was found to be associated with major bleeding events in AMI patients receiving Streptokinase (p=0.013). Out of three patients with major bleeding, two patients (66.7%) were dead. Patients in the major bleeding group had a significantly longer duration of hospital stay as compared to non-major bleeding group (p=0.003). The median of hospital stay for major bleed group was 16 days, while non-major bleed group was only 5 days.
Table 6: Association of Clinical Outcomes During Hospital Stay with Major Bleed
a Mann-Whitney test, b Fischer exact test
Abbreviation: IQR = Interquartile range
According to ROC curve in Figure 2, we were not able to determine a significant prognostic value of CRUSADE risk score in predicting major bleeding among AMI patients who receive Streptokinase (area under the ROC curve = 0.539; 95% CI 0.353-0.726; p = 0.816).
C=0.539; 95% CI 0.353-0.726; p=0.816
Abbreviation: ROC = Receiver operating characteristics; CI = Confidence interval
Figure 2: ROC curve for CRUSADE score with major bleeding events
Discussion
In this study, 2.1% of included patients experienced major bleeding. According to Al-Daydamony and Farag (4), the frequency of major bleeding ranged from 2% to 9% across the spectrum of acute coronary syndrome (ACS), based on the type of treatment employed, antithrombotic dosage and the invasive procedures commenced. Another study among the Netherlands population reported an incidence rate of 1% for intracranial bleeding (ICB) associated with thrombolytic therapy (15). Meanwhile, in the ISIS-2 study and ISG study, the incidences of major bleeding post Streptokinase were 0.5% and 0.9%, respectively (16).
We found that most of the bleeding events occurred within 24 hours (20.3%) after Streptokinase administration. This was comparable with a study done by McLeod et al. (17), where 15.9% of patients experienced bleeding events within 24-hour period after initiation of Streptokinase. This included those with
ICB. The first manifestation of acute bleeding observed after thrombolytic treatment was found to be ranging from three to 36 hours, with a median of 16 hours (15).
Even though there was no significant difference in the CRUSADE risk scores between patients with and without major bleeding, we found the association between major bleeding with in-hospital mortality. According to Fitchett (18), the incidence of ICB-associated thrombolysis was 0.64% to 0.94%, with an associated in-hospital mortality of almost 60% and the one-year mortality increased by five-folds. Those with major bleeding also have five times higher rates of 30-day mortality than those without major bleeding. In the GRACE registry, STEMI patients who developed major bleeding had the highest mortality rate as opposed to non-STEMI patients (22.8% vs 7%) (19).
Our study also demonstrated significantly longer hospital stay in major bleed group than those in non-major bleed group (p=0.003). Since major bleeding extended the hospital stay and increased resources consumption, it signified a source of excess expenditures (20). Minimising bleeding complications is therefore an important objective in MI management, which may favorably impact the morbidity and overall healthcare costs (18, 20).
Although several published studies demonstrated successful use of CRUSADE bleeding risk score in predicting major bleeding in various populations with ACS, our results showed the contrary. AlDaydamony and his colleagues had studied the prognostic value of CRUSADE risk score in 240 patients with ACS, who were admitted to tertiary hospital in Egypt (4). They found that the validity of the CRUSADE risk model in predicting major bleeding was satisfactory across the ACS spectrum. The CRUSADE score ≥ 38.5 in prediction of major bleeding among STEMI patients treated with Streptokinase had the sensitivity of 70% and specificity of 85% (C=0.79) (4). CRUSADE risk score has also been evaluated in the Southeast Asia population. Jinatongthai had studied the use of CRUSADE risk score in Thai patients with ACS receiving enoxaparin (13). Their findings showed a satisfactory discriminatory capacity for the entire study population (C=0.688), unstable angina (C=0.591), NSTEMI (C=0.693) and STEMI (C=0.736). They concluded that CRUSADE score was able to predict major bleeding among Thai patients with ACS treated with enoxaparin.
On the other hand, there were also studies that reported that CRUSADE risk score had a poor predictive ability for major bleeding in certain subgroups. In a study among 544 non-ST elevation-acute coronary syndrome (NSTE-ACS) patients with age more than 80 year-old, Faustino et al. found that CRUSADE risk score had a weak discriminatory capacity for major bleeding (C=0.51) (21). Similar finding was reported by Ariza-Sole et al. where CRUSADE risk score had a lower predictive performance among ACS patients aged more than 75 year-old (C=0.63) as compared to those younger than 75 year-old (C=0.81) (22). CRUSADE risk score performance was also modest in patients who were previously on oral anticoagulants (C=0.615) and in those who did not undergo cardiac catheterization (C=0.628) (23). The discriminating power of the CRUSADE risk score in ACS patients varies significantly. This could be related to a variety of factors that make assessment of bleeding risk difficult, such as age, co-morbidities, treatment with antithrombotic agents, conservative or invasive management, and site of vascular access for angiography (24).
Since this was a retrospective study, the findings may not be sufficient to influence the current practice. However, the results obtained can be used to provide preliminary information regarding the characteristics of patients who received streptokinase and its association with major bleeding. Another limitation is that this study was conducted in a single center, hence, the results produced could not be generalised to all Malaysian populations with STEMI. The small sample size in the major bleeding group may had reduced the statistical power of this study. Also, the huge difference in sample size between the major bleeding and non-major bleeding groups could had severely impacted the data analysis, which might underestimate the true value of CRUSADE risk score.
Conclusion
This was the first study to evaluate the CRUSADE risk score in predicting major bleeding events post Streptokinase administration among AMI patients in Malaysia. We did not find any significant association between patient demographics and baseline clinical characteristics with major bleeding post streptokinase administration in AMI patients. Nonetheless, our results showed that major bleeding was associated with in-hospital mortality and length of hospital stay. This study could not demonstrate the prognostic value of
CRUSADE risk score in predicting major bleeding in AMI patients treated with streptokinase. Studies with a larger population is needed in the future to verify our findings.
Acknowledgement
First of all, we thank the Director General of Health Malaysia for his permission to publish this article. We would like to extend our gratitude to Dr Richard Bach from Washington University School of Medicine, as one of the founders of CRUSADE risk score, for giving us permission to use the score in our study. Our warmest thanks and appreciation also go to everyone who has involved either directly or indirectly in the completion of this study.
Conflict of interest statement
The authors declare that there is no conflict of interest.
References
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8. Liu R, Lyu S, Zhao G, Zheng W, Wang X, Zhao X, et al. Comparison of the performance of the CRUSADE , ACUITY-HORIZONS , and ACTION bleeding scores in ACS patients undergoing PCI: insights from a cohort of 4939 patients in China. J. Geriatr. Cardiol [Internet]. 2017 Feb [cited 2018 Mac 17]; 14: 93-99. DOI: 10.11909/j.issn.1671-5411.2017.02.011
9. Bang J, Young S, Hyun M, Serebruany V. CRUSADE Score is Superior to Platelet Function Testing for Prediction of Bleeding in Patients Following Coronary Interventions. EBioMedicine [Internet]. 2017 [cited 2018 Mac 17]; 21: 213-217. Available from: https://doi.org/10.1016/j.ebiom.2017.05.010
10. Subherwal S, Bach RG, Chen AY, Gage BF, Rao SV, Newby LK, et al. Baseline Risk of Major Bleeding in Non – ST-Segment – Elevation Myocardial Infarction The CRUSADE (Can Rapid risk stratification of Unstable angina patients Suppress ADverse outcomes with Early implementation of the ACC / AHA guidelines ) Bleeding Score. Circulation [Internet]. 2009 [cited 2018 Mac 13]; 119: 1873-1882. DOI: 10.1161/CIRCULATIONAHA.108.828541
11. Sánchez-martínez M, Flores-blanco PJ, Lopez-Cuenca AA, Sanchez-Galian MJ, Guerrero-Perez E, Ma. Valdes, et al. Evaluation of the CRUSADE Risk Score for Predicting Major Bleeding in Patients with Concomitant Kidney Dysfunction and Acute Coronary Syndromes. Cardio Ren. Med [Internet]. 2017 [cited 2018 Mac 12]; 7: 179-187. DOI: 10.1159/000455102
12. Lemeshow S, Hosmer WD, Klar J, Lwanga KS. Adequacy of sample size in health studies [Internet].
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13. Jinatongthai P, Khaisombut N, Likittanasombat K, Chaiyakunapruk N, Watcharathanakij S, Nathisuwan S. Use of the CRUSADE bleeding risk score in the prediction of major bleeding for patients with acute coronary syndrome receiving enoxaparin in Thailand. Heart, Lung and Circulation [Internet]. 2014 [cited 2018 Mac 17]; 23(11): 1051-1058. Available from: https://doi.org/10.1016/j.hlc.2014.05.002
14. Stephanie Glen. C-statistic: Definition, Examples, Weighting and Significance [Internet]. Statistics How To. [cited 2023 Dec 6]. Available from: https://www.statisticshowto.com/c-statistic/
15. Jaegere PPDE, Arnold AA, Balk AH, Simoons ML. Intracranial Hemorrhage in Association With Thrombolytic Therapy: Incidence and Clinical Predictive Factors. J. Am. Coll. Cardiol [Internet]. 1992 [cited 2018 Mac 17]; 19(2): 289-294. DOI: 10.1016/0735-1097(92)90480-b
16. Kafetz K, Luder R. Safe use of streptokinase in myocardial infarction in patients aged 75 and over. Postgr. Med J [Internet]. 1992 [cited 2018 Mac 20]; 68: 746-749. DOI: 10.1136/pgmj.68.803.746
17. McLeod D, Thayer C, Perfetto E, Hartzema A. Pharmacoepidemiology of bleeding events after use of r-alteplase or streptokinase in acute myocardial infarction. Ann. Pharmacother [Internet]. 1993 [cited 2018 Mac 13]; 27(7-8): 956-962. DOI: 10.1177/106002809302700725.
18. Fitchett D. The impact of bleeding in patients with acute coronary syndromes: How to optimize the benefits of treatment and minimize the risk. Can. J. Cardiol [Internet]. 2007 [cited 2018 Mac 17]; 23(8): 663-671. DOI: 10.1016/s0828-282x(07)70229-5
19. Khanolkar UB, Annamalai R. CSI: Cardiology Update 2016 [Internet]. India: Jaypee Brothers Medical Publishers; 2017. Chapter 16, How to Manage Bleeding following Thrombolysis? [cited 2018 Feb 26]. DOI: 10.5005/jp/books/13035_17.
20. Mehran R, Pocock SJ, Nikolsky E, Clayton T, Dangas CMsGD, Kirtane AJ, et al. A Risk Score to Predict Bleeding in Patients With Acute Coronary Syndromes. J. Am. Coll. Cardiol [Internet]. 2010 [cited 2018 Mac 14]; 55(23): 2556-2566. DOI: 10.1016/j.jacc.2009.09.076
21. Faustino A, Mota P, Silva J. Non-ST-elevation acute coronary syndromes in octogenarians: applicability of the GRACE and CRUSADE scores. Rev. Port. Cardiol [Internet]. 2014 [cited 2023 Oct 04]; 33(10): 617-627. Available from: http://dx.doi.org/10.1016/j.repc.2014.01.025
22. Ariza-Solé A., Formiga F, Lorente V, Sanchez-Salado JC, Sanchez-Elvira G, Roura G, et al. Efficacy of bleeding risk scores in elderly patients with acute coronary syndromes. Rev. Esp. Cardiol [Internet]. 2014 [cited 2023 Oct 04]; 67: 463-470. Available from: http://dx.doi.org/10.1016/j.rec.2013.10.008
23. Abu-Assi E, Raposeiras-Roubin S, Lear P, Cabanas-Grandío P, Girondo M, Rodríguez-Cordero M, et al. Comparing the predictive validity of three contemporary bleeding risk scores in acute coronary syndrome. Eur. Heart. J. Acute Cardiovasc Care [Internet]. 2012 [cited 2023 Oct 04]; Sep;1(3):222-31. DOI: 10.1177/2048872612453924.
24. Bento D, Marques N, Azevedo P, Guedes J, Bispo J, Silva D, et al. CRUSADE: Is it still a good score to predict bleeding in acute coronary syndrome? Rev. Port. Cardiol [Internet]. 2018 [cited 2023 Oct 04]; 37: 889-897. Available from: https://doi.org/10.1016/j.repce.2018.02.020.
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January 22, 2009
The Honourable Raymond E. Wyant Chief Judge Provincial Court of Manitoba 5 th floor – 408 York Avenue Winnipeg MB R3C 0P9
Dear Chief Judge Wyant:
Re: Inquest into the Death of Paul Laurent JOUBERT
I am writing to advise of the results of the inquiries made by my office concerning the inquest report recommendations dated August 3, 2007, issued by the Honourable Judge Ken Champagne into the death of Paul Joubert (39 years of age).
Mr. Joubert was transferred from the Brandon Correctional Centre to the PsycHealth Centre within the Health Sciences Centre, in Winnipeg, Manitoba on December 21, 2004. He came to his death at the PsycHealth Centre on January 31, 2005, as a result of hanging. The manner of death was determined to be suicide.
The Chief Medical Examiner called an inquest pursuant to subsection 19(3) of The Fatality Inquiries Act. The inquest report was released on August 9, 2007.
As you are aware, it is the practice of my office to follow up on inquest recommendations if they involve a provincial department, agency or municipality. In this case my office made inquiries with Manitoba Health and Healthy Living (MHHL). The following are the recommendations and the responses received.
RECOMMENDATION ONE
I recommend that the policies outlining the different levels of observation utilized at PX3 be maintained as they allow for the appropriate balance between safety in the environment and treatment of the patient.
750 – 500 Portage Avenue Telephone: (204) 982-9130 Toll Free in Manitoba:
Winnipeg, Manitoba R3C 3X1 1-800-665-0531 Fax: (204) 942-7803 500 av. Portage, Pièce 750 Winnipeg (MB) R3C 3X1 Téléphone : (204) 982-9130 Sans frais au Manitoba : 1 800 665-0531 Télécopieur : (204) 942-7803
MHHL RESPONSE
Manitoba Health does not plan to take any action in response to recommendation #1. This recommendation affirms policies that are already in place therefore no changes or action is required.
RECOMMENDATION TWO
I endorse the change of the ceiling tiles throughout the PsycHealth Centre at the Health Sciences Centre in Winnipeg, Manitoba. I recommend that the Province of Manitoba conduct a review of all facilities in the Province where mentally ill patients reside to ensure the ceilings are safe, secure and inaccessible by residents.
MHHL RESPONSE
Prior to the release of the inquest report, the Winnipeg Regional Health Authority (WRHA) replaced ceiling tiles in 75 in-patient bedrooms located on seven wards in the PsycHealth Centre with funding made available from the Department. The work was completed this past winter.
The WRHA then performed an assessment of inpatient ceilings in the other mental health sites in Winnipeg. A report dated June 8, 2007 was received on August 16, 2007 following a request by the Department. Preliminary cost estimates were provided to upgrade Winnipeg's remaining facilities.
Following receipt of the inquest report on August 3, 2007, the Department conducted an inter-provincial and international scan of mental health facilities; a search of guidelines for design recommendations, and; an assessment of critical incidents related to ceilings to determine best practice. The Department has chosen to include all facilities/units that are listed in The Mental Health Act as designated mental health facilities in its review, as well as Crisis Stabilization Units (CSU). The Department has made contact with all Regional Health Authorities that operate psychiatric facilities/units and/or CSUs regarding the inquest recommendations and current ceiling construction. Two psychiatric centres not operated by Regional Health Authorities have also been contacted (Selkirk Mental Health Centre and Eden Mental Health Centre) and will be included in the review.
The Department will conduct on-site visits with each facility that is included in the review to determine if any changes are required and will assist with developing a cost estimate for retrofitting where required. Once the provincial review is complete the Department will return with a proposal to central government with a provincial upgrade plan and funding requirement. It is the goal of the Department to complete site visits, and cost estimates by late 2007 and to have the work well underway by the spring of 2008.
MHHL further advised my office on January 16, 2009 that:
The authorities that operate the four Crisis Stabilization Units in the province all reported that they comply with the recommendations contained in the Inquest Report, and that further upgrading is not required.
Funding has been secured to upgrade ceilings in the following 12 facilities:
* Grace General Hospital
* Seven Oaks General Hospital
* St. Boniface General Hospital
* Victoria General Hospital
* Dauphin Regional Health Centre
* Thompson General Hospital - Mental Health Unit
* The Pas Health Complex - Psychiatric Unit
* Brandon Child & Adolescent Treatment Centre
* Brandon Centre for Adult Psychiatry
* Brandon Centre for Geriatric Psychiatry
* Eden Mental Health Centre
* Brandon Westman Crisis Services
To date, all 12 facilities have commenced active planning and are at various stages of completion ranging from project initiation to ongoing construction. The Eden Mental Health Centre is the most advanced project, and they expect to have the work completed by the end of January 2009. Funding to upgrade the older areas of SMHC will be requested as part of MHHL's capital construction plan.
Based on our review of this matter, it would appear that reasonable consideration has been given to the above noted recommendations. As such, our file concerning the Paul Joubert Inquest Report has been closed.
Yours truly,
Original Signed By
Irene A. Hamilton Manitoba Ombudsman cc Ms Arlene Wilgosh, Deputy Minister of Health and Healthy Living Dr. A. Thambirajah Balachandra, Chief Medical Examiner
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GDS 101
Navigation Echo Sounder
Night display
The SKIPPER GDS 101 is a navigational single channel Echo Sounder with a large, high resolution colour LCD display. The Echo Sounder graphics are continuously shown on the LCD along with complete navigational details. External connectors are provided for printer, VGA and NMEA in/output.
SKIPPER Electronics manufacture marine electronics for the merchant fleet as well as the fishing fleet, based on experience, research and tradition. Our products are known worldwide for reliability, sophistication and good value for money.
Features:
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The SKIPPER GDS 101 contains history memory, who stores depth, time and other available navigation data continuously in the last 24 hours. Information can also be printed out.
GDS 101 is a single channel echo sounder with 3 connection for transducers of 38, 50 and 200 kHz.
All IMO requirements are met or exceeded. Comprehensive interfaces are available including NMEA 0183 inputs and outputs.
Navigational Speed Logs, Echo Sounders, Sonar and Direction Finders
Navigation Echo Sounder
GDS 101
Specifications
Overview
SKIPPER Electronics AS Enebakkveien 150 P.O.Box 151, Manglerud 0612 Oslo, Norway
E-mail: [email protected]
Telephone: +47 23 30 22 70
Co.reg.no: NO-965378847 - MVA
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HOTCHKISS PLACEMAKING & DOWNTOWN BEAUTIFICATION PLAN
FINAL REPORT
SPRING 2022
College of Architecture and Planning
UNIVERSITY OF COLORADO DENVER
UTA
UNIVERSITY TECHNICAL ASSISTANCE
COLORADO
Department of Local Affairs
HOTCHKISS, COLORADO // 2022 // UTA//
# TABLE OF CONTENTS
| Section | Page |
|----------------------------------------------|------|
| Introduction | 4 |
| Community Background | |
| Scope of Work | |
| Existing Conditions | 10 |
| Context & Site Analysis | |
| Pocket Parks Analysis | |
| Facade & Street Analysis | |
| Block-by-Block Assessment | |
| Existing Amenities | |
| Town Character Study | |
| Historic Assessment | |
| Thematic Collage | |
| Streetscaping Design | 24 |
| Process Work | |
| Downtown Placemaking Principles | |
| Amenities Mood Board | |
| Overall Streetscape Map & Goals | |
| Bridge Street Block-by-Block Interventions | |
| Extended Downtown Proposed Amenities | |
| Bridge Street Intersections | |
| Pocket Parks | |
| Gateway, Wayfinding, & Signage | |
| Overall Precedent Maps | |
| Facade Improvements | 74 |
| Scope | |
| Goals | |
| Public Works Building Vision | |
| Style Map | |
| Conditions Map | |
| Character Description | |
| Traditional Features | |
| Color Palette | |
| Cost Analysis Example | |
| Facade Improvement Plan | |
| Public Works Building | |
| Design Guidelines & Standards Example | |
| Next Steps | 114 |
| Preliminary Opinion of Costs | |
| Funding Opportunities | |
| Acknowledgments | 122 |
| UTA Background | |
| Design Team | |
| Appendix A | 130 |
| CDOT Review | |
| Appendix B | 134 |
| Survey Results | |
| Original Paper Survey | |
INTRODUCTION
Community Background pg. 6
Scope of Work pg. 8
Hotchkiss is a statutory town in Delta County. It lies at the intersection of Colorado 92 and 133, about thirty miles east of Delta. With a population of 944, the town sits at 5,351 feet, situated in the North Fork Valley. Hotchkiss was incorporated in May 1900 and established as a central point of community for the region.
The town’s history is deeply embedded in agriculture and farming and creating a sustaining community. The incredible growing opportunities the North Fork Valley provides has brought the town notoriety for its orchards, wineries and vineyards and all produce from local farmers. Today, outdoor recreation activities are very popular around the area including hiking, fishing, camping, mountain biking, hunting, and off highway recreation in and around the mountain ranges and the nearby Gunnison River.
The town has access to many local landmarks and vast areas of public lands all around. To the north is Paonia State Park and further north is Carbondale and Glenwood Springs. Crested Butte is a two-hour drive in the summer. Crawford State Park and the North Rim of the Black Canyon in Gunnison is just south on CO 92. Grand Mesa is to the north, Delta and Grand Junction are northwest, and Ridgway and Ouray are southwest.
Hotchkiss is a growing mountain town with plenty of restaurants, shopping, and accommodations.
Looking down East Bridge Street in Downtown Hotchkiss, towards Mt. Lamborn in the distance. Photo taken by Jeffrey Beall.
Introduction | Scope of Work
The University Technical Assistance Program at CU Denver has been requested to provide design assistance to the Town of Hotchkiss. Hotchkiss desires to enhance their downtown along Bridge Street which serves as the main street corridor.
The opportunity to envision Bridge Street through town in a way that benefits the sense of place of Hotchkiss will benefit current and future generations by clearly presenting an environment that reflects the heart and soul of the community.
Work under this scope will be used to create a placemaking plan that will be translated into design and aesthetic enhancements to Bridge Street and Downtown. This includes beautification of Bridge Street defined by pedestrian enhancements and elements to showcase community character. Ideas and suggestions for facade improvements will also be included to compliment the downtown commercial corridor. These concepts will be suggestive only in order to highlight opportunities related to improvements to storefronts in the study area. The resultant concepts can be used as guidelines for improvement and for possible future improvement programs.
The full list of work tasks include:
- Existing conditions mapping
- Redesign concept plan options
- Main Street design compliance with CDOT (Colorado Downtown Streets)
- Town character integration
- Access and pedestrian circulation
- Construction typologies
- Preliminary cost / cost magnitude
The general goals of the project include:
- Explore the use of Bridge St, identifying needs/gaps
- Create programs for improvements that fill the needs and gaps
- Create a plan for a unified downtown Bridge Street (main street) design
- Explore opportunities for community and pedestrian gathering space enhancements
- Define circulation safety at the sidewalk and crosswalk condition
- Explore ideas for facade improvements
- Have a thoughtful set of preliminary assessment and programmatic documents to strengthen grant applications and other funding opportunities
The east entry sign greets visitors as they enter the downtown area with town motto: “Welcome to Hotchkiss, Friendliest Town Around”.
EXISTING CONDITIONS
| Section | Page |
|-------------------------------|------|
| Context & Site Analysis | 12 |
| Pocket Parks Analysis | 14 |
| Facade & Street Analysis | 16 |
| Block-by-Block Assessment | 17 |
| Existing Amenities | 18 |
| Town Character Study | 20 |
| Historic Assessment | 22 |
| Thematic Collage | 23 |
This project includes the preparation of plans and other conceptual drawings of Bridge Street (Main Street/Highway 92) from approximately the town gateway sign on the west end to Lorah Lane on the northeast end. For the sake of clarity, Hotchkiss has a local street named Main Street, that is one block to the north of Bridge Street. This though, is not the town’s main street. This study will look at the Bridge Street stretch to isolate specific design criteria for the core downtown area and the fringe areas that flank it.
Currently, on both the west and east end of Bridge Street there are entry signs leading into town. Mapped here are major community amenities in downtown Hotchkiss including the police department, library, fire station, post office, town museum, the fairgrounds, and grocery store.
Primary downtown intersections sit within the downtown core, from Oak Drive to 3rd Street. Secondary downtown intersections sit within the downtown fringe, from Pinion Drive to Oak Drive and from 3rd Street to the curve of Highway 133. From there, Bridge Street turns into a commercial transitional zone and continues on into a rural transition zone.
In December 2020 an online survey was conducted with residents and visitors to better understand the wishes and desires of placemaking and main street beautification in Hotchkiss. Those results can be found in Appendix B of this report (starting on page 132).
**Entry sign on the west end of town.**
**Hotchkiss Feed Store**, a popular stop in downtown.
**Community bulletin board near Ace Hardware.**
The core area of downtown is generally understood to be from Oak Drive to 3rd Street and a half block deep on both the north and south sides. The design will explore the street cross-section for edge treatments, sidewalk conditions, streetlights, street trees, and other streetscape elements and amenities. The suggestive design ideas will incorporate a more home grown feel to allow for the opportunity to incorporate as much local artistry as possible to best showcase the correct sense of place for the town.
Currently, two existing pocket parks sit in the downtown core area. The first pocket park is next to Pat’s Bar and Grill and the second pocket park is about a block further down Bridge Street to the east. Pocket parks in the downtown core will be reimagined in order to create enhanced pedestrian and community “living room” space.
Playful town sign with face cutouts.
Horse statue outside the Creamery Arts Center.
The Hotchkiss-Crawford Historical Museum in downtown.
The pocket park beside Pat’s is currently used for seating for the restaurant. It is sandwiched between two brick walls creating hot, alley-like conditions. There is a bulletin board at the entrance to the pocket park with a map of Hotchkiss and information on Hotchkiss’ history. A concrete sidewalk along the south side of Pat’s leads visitors to a gravel seating area with picnic tables. Two such picnic tables are ADA, but inaccessible due to the gravel. Empty umbrella stands and a string of lights along one of the brick walls show attempts to make the area more comfortable for visitors. Other existing features include a creative bench, barrel planters, and picnic tables.
Opportunities to enhance this space for the town of Hotchkiss include adding more historical information or murals, adding waste receptacles to encourage visitors to keep the area free of trash, improving lighting, improving seating and seating arrangements, and providing more shade to create a cooler and more welcoming atmosphere.
**EXISTING FEATURES**
- **Existing Vintage Truck Bed Bench**
- **Street View**
- **Barrel Planter**
This is a list of existing opportunities and constraints at the park besides Pat’s.
The pocket park near the northeast corner of 1st and Bridge street is overgrown with trees and weeds. While the trees provide shade for the park, there is a large tree at the entrance that blocks the rest of the park from view. Amenities that currently exist in the park include two benches, a picnic table and a few trash cans. Seating in the park could be more clearly delineated and easily maintained, shade-tolerant landscaping could be added to create a more inviting atmosphere.
**EXISTING FEATURES**
- **Street View of Entrance to the Park**
- **Picnic Table**
- **Metal Trash Can**
This is a list of existing opportunities and constraints at the existing park with trees.
Existing Conditions | Facade & Street Analysis
A facade and street analysis was done to better understand the current conditions of buildings and lots along Bridge Street. Through the street analysis it became apparent that a majority of the buildings in the downtown commercial core of Hotchkiss have a commercial architecture style. Seven buildings have a residential architecture style and the remaining three lots remain vacant. The facade analysis revealed that there are many historically significant buildings along Bridge Street, but also room for improvement among many existing buildings.
LEGEND
- Residential Style Architecture
- Commercial Style Architecture
- Open Lot
- C-1 Zone Core Commercial
Street Analysis
Facade Analysis
Existing Conditions | Block-by-Block Assessment
This analysis was done to better understand and map the location of existing amenities along Bridge Street, including street trees, trash cans, lamp posts, artwork, and benches. Many of these amenities, especially benches and artwork, seem to be more concentrated within the downtown core blocks, while lamp posts and trash cans are more evenly distributed throughout town. Street trees are more densely concentrated on the west side of town and thin out as one moves to the east side. This analysis will help the team place new amenities and elements in the design proposal that complement and enhance these existing block conditions.
Existing Conditions | Existing Amenities | Planters & Murals
These photos offer a zoomed-in look at the existing amenities in downtown that truly capture the artistic and creative spirit of Hotchkiss. These elements, such as planters, murals, and benches should be preserved and enhanced when necessary to celebrate the unique creative flair of Hotchkiss.
PLANTERS
MURALS
In addition to these existing conditions, survey respondents also reported that their favorite things about downtown Hotchkiss included local businesses, art, history, natural beauty, walkability, and parking. These categories should be fully celebrated as placemaking begins. (see full survey results in Appendix B).
This town character study helped the design team learn more about Hotchkiss. Hotchkiss, Colorado, known as “The Friendliest Town Around”, was named after Enos T. Hotchkiss, a man who staked an early claim on the land where the town sits today in the late 1800s.
Today, Hotchkiss is a place that is well-loved for its outdoor activities, such as Champion Fly Fishing along the nearby Gunnison River. Many local vineyards, orchards, and vegetable farms can be found in the surrounding North Fork Valley. Hotchkiss’ agriculture and ranching roots reach deep and it is also home to the annual Delta County Fair.
Below are survey respondent answers to what makes Hotchkiss special and makes up the heart and soul of the community. Hotchkiss is well-loved for its small size and strong sense of community. In addition, a wide range of local businesses, surrounding natural beauty, a deep history, and agricultural roots were also reported as treasured features that make Hotchkiss the special place it is today.
Town sign with Hotchkiss’ friendly slogan, mountains, and fish.
Fishing in the award-winning waters of the Gunnison River.
One of the town’s vineyards: Mesa Winds Farm and Winery.
Big B’s Orchards in Hotchkiss with surrounding mountain views.
Gateway sign off Bridge St. leading to the town’s fairgrounds.
The Delta County Fair brings people together, near and far.
Not only are the surrounding farms, orchards, rivers and mountains a huge draw for people, but Downtown Hotchkiss also boasts a wide variety of places to explore and visit. Some of these unique points of interest are listed below, including many local shops and restaurants.
**Unique Businesses/Places (Located on Bridge Street):**
- Hotchkiss National Fish Hatchery
- North Fork Valley Creative District
- Hotchkiss Church of Art
**“Must-have Experiences”**:
- The Storm Cellar (“a boutique winery based at the historic Redsfone Vineyard”)
- Leroux Creek Inn (“a wine country B&B”)
- Mesa Winds Farm and Winery
- Ela Family Farms (over 55 varieties of organic tree fruits)
- Big B’s Delicious Orchard (orchard, store, cafe, taproom, campground, U-pick, live music)
- Creamery Arts Center (“the centerpiece of downtown Hotchkiss”)
- Farm Runners Station (“a unique retail experience, combining the functions of a farmers market, deli, cafe, and natural food store”)
- North Fork Pool (6 swimming lanes, 25-yard pool with therapy and wading pools, bathhouse, and picnic area)
- Gunnison River Pleasure Park (fishing, camping, and boat/raft rentals)
- Hotchkiss Sheep Camp Stock Dog Trial (talented border collies herd sheep)
- Delta County Fair
**“Delicious Eats”**:
- PJ’s Neighborhood Pub (claim to fame: Chili Bacon Wrapped Chicken bites)
- Pat’s Bar and Grill (Western decor)
- Zack’s BBQ (“Smokin’ in the Rockies since 1974”)
- Taco Hut (“Mexican food done right!”)
**“One-of-a-kind Places to Stay”**:
- Hotchkiss Inn Motel
- Colwell Cedars Retreat (merging awareness, creativity, and nature - art, writing, and nature retreat)
- North Fork Tipi Haven
**Other Notable Places on/near Bridge Street**:
- Coaltrain Coffeehouse
- Will’s Gallery and Books
- The Rose (Wilder & Rose) - used clothing store
- Shadescapes Americas - a commercial umbrella company
- Trucker’s – pizza, pub, and arcade
- Backcountry Goods Trading – with drive-thru coffeehouse
- Cowboy Collectibles
- Hotchkiss-Crawford Historical Museum
- 133 BRGR
- Church of Art
Downtown business map. (Hotchkiss Community Chamber of Commerce)
Church of Art in downtown Hotchkiss.
Statue at the Creamery Arts Center.
A local’s horse tied up on a tree outside the Hotchkiss Public Library.
Hotchkiss takes pride in its history and makes an effort to preserve these stories for future generations. Just a block south of Bridge Street is the Hotchkiss-Crawford Historical Museum. The museum houses permanent displays of world-class artifacts, a large collection of old time photographs, and a living room diorama. The photos featured here are all available at the museum.
These pieces of history should be celebrated and expressed throughout placemaking efforts, whether highlighting a historic building, restoring an old business mural, or using signage to mark historic event locations along Bridge Street.
Existing Conditions | Thematic Collage
This thematic collage highlights the most common and consistent elements the design team found throughout all existing conditions analyses: history, agriculture, art, and community activities.
STREETSCAPING DESIGN
ADA Ramps
Colored Crossing
Street Trees
Flowers
Outdoor Seating
Pocket Parks
Lighting
Active Spaces
Pavement Graphics
Process Work
Downtown Placemaking Principles
Amenities Mood Board
Overall Streetscape Map & Goals
Bridge Street Block-by-Block Interventions
Street Trees
Shade Trees
Planted Seating
Shaded Seating
ADA Ramps
Colored Crossing
Extended Downtown Proposed Amenities
Bridge Street Intersections
Pocket Parks
Gateway, Wayfinding, & Signage
Overall Precedent Maps
pg. 26
pg. 28
pg. 34
pg. 35
pg. 36
pg. 50
pg. 51
pg. 54
pg. 67
pg. 72
After conducting an analysis of existing site conditions, learning more about the character and spirit of Hotchkiss, and identifying key existing amenities, the landscape architecture team started their iterative design process. This process involved collaboration amongst team members, while addressing client feedback and community survey results to arrive at the best solution for streetscaping design and placemaking elements along Bridge Street.
Featured here are some of the initial sketches created for different types of intersections on Bridge Street. These drawings led the team to break down the streetscape design of Hotchkiss into three main categories:
- Gateway Intersections
- Transition Intersections
- Core Intersections
These three categories then became organizing typologies throughout the entirety of the streetscaping project, applying not just to the intersections on Bridge Street but also the three main blocks:
- Gateway Blocks
- Transition Blocks
- Core Blocks
These six terms will be used throughout this section of the report.
Another important piece of the streetscape design for Bridge Street involved designing signage opportunities, including gateways for the town of Hotchkiss. Below is a sketch of an initial idea for a gateway element that could welcome visitors to Hotchkiss while celebrating the agricultural roots of the town.
In addition to signage, the team also worked on designing four different pocket parks along Bridge Street. These pocket parks, each different in character and size, will hopefully provide gathering and lingering areas for both visitors and residents alike. To the right are iterative bubble diagrams for two of these pocket parks: four design ideas for the existing pocket park with trees (top row) and four design ideas for the lot on 2nd Street (bottom row).
Sketch of a gateway design for Hotchkiss.
The following four principles were created by the Project for Public Spaces (PPS) to explore which factors and amenities should be kept in mind when creating and enhancing a public space. These four principles became guiding principles for the Hotchkiss project and kicked-off the placemaking piece of the design. Below are a list of recommended questions to ask before, during, and after a placemaking project starts. The most successful public spaces always have elements from all four principles.
**Access & Linkages**
- Can you see the space from a distance?
- Is there a good connection between this place and adjacent buildings? Or, is it surrounded by blank walls, surface parking lots, windowless buildings, or any other elements that discourage people from entering the space?
- Can people easily walk there? Or are they intimidated by heavy traffic or bleak streetscapes?
- Do sidewalks lead to and from the adjacent areas?
- Does the space function well for people with disabilities and other special needs?
- Can people use a variety of transportation options—bus, train, car, and bicycle—to reach the place?
**Comfort & Image**
- Does the place make a good first impression?
- Are there as many women as men?
- Are there enough places to sit? Are seats conveniently located? Do people have a choice of places to sit, either in the sun or shade?
- Are spaces clean and free of litter? Who is responsible for maintenance?
- Does the area feel safe?
- Are people taking pictures? Are there many photo opportunities available?
- Do vehicles dominate pedestrian use of the space, or prevent them from easily getting to the space?
**Sociability**
- Is this a place where you would choose to meet your friends? Are others meeting friends here?
- Are people in groups? Are they talking with one another? Do they talk to people in other groups?
- Do people seem to know each other by face or by name?
- Do people bring their friends and relatives to see the place? Do they point to its features with pride?
- Are people smiling? Do people make regular eye contact with each other?
- Do many people use the place frequently? Does the mix of ages and ethnic groups generally reflect the community at large?
- Do people tend to pick up litter when they see it?
**Uses & Activities**
- Is it used by people of different ages?
- How many different types of activities are occurring at one time—people walking, eating, playing baseball, chess, relaxing, reading?
- Which parts of the space are used and which are not?
- Is there a management presence, or can you identify anyone in charge of the space?
Wheel of Placemaking Principles broken down into intangible qualities & relevant ways of measuring these intangibles in more quantitative, data-driven ways.
This first principle, Access & Linkages, focuses on the elements that help connect a town. This sense of connection keeps pedestrians, traffic, and other forms of transportation well connected and accessible, allowing people to move with ease from place to place along a main street.
The following questions were evaluated by the design team with Hotchkiss in mind. Here are the answers that were developed, which ultimately led to a stronger final design.
What makes a place accessible and well connected?
Can you see the space from a distance?
There are “Welcome” signs on both the east and west sides of Bridge Street, but they are in need of updating/improving visibility.
Is there a good connection between this place and adjacent buildings? Or, is it surrounded by blank walls, surface parking lots, windowless buildings, or any other elements that discourage people from entering the space?
Downtown Hotchkiss has a variety of occupied and vacant buildings, open lots, and residential houses. The businesses that are downtown encourage people to visit, but the lack of walkability and destinations discourage people from staying.
Can people easily walk there? Or are they intimidated by heavy traffic or bleak streetscapes?
Downtown is not very walkable currently. Sidewalks and crosswalks need to be updated or implemented and bump-outs or other design features should be considered to act as buffers from traffic.
Do sidewalks lead to and from the adjacent areas?
Yes. There are sidewalks along Bridge Street, but not adequate pedestrian crossings.
Does the space function well for people with disabilities and other special needs?
No. Downtown lacks safe curb cuts, ramps, even sidewalks, and other accessibility features. Many business main entrances have stairs as well.
Can people use a variety of transportation options—bus, train, car, and bicycle—to reach the place?
No. Driving by car is the main form of transportation people use to get downtown. There are no bike lanes and limited pedestrian accessibility.
The following questions related to the second principle, Image and Comfort, and were answered by the design team with Hotchkiss in mind.
What makes a place comfortable and projects a good image?
Does the place make a good first impression?
Downtown Hotchkiss has a lot of character. It is a unique place offering a lot of unique elements that all come together to give the town an independent and creative feel. A design that contributes to this identity will enhance the town’s impression and character.
Are there as many women as men?
Unknown.
Are there enough places to sit? Are seats conveniently located? Do people have a choice of places to sit, either in the sun or shade?
Yes. There are number of unique benches located on Bridge Street. There are also two pocket parks that offer seating in the shade.
Are spaces clean and free of litter? Who is responsible for maintenance?
Unknown.
Does the area feel safe?
Lack of pedestrian-scale lighting, adequate crosswalks, and accessibility make Downtown Hotchkiss feel unsafe to pedestrians.
Are people taking pictures? Are there many photo opportunities available?
Yes. There are opportunities for people to take pictures downtown. There is even a designated photo opportunity located in front of Ace Hardware.
Do vehicles dominate pedestrian use of the space, or prevent them from easily getting to the space?
Yes. Vehicles dominate most of downtown physically and audibly.
The following questions on Uses and Activities, were evaluated by the design team with Hotchkiss in mind. Pictures to the right document how and where places along Bridge Street are being used.
What attracts people to participate in this place?
Is it used by people of different ages?
Unknown.
How many different types of activities are occurring at one time—people walking, eating, playing baseball, chess, relaxing, reading?
Because of the size of downtown and how centrally located it is in Hotchkiss, there can be multiple activities happening at once. Walking and eating are the most common activities happening in Downtown Hotchkiss.
Which parts of the space are used and which are not?
The sidewalks in downtown get the most use. The pocket parks, especially during the farmer’s market, do as well.
Is there a management presence, or can you identify anyone in charge of the space?
There is little to no maintenance available for this area. Responsibility falls on business owners and local community members.
These final questions relate to the fourth principle, Sociability. Since this principle is a more intimate and local experience, the design team decided to leave the questions unanswered and instead use the map below to see where survey respondents believe the best places for placemaking are within Hotchkiss. (The full survey results can be found in Appendix B)
What makes a place a social environment people want to visit again and again?
- Is this a place where you would choose to meet your friends? Are others meeting friends here?
- Are people in groups? Are they talking with one another? Do they talk to people in other groups?
- Do people seem to know each other by face or by name?
- Do people bring their friends and relatives to see the place? Do they point to its features with pride?
- Are people smiling? Do people make regular eye contact with each other?
- Do many people use the place frequently?
- Does the mix of ages and ethnic groups generally reflect the community at large?
- Do people tend to pick up litter when they see it?
| Location | # of Recommendations |
|-----------------------------------------------|----------------------|
| Next to coyote/drive in/drive thru | 24 |
| Next to Creamery/by dancing elephants | 12 |
| Empty Parking lots/building spaces | 5 |
| Next to Pat’s | 5 |
| Old gas station | 3 |
| Near Coaltrain Coffee | 3 |
| Near museum | 3 |
| Next to hardware store | 2 |
| Old town maintenance building | 2 |
| Lots at HWY 92 and HWY 133 | 2 |
| Current farmer’s market location | 2 |
| Across from Elk’s | 1 |
| Near Schools | 1 |
| In front of City Market | 1 |
Historic stories and photos of Hotchkiss on display.
Locals socializing on a town bench.
A mural that details Hotchkiss’ pride for its history.
After going through the exercise of evaluating Hotchkiss against the four placemaking principles, the team decided to create a SWOT (strengths, weaknesses, opportunities, threats) analysis detailing how Hotchkiss could further improve its streetscape. Each point listed under either strengths, weaknesses, opportunities, or threats is further categorized into the four main principles that are recommended when designing for a vibrant public space: Access & Linkage, Comfort & Image, Uses & Activities, and Sociability. These points are addressed in the streetscape design as much as possible to ensure that downtown Hotchkiss continues to become a place that residents take pride in and visitors make the effort to visit regularly.
| STRENGTHS | WEAKNESSES | OPPORTUNITIES | THREATS |
|------------------------------------------------|-------------------------------------------------|----------------------------------------------------|-----------------------------------------------|
| Unique, town character | Downtown lacks general accessibility | Additional pocket park opportunity at Ace Hardware | Traffic noise |
| Two pocket parks located on Bridge Street | No pedestrian-scale street lighting | Better signage and wayfinding elements | Speeding within downtown limits (25 mph current speed limit) |
| Three “art benches” downtown with the potential for more | CDOT restrictions | Incorporating bike infrastructure | |
| Presence of local businesses | Lack of maintenance | Downtown can become a place for events and gatherings | |
| Multiple murals downtown | General walkability | Can be a truly unique destination for residents and tourists alike | |
| Historic buildings downtown (ex: old town hall, bank) | | | |
Why is placemaking important in Hotchkiss?
Placemaking brings people and communities together to reimagine and reinvent public spaces, strengthening the connection between people in places they share. It’s really quite simple: Placemaking at its heart is all about making great places in order to build a great community and a great economy. Placemaking facilitates creative patterns of activities and connections (cultural, economic, social, ecological) that define a place and support its ongoing evolution.
Placemaking is how we collectively shape our public realm to maximize shared value!
Streetscaping Design | Amenities Mood Board
SEATING
POCKET PARK
LIGHTING
PLANTERS
PUBLIC ART
TRAFFIC CALMING ART
The streetscape designs on the following pages are broken up by block type and gateway type into the following six categories: gateway intersections, transition intersections, core intersections, gateway blocks, transition blocks, and core blocks. Gateway intersections, gateway blocks, and transition blocks sit within the downtown fringe, while transition intersections, core intersections, and core blocks sit within the downtown core. This organization of the streetscape helped the design team organize and appropriately design for each section of Bridge Street. The following pages will detail proposed designs for each of the seven blocks, before moving on each of the three main intersection types.
The following six goals were created for the streetscape project as a result of reoccurring responses and desires expressed by survey respondents during the town’s survey.
- **Business**: Local businesses should be supported whenever possible, and local business owners should be encouraged to take an active role in the development of Hotchkiss’ streetscape
- **Traffic**: Currently, Bridge Street operates and feels less like a cohesive downtown and more like a highway. Every effort should be made to create a welcoming atmosphere that encourages visitors to stop and linger in downtown Hotchkiss, whether that is through eye-catching points of interest, increased signage, or traffic calming elements
- **Art**: A large part of any streetscape is beautification and Hotchkiss should showcase its artistic spirit through the creative elements and colors chosen for downtown amenities
- **History**: Hotchkiss’ rich agricultural roots should be expressed, preserved, and celebrated throughout the streetscape design process
Streetscaping Design | Bridge Street Block-by-Block Interventions | Block 1 Existing + Proposed Section
**BLOCK 1**
**WEST GATEWAY**
**KEY FEATURES**
- Pedestrian-scale lighting complete with event banners and wayfinding signs
- A prominent gateway feature welcomes visitors to downtown and strengthens Hotchkiss’ identity
- Unique paving can also strengthen the town’s identity and be used for wayfinding
- Historic signage can be placed on places of interest
**LEGEND:**
- Tree
- Bench
- Lighting
- Signage
- Amenity
**EXISTING**
**EXISTING + PROPOSED**
**BLOCK’S EXISTING AMENITIES**
(see color-coded legend to the left)
**CEDAR DRIVE**
**DOWNTOWN**
**HOTCHKISS**
Block 1 sits in between Pinion Drive and Cedar Drive. This block is the first block on the west side and features a prominent gateway, the first of many streetscape interventions along Bridge Street! Below are more recommendations of interventions to incorporate within this gateway block.
**Legend:**
- 🌳
- 🌿
- 🌞
- 🎨
- 🏠
1. Pedestrian scale lighting helps create scaled down streets for pedestrian use and comfort. Additionally, banners and signs can be hung off lights to provide wayfinding and increase identity.
2. The west gateway combines historic and creative elements to create a one-of-a-kind gateway, which provides a sense of identity for the town of Hotchkiss.
3. Paving can be used to show a town’s identity and provide more information to visitors about the town’s history. Identity paving can also be used in front of establishments as an element of wayfinding.
4. Historic signage can be placed throughout main street to provide continuity, as well as identify key historical places, establishments, agricultural history, railroad history, and indigenous history.
Streetscaping Design | Bridge Street Block-by-Block Interventions | Block 2 Existing + Proposed Section
**BLOCK 2**
**TRANSITION**
**BLOCK’S EXISTING AMENITIES**
(see color-coded legend to the left)
**KEY FEATURES**
- Unique art crossing as a traffic calming and safety intervention
- Xeriscaped parking strips that are low water and low maintenance
- Unique pedestrian-scale wayfinding signage
- Brick paving in key areas
- Identity sculptures
Block 2 marks the switch to a transition block, in between Cedar Drive and Oak Drive. This type of block increases in visual interest, encouraging visitors to move towards the downtown core. Here are some considerations to keep in mind for this transition block:
1. Art crossings going east to west can be used throughout Bridge Street to give each block a unique element, to slow down turning traffic, and to provide a sense of safety.
2. Xeriscaped parking strips along the walking paths provide street interest with a low maintenance and low water use plant palette. It also helps water runoff and breaks up a continuous asphalt and concrete pattern.
3. Unique wayfinding at a pedestrian scale can be used to draw people out of the core area and help visitors linger.
4. Brick paving in the core areas and along the sidewalks of the transition blocks increases water runoff permeability and makes the streets more inviting. Brick paving also allows for a variety of patterns and design opportunities.
5. Identity sculptures located at each block help celebrate the western roots and creativity of Hotchkiss.
Streetscaping Design | Bridge Street Block-by-Block Interventions | Block 3 Existing + Proposed Section
**KEY FEATURES**
- Variety of seating options
- Street tree grates with unique designs
- Identity sculptures to make the block more distinct and memorable
- Parklets for enhanced seating opportunities outside local businesses
- Creative planters and/or trash cans
Block 3, in between Oak Drive and 1st Street, is one of three core blocks. This block should encourage lingering and gathering, supporting local businesses and creating a distinct downtown character. Below are recommendations for placemaking along this core block.
**Legend:**
- Tree
- Planter
- Bench
- Sculpture
- Parklet
1. Providing a variety of seating options, like planter seats, increases the streets aesthetics and functionality, as well as provides places for visitors to stay and socialize.
2. Tree grates provide both protection for the street trees and add an identity element to the streets. Grates can be designed to match or add to Hotchkiss’ identity.
3. Identity sculptures located at each block help celebrate the agricultural roots and creativity of Hotchkiss. Each sculpture will also help make blocks distinct and memorable.
4. Parklets are an effective method to provide extra seating along the streets and open up seating opportunities for businesses. By utilizing a minimal amount of street parking a significant amount of value is added to the street.
5. Not all planters must be traditional and catalog ready. Along the street there are opportunities to add flair with creative and fun planters, or trash cans.
Streetscaping Design | Bridge Street Block-by-Block Interventions | Block 4 Existing + Proposed Section
**BLOCK 4**
**DOWNTOWN CORE**
**EXISTING**
**EXISTING + PROPOSED**
**KEY FEATURES**
- Brick paving that adds character and a historic feel
- Multi-functional kiosk for wayfinding and storytelling
- Hanging flower baskets
- Wine barrel planters
- Tree planters with seating
- Pedestrian-scale lighting for added comfort and safety
Block 4 is another core block, in between 1st Street and 2nd Street. This block continues many of the same elements found on the previous core block, continuing to build a downtown that represents the historic, agricultural, and creative feel of Hotchkiss. Below are additional elements to incorporate on this core block:
**LEGEND:**
- **Tree**
- **Seating**
- **Lighting**
- **Wine Barrel Planters**
- **Hanging Flower Baskets**
1. Brick pavers within the downtown core will add character and a historic feel.
2. This multi-functional kiosk serves as a wayfinding station, as well as a public point of interest that showcases historical stories, photos, and even local art.
3. Hanging flower baskets can be added to street light posts and storefronts, bringing additional color and life to the streetscape.
4. Wine barrel planters capture the western and agricultural feel of Hotchkiss, while celebrating the delicious wines that are made at nearby local vineyards.
5. This tree planter brings additional shade and greenery to the street, while also providing seating to encourage more lingering and gathering of both visitors and locals.
6. Pedestrian scale lighting signals to passersby that Hotchkiss is warm and welcoming, while also encouraging the community to mingle after business hours. Lights also help add an extra sense of safety at night.
Streetscaping Design | Bridge Street Block-by-Block Interventions | Block 5 Existing + Proposed Section
**KEY FEATURES**
- Brick planters which tie into brick sidewalk pavers
- Interactive community mural
- Colorful street banners on light posts
- Patio seating outside local businesses and restaurants
- Parklets for larger gathering areas, especially outside restaurants and coffee shops
Block 5 is the final core block, sitting in between 2nd Street and 3rd Street. Below are recommendations for additional elements that will help create a welcoming and vibrant streetscape within the downtown core.
1. Brick planters tie together the brick sidewalk pavers and can also mark places of interest along Bridge Street.
2. A mural like this provides an opportunity for the community to come together and participate in a placemaking activity together, hopefully encouraging a greater sense of ownership and community pride for Hotchkiss residents.
3. Colorful street banners on light posts can be changed out throughout the year, advertising local events such as the farmer’s market, art shows, wine tours, or holiday events.
4. A mural may also be intentionally left unfinished to create an opportunity for community building and interaction, as shown by this color-by-number mural. This type of mural may change multiple times a year and entice individuals to visit it regularly out of curiosity and excitement!
5. Patio seating encourages people to visit and hang out at local businesses and restaurants, such as outside Tucker’s Pizza, Pub, and Arcade.
6. Parklets provide larger pedestrian-friendly areas to relax, gather, and mingle, especially outside of restaurants and coffee shops.
Streetscaping Design | Bridge Street Block-by-Block Interventions | Block 6 Existing + Proposed Section
**LEGEND:**
- Tree
- Trash Can
- Lighting
- Sign
- Pedestrian
**EXISTING**
**TRANSITION**
**BLOCK’S EXISTING AMENITIES**
(see color-coded legend to the left)
**KEY FEATURES**
- Car-oriented wayfinding signs to guide vehicles towards the core
- Identity sculptures
- Planters that doubles as seating
- Planters painted by local artists
- Pedestrian-scale wayfinding signs
- Art crossings
**EXISTING + PROPOSED**
- Sidewalk 6'
- Amenity Zone 8'
- Parking 8'
- Driving Lane 14'
- Turn Lane 14'
- Driving Lane 14'
- Parking 8'
- Amenity Zone 8'
- Sidewalk 6'
4th STREET
3rd STREET
Block 6, in between 3rd Street and 4th Street, switches back to a transition zone. The elements here lessen in intensity, but still support activities and elements within the downtown core. Hotchkiss’ creative spirit is still celebrated on this transition block. Below are additional recommendations.
1. Car-oriented wayfinding helps direct visitors to places of interest as they drive away from the gateway entrance and enter the downtown core.
2. This unique identity sculpture celebrates the Champion Fly Fishing on the nearby Gunnison River. Boulders and fish sculptures can be placed in the amenity zone as a fun and lower-maintenance alternate to grass or planters.
3. This landscape planter can double as seating along the detached sidewalk, encouraging people to linger outside of the downtown core.
4. Planters painted by local artists bring a creative feel to this transition block and capture the artistic spirit of Hotchkiss.
5. Wayfinding should also be placed at the pedestrian scale to draw people outside the core area.
6. Art crossings provide clear and safe crossings for pedestrians when a rollover curb is present, while also paying tribute to the creative identity of Hotchkiss.
Streetscaping Design | Bridge Street Block-by-Block Interventions | Block 7 Existing + Proposed Section
**BLOCK 7**
**EAST GATEWAY**
**KEY FEATURES**
- Prominent gateway welcomes visitors and locals
- Bright planters serve as a traffic calming element
- Solar powered speed radar signs encourage drivers to slow down as they enter downtown
- Identity sculptures celebrate the agricultural roots of Hotchkiss and the North Fork Valley
**EXISTING**
**EXISTING + PROPOSED**
**LEGEND:**
- Tree
- Trash Can
- Light
- Sign
- Pedestrian
**BLOCK’S EXISTING AMENITIES**
(see color-coded legend to the left)
**4th STREET**
**DOWNTOWN**
**HOTCHKISS**
**THE FRIENDLIEST TOWN AROUND**
**HEART OF THE NORTH FORK VALLEY**
**17’ - 6”**
**CDOT MINIMUM HEIGHT REQUIREMENTS**
**SIDEWALK 5’**
**AMENITY ZONE 7’**
**HIGHWAY SHOULDER 8’**
**DRIVING LANE 16’**
**PAINTED MEDIAN 9’**
**DRIVING LANE 16’**
**HIGHWAY SHOULDER 8’**
**AMENITY ZONE 7’**
**SIDEWALK 5’**
**SPEED LIMIT 25**
**48 // HOTCHKISS, COLORADO // 2022 // UTA//**
Block 7 marks the end of the streetscaping sections with the final gateway block. In between 4th Street and the turnoff for Highway 133, this block features another gateway to mirror Block 1. In addition to this unique feature, here are other recommendations to compliment and enhance this gateway block.
**LEGEND:**
- 🌳
- 🚗
- 🌿
- 🏠
- 🐴
1. The east gateway pays tribute to the historic feel of Hotchkiss and ties back into the brick pavers placed within the downtown core.
2. The top of the east gateway is shaped like a mountain peak to play off the town’s logo and the mountain views which can be seen in the distance while in downtown Hotchkiss.
3. Planters in the amenity zone take on a bright color scheme to catch people’s eyes and help slow down traffic.
4. Planters may also be used to tie in the historic and western feel of Hotchkiss.
5. Solar powered speed radar signs encourage drivers to slow down while entering the downtown area.
6. Identity sculptures celebrate the agricultural roots of Hotchkiss.
7. Identity sculptures may also celebrate the agricultural roots of Hotchkiss by showcasing the wide variety of fresh fruits and vegetables grown by local farmers in the North Fork Valley.
Streetscaping Design | Extended Downtown Proposed Amenities
Here are proposed extended downtown amenities for the east stretch of Bridge Street that runs from Highway 133 up north to Lorah Lane. These amenities continue the style of elements within downtown Hotchkiss but with decreased intensity. Additional street trees are added for shade and beautification, along with trash cans to keep the street clean, seating along the sidewalk, and intermittent light for safety and security. In addition, an updated welcome sign is recommended near Lorah Lane to let visitors know that they are soon approaching downtown Hotchkiss!
Gateway intersections mark the beginning of downtown Hotchkiss and set the mood for visitors, whether they are traveling by car or on foot. Key changes to the gateway intersections should include:
- A gateway feature
- Wayfinding signage
- Covered seating
- Identity sculptures
- Colored brick crossings
- Keeping existing, healthy street trees
The example shown to the right is at the intersection of Cedar Drive and Bridge Street, one of two gateway intersections.
**LEGEND:**
- Tree
- Pedestrian
- Lighting
- Sculpture
- Seating
**KEY MAP:** Intersection A and F
Transition intersections set the mood for the downtown core of Hotchkiss, drawing people in to visit local businesses and shops. Traffic volume and pedestrian traffic increase as visitors park their cars and find their way to their destination. Key changes to the transition intersections should include:
- Colored brick crossings
- Additional tree plantings
- Curb bulb-outs
- Marked parallel parking spots
The example shown to the right is at the intersection of Oak Drive and Bridge Street, one of two transition intersections.
**LEGEND:**
- Tree
- Bench
- Light
- Trashcan
- Parallel Parking
**KEY MAP:** Intersection B and E
Core intersections are perhaps the most important, diverse, and busy areas of the Hotchkiss streetscape. These intersections should prioritize pedestrian traffic and create a warm, welcoming atmosphere. Key changes to the core intersections should include:
- Brick/stone sidewalk (alternative: stamped colored concrete)
- Additional wayfinding signage for both pedestrians and vehicles
- Seating options
- Street furniture
- Additional tree plantings
The example shown to the right is at the intersection of 1st Street and Bridge Street, one of three core intersections.
**LEGEND:**
- Tree
- Sidewalk
- Lighting
- Seating
- Bench
**KEY MAP:** Intersection C and D
**DOWNTOWN CORE INTERSECTION EXAMPLE**
Streetscaping Design | Pocket Parks | Overview
This map shows the locations of two existing pocket parks in downtown Hotchkiss, as well as two lots with the opportunity to become pocket parks and bring additional value to the town. The following pages will show recommended updates and enhancements for all of these four spaces.
DESIGNS PROPOSED:
A Pat’s Park: Historical dining theme. This design seeks to draw tourists into the space and provide information on the town’s history while they grab a bite to eat at Pat’s.
B Tree Park: Small gathering space and maintained green space. This design seeks to provide a meeting place and place of rest for tourists and townspeople alike.
OTHER OPPORTUNITIES:
C Farmer’s Market Lot: Farmer’s market and agricultural theme. Opportunities to create a more defined farmer’s market area that celebrates Hotchkiss’s agricultural history and provide areas for customers of the creamery to sit and enjoy their treats.
D Lot on 2nd Street: Food truck lot and large gathering space. When not used for parking, this space could double as an opportunity for small, movable businesses to gather and create an extension of the farmer’s market.
Proposed Design: Historic Dining
The plan for the pocket park beside Pat’s features paved areas near the entrance to the park so guests can access ADA picnic tables. A landscape oval extends into the sidewalk to draw visitors into the park and highlight the existing billboard. A planter could be placed along the south wall of the park to add greenery in an area that will receive the most sun in the summertime. Leaving gravel areas on the east half of the park will decrease costs and provide a permeable area to absorb additional water runoff from new paved areas. Another picnic table and umbrella table have also been added to increase seating.
**PRECEDENT IMAGERY**
- Stamped Concrete
- Evergreen Shrubs
- Landscape Concrete
- Shaded Seating
**KEY FEATURES**
- Add paved areas for ADA accessibility
- Extend paving into sidewalk to invite guests into the park
- More shaded seating
Proposed Design: Historic Dining
This section illustrates how a historic mural could be used to brighten up the alley-like pocket park and create a welcoming and educational environment for visitors. The historic mural complements the existing billboard at the park’s entry which currently provides information on the town’s history. Flower baskets could be hung from the posts of the existing wood fence along with metal art pieces and other decorations to add beauty and greenery to the space.
PROPOSED SECTION
PRECEDENT IMAGERY
KEY FEATURES
- Historic mural to display town history and activate space
- Hanging baskets to add beauty and greenery
- Trash cans and cigarette receptacles for cleanliness
This perspective of Pat’s shows paved areas that provide access to ADA picnic tables with smaller umbrella tables in the back. Shade sails and string lights could be strung from the buildings to create a more enjoyable experience for visitors both day and night. Potted and vining plants could be planted on the south wall near the entrance to take advantage of the area that will receive the most sun in summertime.
**KEY FEATURES**
- Removable shade sails for shade during summer months
- String lights to create a warm atmosphere at night
- Vine and planters for added green space
Proposed Design: Meeting and Rest Space
The tree at the entrance to the park has been removed so the pocket park can be seen from the street. It has been replaced with an oval shaped concrete courtyard that extends into the sidewalk to draw people into the space. The courtyard contains ADA seating in the form of movable tables and chairs and concrete benches that outline the perimeter of the courtyard. String lights could be hung above this area between buildings to create a more enjoyable experience for visitors at night. The existing benches and picnic table have been preserved in their original locations. A planter with seating has been added to beautify the space and add seating while delineating existing seating spaces.
PROPOSED PLAN
PRECEDENT IMAGERY
Sandscape Concrete Ray Pattern Agave String Lights Boulder Xeriscape
KEY FEATURES
• Remove entry tree and extend paving into sidewalk to invite guests into the park
• Paved areas for greater ADA accessibility
• Easy to maintain xeriscaping
Proposed Design: Meeting and Rest Space
This section shows more clearly the delineated seating areas with more active gathering spaces at the entrance to the park and more secluded, individual seating spaces at the back. Two of the existing trees have been preserved for shade and lamp posts have been placed at intervals for safety at night.
**KEY FEATURES**
- Lamp posts and string lights for safety at night
- Gathering space located at entrance to the park
- Secluded back quiet spaces
- More seating
This perspective shows how natural, shade tolerant landscaping such as rocks and evergreen shrubs can be used to add beauty and a more manicured look to the space. Sculptures could also be used to activate the space and celebrate Hotchkiss by displaying work from local artists.
**KEY FEATURES**
- Planter seating for both seating and green space
- Boulders and evergreen shrubs for low maintenance
- Delineation between seating spaces
The multipurpose use of the pocket park by the Creamery Arts Center makes it an excellent candidate for a more park-like pocket park. It contains seating for guests of the Creamery Arts Center, a playground and space for the farmer’s market. Like the other pocket parks, the entrance to the pocket park by the Creamery Arts Center is marked by an oval shaped concrete pavement that extends into the sidewalk to draw visitors into the park. The pathway into the park continues from this entrance around the existing dancing elephants statue to the tent and a new playground and connects to the entrance to the Creamery to the west. The existing tent has been moved from its location in the center of the park to the east to create more space in the park. The areas at the entrance to the park have been left open for seating and other events such as farmers markets and movie nights.
**KEY FEATURES**
- Added paved areas for ADA accessibility
- Colored concrete to highlight park entrance and tie into other pocket parks
- Existing farmer’s market tent relocated to create space for larger park activities
- Seating areas provide space for visitors to the creamery and farmer’s market to relax
- Low maintenance native grass lawn space for larger community events
Proposed Design: Family Park and Farmer’s Market
This section shows the new playground and seating areas on the west side of the park closest to the Creamery Arts Center. This will provide a place for customers of the Creamery to enjoy their dessert and enjoy Hotchkiss. Four new trees could be planted along the west side of the park to provide shade for visitors as they enjoy their ice cream or watch their kids play. Lamp posts placed at intervals will create a safer atmosphere in the park at night. A gateway at the entrance of the park welcomes visitors into the space.
**KEY FEATURES**
- Added greenery and shade
- Playground for families
- Pathways connecting park to Creamery Arts Center
- Light poles to activate and keep space safe at night
This perspective gives an idea of what the entrance to the park could look like. Planters along the front entrance frame a designated entry way with circular concrete pavement and a gateway. The park could be given a name such as “Arts Center Park” to solidify its use as a community event space and park.
**KEY FEATURES**
- Inviting entrance for visitors
- Highlighted elephant statue
- Native lawn flex space for farmer’s market/community
- Shaded picnic table seating with trees
Proposed Design: Pedestrian Friendly Lot
This vacant lot, on the southwest corner of 2nd Street and Bridge Street, has the potential to be transformed into a community asset for the town of Hotchkiss. The space sits directly north of the Hotchkiss-Crawford Historical Museum and can also support and enhance the activities already happening at this place of interest. This proposed design turns the vacant lot into a pedestrian friendly parking lot with opportunities for food truck vendors, street-side picnic tables, parking (when not being closed off for special events), and a small plaza that features bench seating, raised garden beds and historic sculptures.
PROPOSED PLAN
KEY FEATURES
• Added paved areas for ADA accessibility
• Colored concrete to designate food truck and vendor space
• Multiple shaded seating areas to increase pedestrian lingering and gathering opportunities
• Trees and garden beds act as natural screening for noise from road
• Entire lot can be closed off for larger community events
Proposed Design: Pedestrian Friendly Lot
This section of the proposed pocket park on 2nd Street shows how cars and pedestrians may interact in the space on a busy day. The south end is reserved for pedestrian traffic with a historic sculpture park, while the north end of the lot becomes a picnic space that borders Bridge Street. This picnic space draws in visitors shopping or dining along Bridge Street, offering them a shaded space to sit and relax. A one way loop through the parking area increases safety by streamlining vehicular circulation.
**KEY FEATURES**
- South becomes historic sculpture park next to historic museum
- Increased greenery
- Ample pedestrian areas and additional parking for increased activity
Featured here is a perspective view of the lot on 2nd Street showcasing the mural that runs the length of the parking lot. This mural provides enhanced visual interest, while celebrating Hotchkiss’ identity. Crosswalks ensure safe pedestrian travel to and from the lot, whether one is picking up lunch at the food trucks, visiting the historic sculpture park, or retrieving the car after a busy day exploring downtown Hotchkiss.
KEY FEATURES
• Shaded picnic table seating
• Additional parking and food truck areas
• Historic sculpture park with garden beds and seating
• Mural on west wall
The following three gateway and corresponding wayfinding categories reflect the three themes most chosen by survey respondents: Western/Historic, Eclectic/Creative, and a blend of the first two options. The precedent imagery shows examples of how these themes could be celebrated in Hotchkiss through thoughtful selection of gateways and signage options. The next few pages detail concepts tailored to Hotchkiss that pull inspiration from the imagery below but also add elements unique to Hotchkiss to further enhance placemaking along Bridge Street.
Please note that a gateway over Bridge Street must adhere to the following CDOT guidelines: “The minimum vertical clearance from the roadway to pedestrian bridges, utility bridges, and overhead sign supports shall be 17.50 ft.” (CDOT, SECTION 2.2.2 Vertical Clearances, 2020.)
Streetscaping Design | Gateways, Wayfinding, & Signage | Option 1: Fishing Concept
This first gateway and signage concept is inspired by the Hotchkiss fish hatchery and local fishing culture. It features corten steel wave patterns to celebrate river waves, irregular brick mimicking river canyon rock, rusted steel for a weathered aesthetic, metal fish cutouts, and blue colored metal signs that reflect the color of water. Hotchkiss is surrounded by the natural beauty of the Gunnison River, expressed in this first option, reminding visitors of the champion fishing just a short way from downtown.
Design Reference/Inspiration
North Fork of the Gunnison River
Celebrating Hotchkiss Fish Hatchery
River Canyon Rock
Material/Color Palette
WAVE PATTERNS
celebrating river waves
IRREGULAR BRICK
tie into the natural river canyon
RUSTED STEEL
weathered by water look
COLORED METAL
blue for color of water
Streetscaping Design | Gateways, Wayfinding, & Signage | Option 2: Creative/Historic Concept
This concept plays off the creative and historic spirit of Hotchkiss, featuring bright pops of colors, angular cuts on the gateway and pedestrian kiosks that pay tribute to the surrounding West Elk Mountains, and brushed steel as a nod to the historical importance of the railroad. In addition, brick is used as a unifying element that captures the historic character of downtown, a perfect compliment to the bright reds, yellow, and blues.
A. GATEWAY & ENTRY MONUMENTS
B. PEDESTRIAN KIOSKS
C. PLANTERS & BOLLARDS
D. DIRECTIONAL & BANNER SIGNAGE
Design Reference/Inspiration
West Elk Mountains
Historic Character & Railroad
Colorful Spirit
Material/Color Palette
ANGULAR CUTS celebrating mountain peaks
BRICK tie into historic character
BRUSHED STEEL railroad tribute
COLORED METAL ACCENTS for a colorful town spirit
Streetscaping Design | Gateways, Wayfinding, & Signage | Option 3: Agricultural Heritage Concept
This third option is inspired by Hotchkiss’ history as a farming town in the North Fork Valley. It features decorative metalwork scrolls that imitate vining plants and grapevine tendrils, repurposed farm equipment such as old water troughs, iron representing farm tools, and planters made of plastic composite lumber to imitate the wood used on historic farms. This agricultural inspired theme also encompasses the historic and artistic spirit of Hotchkiss.
A. GATEWAY & ENTRY MONUMENTS
B. PEDESTRIAN KIOSKS
C. PLANTERS & BOLLARDS
D. DIRECTIONAL & BANNER SIGNAGE
Design Reference/Inspiration
Celebrating Hotchkiss Agriculture
Historic Character
Artistic Spirit
Material/Color Palette
DECORATIVE METALWORK celebrating agriculture
FARM EQUIPMENT repurposed old farm equipment
IRON farm tools tribute
COMPOSITE LUMBAR mimicking garden beds
This signage plan for downtown Hotchkiss shows recommended locations for different types of signs, as well as estimated quantities. Gateway and entry monuments should be placed near the east and south entrances on Bridge Street, while pedestrian kiosks are located on the corners of blocks to direct pedestrians to places of interest and draw them into the downtown core. Planters and bollards are evenly placed throughout the streetscape, while directional and banner signs are placed alongside street lamp posts on Bridge Street as well as on streets one block north and one block south of the downtown core. Three examples on the bottom of this page mock up how these signs would look in the downtown core, the downtown fringe, and outlying blocks.
SIGNAGE KEY
A1 A2 A. GATEWAY & ENTRY MONUMENTS
B1 B2 B. PEDESTRIAN KIOSKS
C1 C2 C3 C. PLANTERS & BOLLARDS
D1 D2 D3 D. DIRECTIONAL & BANNER SIGNAGE
This map of downtown Hotchkiss summarizes some of the most popular precedent imagery that was chosen by survey respondents during the December 2020 Hotchkiss Beautification Survey, in the Story of Hotchkiss section (for full survey results see Appendix B). These images provide examples of how different streetscape elements and amenities can be utilized throughout the town to bring vibrancy, character, and a greater sense of place to Hotchkiss for both residents and visitors. Some elements that can help tell this story include identity murals, local sculptures, wayfinding signage that highlight points of interest, and activities that highlight music or agrotourism.
In addition to telling the story of Hotchkiss, placemaking can add that special spark to a downtown and bring a streetscape to life. These amenities are tailored towards creating welcoming pedestrian areas full of diverse activities for many different ages. Below are the placemaking precedent images most often chosen by survey respondents during the December 2020 Hotchkiss Beautification Survey placed in recommended areas along Bridge Street. Some of these popular elements include colored crossings, painted crosswalks, ADA ramps, flowers, street trees, outdoor seating, lighting in pocket parks, activated spaces, planter seating and shaded seating.
Downtown Hotchkiss: Placemaking
Windows
Do not block windows with signs or other materials.
Lighting
Use subtle gooseneck lights to illuminate signs and building features.
Sign
Keep sign wording simple and clear. Use consistent lettering and limit the number of colors used to two or three.
Transom Sash
Avoid filling this space with an air conditioner, which can drip and harm the appearance of your store’s entrance.
Cornice
Central architectural element that tops the facade. Do not cover with signage.
Awning
Use sturdy fabric or canvas awnings. Avoid vinyl waterfall awnings, which deteriorate quickly.
Street Number
Make street number easy to read and locate over entrance to help customers find you.
Display Window
Make an excellent window display the centerpiece of your storefront. Avoid blocking displays with signs.
Valance Styles
1. Waterfall Dormer
2. Short Waterfall
3. Dome
4. Elongated Dome
5. Concave w/ Skirt
6. Concave
7. Slant
8. Casement
9. Straight Slope
10. Quarter Round/Convex
11. Slant-No Sides
12. Slant-No Sides w/ Skirt
13. Marquee
TRADITIONAL FACADE COMPONENTS
FACADE IMPROVEMENTS
| Section | Page |
|-------------------------------|------|
| Scope | 76 |
| Goals | 77 |
| Public Works Building Vision | 78 |
| Style Map | 79 |
| Conditions Map | 80 |
| Character Description | 81 |
| Traditional Features | 82 |
| Color Palette | 83 |
| Cost Analysis Example | 84 |
| Facade Improvement Plan | 85 |
| Public Works Building | 100 |
| Design Guidelines & Standards Example | 104 |
Facade Improvements | Scope
In this section of the report, we will review the final concepts for the Downtown Facade Beautification plan including style, condition, and character analysis, as well as recommendations for facade improvements and a conceptual vision for the Public Works Building. The architectural design for the facades focuses on improving and uplifting the identity of the Downtown Core and providing guidelines for the town and local business owners to use during facade renovations. The conceptual vision for the Public Works Building aims to frame it as a symbol for the growth of Downtown Hotchkiss as well as a local gathering place to celebrate the unique culture of the town.
The architectural component of the Downtown Hotchkiss Beautification project will focus primarily on the downtown core which consists of three blocks between Oak St. and 3rd St.
Facade Improvements | Goals
SHOWCASE
- LOCAL ARTISTS
- LOCAL FARMERS
- UNIQUE ARCHITECTURAL FABRIC
SERVE
- LOCAL BUSINESSES
- VISITORS
- TOWN ECONOMY
ACTIVATE
- NIGHTLIFE
- VACANT LOTS
- UNDERUTILIZED/ABANDONED BUILDINGS
HONOR
- HERITAGE
- HISTORIC BUILDINGS
- LOCAL ECOLOGY/CLIMATE
EXPAND
- TOWN IDENTITY
- ECLECTIC DESIGN
- UNIFIED ARCHITECTURE FABRIC
AGRICULTURAL-RUSTIC
TRADITIONAL-HISTORIC
ECLECTIC-ARTISTIC
Alignment
The public works building vision advances the following downtown guiding principles.
| GUIDING PRINCIPLE | PUBLIC WORKS BUILDING VISION ALIGNMENT |
|-----------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Downtown needs to reflect the community and highlight the character of Hotchkiss. | The building can showcase Hotchkiss’ unique economy by providing space for local retailers, makers and restaurateurs. |
| Increase anchor businesses that attract residents and visitors alike. | By housing multiple businesses in a single location, the building will become an anchor institution and draw people to other existing businesses throughout the downtown. |
| Agriculture, outdoor recreation and art culture are major drivers in the community and should be expanded and incorporated more in downtown. | While it is not a given, flexible space could serve local artists, farmers, and makers that highlight these unique aspects of the community. |
| Expand the availability and affordability of spaces to new and existing businesses. | Flexible space can be tailored to the needs of tenants, eliminating the need for them to rent spaces that are larger than their actual needs, which can save business owners a lot of money. |
| Improve downtown by increasing walkability, activating underutilized buildings, providing signage, increasing public gathering spaces, and enabling facade improvements. | The successful reuse of the Public Works Building will activate one of downtown’s largest vacant spaces. Further, the potential conversion of the driveway space into a community gathering, outdoor dining or retail space creates a more walkable environment downtown. |
| Make downtown Hotchkiss a destination for residents, visitors, and businesses by increasing nightlife activities, dining and drinking establishments, locally made goods, and workforce housing. | Adding locally owned retail and dining options downtown give residents and visitors alike more reasons to be downtown. |
| Capture through traffic on Bridge Street by creating a welcoming downtown environment that offers services for travellers. | An activated building on one of downtown’s most prominent corners will be a big draw for travellers passing through town. There is potential to add some services for travellers in this location, including takeaway food, visitor information and/or public restrooms. |
Our Goals
Facade improvement should elevate Hotchkiss’ unique identity to improve the experience of locals and visitors alike. Striving for a downtown facade stitch that is consistently in good and contributing condition will help the economy of local businesses thrive.
Facade improvement should strive to elevate buildings that are currently abandoned or underutilized. By improving these lots/buildings, they will become a potential site to house a local business.
Agricultural style should be considered while creating the facade improvement ideas. In addition, art and culture spaces should be elevated through frontage design considerations and facade style.
Spaces should be flexible. Our facade improvement plan should reach beyond the front of the building, and start to activate the sidewalk and street. Is there a way we can make the buildings feel like flexible spaces both through function and visually?
Facade improvements will by effect make the town more walkable. Different environmental factors such as the hot sun should be considered when making facade improvement decisions.
Facade improvements should take all times of day into account in the design. Good lighting/signage should included in the design to activate the nightlife of downtown.
Facade improvements should show the character and identity of Hotchkiss at both ends of the highway entrances in order to capture the through traffic on Bridge St.
Facade Improvements | Style Map
- Residential Style Architecture
- Commercial Style Architecture
- Open Lot
Facade Improvements | Conditions Map
- Good Architectural Character
- Limited Architectural Character
- Deteriorating Architectural Character
Good Architectural Character
Buildings with good architectural character have been identified as having unique and aesthetic facades that are in good condition. These buildings actively promote and uplift the unique personality of Hotchkiss as a town.
Limited Architectural Character
Buildings with limited architectural character have been identified as having few architecture features that contribute to the character and identity of Downtown Hotchkiss. These buildings will require more extensive design to transform into a contributing facade.
Deteriorating Architectural Character
Buildings with deteriorating architectural character have been identified as having facade features that need to be repaired or replaced. These buildings often have a unique historic charm that needs restoration on traditional design elements that exist.
Facade Improvements | Traditional Features
All buildings have similar elements arranged on the exterior face of the building. These elements and features make up the fabric or character of the building and are recognized and regularly used by architects, builders, designers and construction tradespeople. The elements define a building’s visual qualities. With facade improvements, it is important to have an understanding of these elements and features. The following is an inventory and description of those elements and features that are common to all buildings and the base for this study. The following elements and features all make up what is commonly called a facade. A facade is the exterior faces of a building. Most buildings have a single primary face, sometimes two, usually fronting the street that is distinguished from the other faces by more elaborate architectural detailing or ornamentation, as described here:
A. **Kick Plates**: A base for building fronts and storefront display windows
B. **Storefront Display Windows**: The large glazed portion of the building front
C. **Primary Entrance**: The main point of entry into the building off the street; sometimes recessed into the facade or on the building corner
D. **Transoms**: Located primarily above the door and fill the space between the clerestory windows and the door
E. **Clerestory Windows**: A horizontal band of windows that extend across the storefront display windows
F. **Sign Band**: A horizontal area above the clerestory windows where signage is usually placed; awnings, canopies, and signage often share this location
G. **Parapet & Cornice**: The parapet is the vertical extension of the facade wall above the roof line; the cornice is the decorative detailing at the top of the parapet that usually projects from the face of the wall
H. **Second Floor Windows (where they exist)**: Usually defined by their vertical pattern, shape, and window sills
I. **Pilaster**: An engaged pier or pillar often made of decorative brick, stone, or other emphasized detailing
**Canopy**: An in-filled framed projection from a building face over the sidewalk to the curb either supported back to the building with brackets or by spaced columns
**Awning**: A framed projection from a building face, usually of fabric, attached at windows, doors, primary openings, and storefronts
**Fascia**: A horizontal, flat element, often combined with the cornice
Improving the visual appeal of a storefront can often be accomplished with minor improvements and by removing elements that have been inappropriately added over the years. In some cases renovation may require more extensive work due to lack of proper maintenance or damage to the original building veneer. In either case, an attractive visual presentation is desirable to draw customers to the front window and into the building.
Facade Improvements | Color Palette
Found below are two color palettes that have been extracted from the current facades along Bridge St. in Downtown Hotchkiss. These palettes feature a mixture of colorful, yet neutral Earth tones which may be used as inspiration moving forward during facade renovations.
Facade Improvements | Cost Analysis Example
The following diagram depicts how the varying costs of facade improvement features were decided upon. They were divided into 3 categories based on cost per square foot of improvement and are shown graphically in the chart. This system of analysis considers each building as a unique project and recognizes the diverse needs of each facade as an alternative to using a set price value for each component.
Low Cost Renovation
Renovations such as small paint jobs, updating signage, and repairing door kick plates are classified as low cost projects that will contribute to the improvement of the overall facade without requiring large funding.
Mid Cost Renovation
Examples of mid cost renovations include larger paint jobs, addition of a canopy or awning, and some restoration of existing brick and stone.
High Cost Renovation
Renovations that require major repair or addition to the building envelope or structural features are classified as high cost renovations. Generally, these will be more labor intensive and require design specific to the building.
Example of Improvement Plan
Improvement Features
1. Remove existing paint and add Hotchkiss Green to trim of building.
2. Replace clerestory windows.
3. Add light fixtures to improve visibility.
4. Add signage to main entrance.
| Feature | Repair | Replace | Add |
|--------------------------|--------|---------|-----|
| Paint | | | |
| Siding | | | |
| Light Fixtures | | | |
| Kick Plates | | | |
| Storefront Display Windows| | | |
| Primary Entrance | | | |
| Transoms | | | |
| Clerestory Windows | | | |
| Sign Board | | | |
| Parapet and Cornice | | | |
| Sign Band | | | |
| Signage | | | |
| Second Floor Windows | | | |
| Plaster | | | |
| Canopy | | | |
| Awning | | | |
| Fascia | | | |
| False Front | | | |
Facade Improvements | Facade Improvement Plan | Block 3
NORTH FACADE ELEVATION
1. SHORT STOP AND GAS STATION
2. POCKET PARK AND HISTORICAL INFORMATION
3. POCKET PARK AND HISTORICAL INFORMATION
SOUTH FACADE ELEVATION
4. CLERESTORY WINDOWS AND BRICK STOREFRONT FACADE
5. CREAMERY ARTS CENTER
6. CREAMERY ARTS CENTER
7. CREAMERY ARTS CENTER
// HOTCHKISS, COLORADO // 2022 // UTA//
Facade Improvements | Facade Improvement Plan | 180 W Bridge St.
Type of Improvement:
Existing building has a non-contributing architectural character. Improvement will be focused on minor additions to the building envelope to improve the overall character of the building.
Improvement Approach:
The improvement approach for this building is focused primarily on the exterior paint and signage.
1. Add false front on gas station shade covering with #7 color trim to create western style facade adjacent to downtown core.
2. Replace signage with western style font.
3. Remove existing paint and add paint in color #5 or similar tone.
4. Replace awning paint with #7 to match trim on gas station shade cover.
Type of Improvement:
Existing building has contributing but deteriorating architectural character. The improvement would focus on historical preservation and rehabilitation to improve frontage conditions.
Improvement Approach:
The improvement approach for this building is to repair deteriorating features and add an awning to enhance the storefront aesthetic.
Improvement Features
1. Repair second story windows.
2. Addition of awning.
3. Refresh store front paint.
4. Restore masonry facade.
| | Repair | Replace | Add |
|----------------------|--------|---------|-----|
| Paint | | | |
| Siding | | | |
| Light Fixtures | | | |
| Kick Plates | | | |
| Storefront Display Windows | | | |
| Primary Entrance | | | |
| Transoms | | | |
| Clerestory Windows | | | |
| Sign Board | | | |
| Parapet and Cornice | | | |
| Sign Band | | | |
| Signage | | | |
| Second Floor Windows | | | |
| Pilaster | | | |
| Canopy | | | |
| Awning | | | |
| Fascia | | | |
| False Front | | | |
Existing Conditions
Type of Improvement:
The existing building has a non-contributing architectural character. The type of improvement will be focused on creating a rustic/modern facade.
Improvement Approach:
Improvement will focus on creating new siding materials and shade structures to better fit with the rustic aesthetic of downtown Hotchkiss.
Improvement Features
1. Add new signage.
2. Create Hotchkiss Green sign band on top trim of facade.
3. Add modern style vertical wood siding.
4. Light fixtures on exterior.
5. Replace existing awning with more modern shade features.
6. Vinyl wainscoting to add depth to materiality.
Type of Improvement:
This building is in deteriorating and non contributing character. Most of the suggestions will focus on reparation of deteriorating features.
Improvement Approach:
The improvement approach for this building is to repair deteriorating features, and add a new facade with wood siding to contribute to the western style buildings of downtown Hotchkiss.
Improvement Features:
1. Add false front to align with horizontal rhythm of adjacent buildings.
2. Add vertical wood siding to create a western style facade.
3. Replace signage with modern font.
4. Repair cornice and repaint with Hotchkiss Green trim.
5. Add trim around siding in Hotchkiss Green.
Type of Improvement:
Existing building has a non contributing character. Improvement will be focused on features to improve the architectural quality.
Improvement Approach:
Remodel facade to align with the horizontal rhythm of the Creamery Arts Center. Preserve the planter in front of the building but expand to capture the pedestrian traffic, and traffic from the Creamery Arts Center.
Improvement Features
1. Add false front with Hotchkiss Green trim.
2. Remove Paint from shaded walkway to expose natural timber.
3. Cohesive signage with Hotchkiss Green accents.
4. Vertical wood siding to replace existing diagonal siding.
5. Addition of planter seating feature adjacent to sidewalk.
6. Low light plants under building overhang.
Facade Improvements | Facade Improvement Plan | Block 4
NORTH FACADE ELEVATION
POCKET PARK
CLERESTORY WINDOWS
HOTCHKISS ELK’S LODGE
SOUTH FACADE ELEVATION
ACE HARDWARE
US POST OFFICE
Type of Improvement:
Existing building has a deteriorating architectural character. Improvement will focus on facade reconstruction and rehabilitation to improve frontage conditions.
Improvement Approach:
The improvement approach for this building is to repair deteriorating features and add a new facade with wood siding to contribute to the western style buildings of downtown Hotchkiss.
Improvement Features
1. Replace and repaint wood siding.
2. Addition of western style cornice.
3. Replace and increase sizing of signage.
4. Addition of Hotchkiss green awning.
| Feature | Repair | Replace | Add |
|--------------------------|--------|---------|-----|
| Paint | | | |
| Siding | | | |
| Light Fixtures | | | |
| Kick Plates | | | |
| Storefront Display Windows| | | |
| Primary Entrance | | | |
| Transoms | | | |
| Clerestory Windows | | | |
| Sign Board | | | |
| Parapet and Cornice | | | |
| Sign Band | | | |
| Signage | | | |
| Second Floor Windows | | | |
| Pilaster | | | |
| Canopy | | | |
| Awning | | | |
| Fascia | | | |
| False Front | | | |
Existing Conditions
Type of Improvement:
Existing building has noncontributing architectural character. The type of improvement would include frontage condition preservation and repairs.
Improvement Approach:
Improvement will focus on replacing signage for better visibility and adding and repairing small features to improve the overall quality of exterior.
Improvement Features
1. Replace hanging signage with a larger forward facing sign.
2. Repainting stucco siding.
3. Addition of lighting elements around the entry way.
Type of Improvement:
Existing building has non-contributing architectural character. The type of improvement would focus on historical preservation and reconstruction to improve frontage conditions.
Improvement Approach:
Improvement will focus on replacing siding materials and light fixtures and repairing the signage and paint to better fit with the rustic aesthetic of downtown Hotchkiss.
Improvement Features
1. Replace and paint wood siding.
2. Restore shingles on upper facade.
3. Replace light fixtures on exterior.
4. Repair signage.
Existing Conditions
Type of Improvement:
Existing building has contributing architectural character. The type of improvement would be focused on facade preservation and rehabilitation to maintain frontage conditions.
Improvement Approach:
Improvement will focus on repairing siding materials and updating signage and lighting for a greater visual attraction.
Improvement Features
1. Add new signage.
2. Update and repair siding.
3. Light fixtures on exterior.
| | Repair | Replace | Add |
|----------------------|--------|---------|-----|
| Paint | | | |
| Siding | | | |
| Light Fixtures | | | |
| Kick Plates | | | |
| Storefront Display Windows | | | |
| Primary Entrance | | | |
| Transoms | | | |
| Clerestory Windows | | | |
| Sign Board | | | |
| Parapet and Cornice | | | |
| Sign Band | | | |
| Signage | | | |
| Second Floor Windows | | | |
| Pilaster | | | |
| Canopy | | | |
| Awning | | | |
| Fascia | | | |
| False Front | | | |
Existing Conditions
Facade Improvements | Facade Improvement Plan | Block 5
NORTH FACADE ELEVATION
1. HISTORIC BANK OF NORTH FORK (BLUEBIRD BOTIQUE)
2. WESTERN STYLE AND FALSE FACADE
3. TUCKER’S RESTAURANT
SOUTH FACADE ELEVATION
Type of Improvement:
Existing building has a deteriorating traditional architectural character.
Improvement Approach:
Historical preservation and reconstruction to improve frontage conditions.
Improvement Features
1. Repair parapet trim and add paint in Hotchkiss Green.
2. Replace clerestory windows.
3. Add light fixtures to improve visibility.
4. Add signage to main entrance.
| | Repair | Replace | Add |
|----------------------|--------|---------|-----|
| Paint | | | |
| Siding | | | |
| Light Fixtures | | | |
| Kick Plates | | | |
| Storefront Display Windows | | | |
| Primary Entrance | | | |
| Transoms | | | |
| Clerestory Windows | | | |
| Sign Board | | | |
| Parapet and Cornice | | | |
| Sign Band | | | |
| Signage | | | |
| Second Floor Windows | | | |
| Pilaster | | | |
| Canopy | | | |
| Awning | | | |
| Fascia | | | |
| False Front | | | |
Existing Conditions
Type of Improvement:
The existing building has a contributing, historical character in deteriorating condition.
Improvement Approach:
Historical preservation and reconstruction/repair of brickwork will be the main focus to improve the facade.
Improvement Features
1. Remove paint to show original masonry facade.
2. Apply Hotchkiss Green to details above windows.
3. Western Style wood siding on adjacent building.
4. Restore awning.
| | Repair | Replace | Add |
|----------------------|--------|---------|-----|
| Paint | | | |
| Siding | | | |
| Light Fixtures | | | |
| Kick Plates | | | |
| Storefront Display Windows | | | |
| Primary Entrance | | | |
| Transoms | | | |
| Clerestory Windows | | | |
| Sign Board | | | |
| Parapet and Cornice | | | |
| Sign Band | | | |
| Signage | | | |
| Second Floor Windows | | | |
| Pilaster | | | |
| Canopy | | | |
| Awning | | | |
| Fascia | | | |
| False Front | | | |
Existing Conditions
Type of Improvement:
The existing building has a deteriorating, non contributing architectural character. The improvement will be focused on repairing exterior features to be contributing.
Improvement Approach:
Repair deteriorating facade elements in a creative style, and add small features to improve the overall quality of exterior.
Improvement Features
1. Add corrugated metal feature to roof extrusion to create more contrast in materiality.
2. Add signage on wood paneled roof feature.
3. Outdoor globe lights improve night time visibility and create welcoming entrance.
4. Update paint to “Hotchkiss Green”
5. Remove paint on existing stone wainscoting.
6. Preserve art feature or replace with new mural.
The following is an analysis of the public works building in its existing condition. What can be noted is its prime location, murals on the north and east faces, multiple entry ways, and large front lot.
- Existing art mural creates opportunity for more art installations at this location.
- Location on a primary downtown intersection of Bridge and Oak St.
- Main entrance exists between the two primary wings of building which creates unique opportunity for centralized entrance and gathering place for visitors of Hotchkiss and community members alike.
- Multiple garage door features on East Wing provide unique opportunity for connection to the outdoors and site design. In addition, the separation of the garage doors naturally define smaller spaces that could be made into individual studios or maker’s spaces.
- Ample outdoor space in the existing parking lot for events and meaningful landscape design.
Facade Improvements | Public Works Building | Public Works Opportunities
Based on feedback from the community builders and coordination meetings with representatives from the town, the following graphic demonstrates potential uses for various spaces throughout the building and surrounding lot.
- **Green**
- Brewery
- Bakery
- Small Grocery Store/Market
- Coffee shop/Cafe
- Retail/Clothing store
- Pizza Restaurant
- Fly Shop
- **Red**
- Visitor Information Station
- Public Restrooms
- Historic/Heritage Information
- Central Gathering Lobby
- **Purple**
- Community Garden Beds
- Outdoor Patio for Eatery
- Small Outdoor Stage
- **Blue**
- Artist Studios
- Community Makers Spaces
- Small Retail Shops
- Arcade
- Youth Activities
- Vintage Car Showroom
- Event Center
- Commercial Kitchen
- Rec Center
- Bowling Alley
- Energy Transition Center
- **Orange**
- Flea Market
- Farmer’s Market
- Artists/Makers Market
- Food Trucks
Facade Improvements | Public Works Building | Public Works Perspectives
Highlighted below are perspective renders of the Public Works building entrance and front lot. Updated materials such as wood cladding and garage doors with windows gives the building a refreshed look that contributes to Hotchkiss’ downtown.
- Restaurant/Eatery
- Pergola/Shade feature over patio
- Enclosed Outdoor Patio/Picnic Tables
- Planter Box with Seating
- Western Style Wood Siding
- Individual Artist Studios
- Existing Mural
- Farmer’s/Artist Market
// HOTCHKISS, COLORADO // 2022 // UTA//
Design Guidelines & Standards Example
What are Design Guidelines?
The guidelines convey general outlines about the rehabilitation of existing structures, additions, and new construction. They define a range of appropriate responses to a variety of specific design issues.
Why have Design Guidelines?
One purpose of the guidelines is to promote preservation of the historic, cultural and architectural heritage of Downtown. An essential idea is to protect historic resources in Downtown from alteration or demolition that might damage the unique fabric created by buildings and sites that make up the Downtown area.
The guidelines also promote key principles of urban design which focus on maintaining an attractive human-scaled pedestrian-oriented environment.
The design guidelines also provide a basis for making consistent decisions about the treatment of historic resources and new infill within Downtown. Designing a new building to fit within the historic character of Downtown requires careful thought. Preservation does not mean that the area must be “frozen” in time, but it does mean that, when new building occurs, it should be in a manner that reinforces the basic visual characteristics of the historic district. In addition, they serve as educational and planning tools for property owners and their design professionals who seek to make improvements.
While the design guidelines are written for use by the layperson to plan improvements, property owners are strongly encouraged to enlist the assistance of qualified design and planning professionals, including architects and preservation consultants.
These guidelines seek to manage change so the historic character of Downtown is respected while accommodating compatible improvements. They reflect Hotchkiss’ goals to promote economic and sustainable development, enhance the image of the Hotchkiss, and reuse historic resources.
These guidelines apply only to building facades; defined as any building exterior visible from a public street or alley. Interior renovation is not subject to these guidelines. Design guidelines shall be used on facade preservation, restoration, reconstruction, and rehabilitation. In the case in which historical tax credits are sought the guidelines of The Secretary of the Interior’s Standards for Rehabilitation would apply. The guidelines presented here are a practical adaptation of the Secretary’s Standards for application to the Downtown area.
Downtown Commercial Area Design Guideline Objectives
- Preserve the integrity of the historic architectural features of individual buildings.
- Minimize alterations and new construction that weaken the historic integrity of individual buildings
- Encourage new development that will respect and enhance the visual character
- Enhance the business opportunities of the Downtown
- Preserve the Downtown as the place of the most intense pedestrian activity
What Type of Improvement?
Establish the nature of the improvements being planned. Identify the category that best fits:
- **Existing Building**
If improvements are planned to an existing building, it should be analyzed as being either a Contributing Building or a Non-Contributing Building. This will influence which set of guidelines to use.
- **New Construction**
If the planned improvements include new construction in the Downtown area then the appropriate guidelines should be followed. This includes new buildings on a vacant lot, new buildings on a lot with an existing building, and the addition to an existing non-contributing building.
What Type of Existing Building?
Downtown Hotchkiss contains various degrees of historic buildings and many are significant to the past of the Downtown. The following criteria help to classify buildings with respect to their historic significance and were established by the National Park Service. These classifications are:
- **Contributing Building**
A “contributing” building is those determined to be historically significant because they were built during the period of significance, exist in comparatively original condition, or that have been appropriately restored and are capable of yielding important information about its period. These buildings may have additions that are compatible with the historic character of the original building.
Some of these buildings may have had some degree of alteration from their historic design. Alterations may include window replacement, cornice removal, porch enclosure and covering of the building’s historic materials. These buildings in their altered form retain sufficient fabric to still be considered contributing.
Facade Improvements | Design Guidelines & Standards Example | Introduction
• **Non-Contributing Building**
A “non-contributing” building applies to existing buildings that lack historic significance due to a couple reasons. They range in age and can be older buildings along with recent construction. For the older buildings it is due to the fact that they have been substantially altered that they no longer retain their integrity and historic information is not interpretable. For recent construction, it is that they were built after the period of significance.
In some cases, these non-contributing buildings which have been substantially altered could be restored with a great degree of care, in which it could then be re-classified as contributing.
• **Combined Treatments**
For many projects a “rehabilitation” approach will be the overall strategy, because this term reflects the broadest, most flexible of the approaches. Within that, however, there may be a combination of treatments used as they relate to specific building components. For example, a surviving cornice may be preserved, a storefront base that has been altered may be restored, and a missing kick plate may be reconstructed.
**Accepted Treatment Approaches**
The following list describes appropriate treatment approaches that may be considered when planning a facade improvement project:
• **Preservation**
“Preservation” is the act of applying measures to sustain the existing form, integrity and material of a building. Work focuses on keeping a property in good working condition with proactive maintenance.
• **Restoration**
“Restoration” is the act or process of accurately depicting the form, features and character of a property as it appeared in a particular time period. It may require the removal of features from outside the restoration period. This may apply to an entire building, or to restoring a particular missing feature.
• **Reconstruction**
“Reconstruction” is the act or process of depicting, by means of new construction, the form, features and detailing of a building, structure or object for the purpose of replicating its appearance at a specific time and in its historic location. This has limited application, in terms of an entire building, but may apply to a missing feature on a building.
• **Rehabilitation**
“Rehabilitation” is the process of returning a property to a state that makes a contemporary use possible while still preserving those portions or features of the property which are significant to its historical, architectural and cultural values. Rehabilitation may include a change in use of the building or additions. This term is the broadest of the appropriate treatments and applies to most work on properties.
1-0: Design Guidelines for Renovation of Downtown Existing (Historic) and Contributing Buildings
This section aims to guide in the preservation of the exterior and storefronts of the Downtown buildings so that they will continue to contribute to the unique character. Renovations or alterations should strive to retain the overall design integrity of the historic building by protecting the original features and materials and traditional design elements.
[1-1]: Investigate Thoroughly and Set Priorities
Past alterations and applications of exterior covering materials may have concealed structural damage or original building features which were rendered irreparable by the alterations. The well-intentioned removal of a deteriorated material or an inappropriate covering from a storefront or facade could reveal original building features underneath that are so badly deteriorated or damaged, that a disproportionately costly effort is required to repair them. Before removing anything, determine the condition of the materials and features underneath. In this way, alternatives can be evaluated and costs can be determined, and potentially expensive “sidewalk decisions” can be avoided. Plan to make structural repairs first, and follow with cosmetic improvements.
[1-2]: Stabilize the Building and/or Facade
Stabilizing involves measures required to protect a building from further deterioration by weather or structural failure. Correct any structural problems; all other work is futile if the building is not structurally sound. Water entry through faulty roofs, gutters, and windows contributes to concealed building damage; stabilize the building against water damage by attending to these kinds of repairs. Perform maintenance on damaged and deteriorating materials in order to arrest deterioration. If funds are not immediately available to perform all of the work required to rehabilitate a building’s exterior, patching may be necessary as a temporary stabilizing measure on certain building features. Stabilizing a building feature by temporary patching can minimize continued deterioration by weather and “save” the building for more suitable repair work later.
[1-3]: Original Facades – Maintain the Original Character of the Facade
Traditional facade elements create patterns along the block that contribute to the overall character of Downtown. Analyze the facade for these elements which define a building’s visual qualities. Respect the original design and materials of the building. These elements include:
A. Kick plates below display windows
B. Main floor display windows
C. Recessed primary entrances or corner entrances
D. Transoms above entry doors
E. Clerestory windows above display windows
F. Sign bands
G. Parapet walls with caps or cornices
H. Second floor window patterns and shapes
I. Decorative brick or stone and other detailing
(Image 1.0: Traditional Facade Example)
Do not apply theme designs that alter the original character. Even when a building’s use has changed, it is still important to retain and/or interpret traditional facade elements.
Some alterations over the years, while well intentioned, were poorly designed and insensitive to the original architecture. Other alterations were intended to eliminate the need for further exterior maintenance. Sometimes entire building facades were obliterated by surface coverings to which large signs were attached. Often other constructions, signs, and canopies were projected from the buildings in order to draw attention to them. Various materials were employed which were inappropriate, improperly installed, or incapable of living up to expectations of longevity. In such instances it may be advisable to remove such distracting or deteriorated additions.
NOTE: These guidelines do not intend to recreate the past if the original facade does not exist. If documentary evidence of the original facade does exist, then a recommended alternative is to restore the facade when practical. Where exact reconstruction is not practical, a simplified contemporary interpretation of original details will suffice with respect to original scale and character.
[1-4]: Retain Original Facade Materials
Wherever possible, retain the original materials of the facade. Use appropriate methods to repair and restore and avoid concealing original materials. When portions of the original materials need to be replaced, use materials that are similar. Avoid using materials that are not visually compatible with the original facade.
Do not permanently alter or remove an original part of a building, no matter what the building’s age, which would preclude its restoration at a later date. Removing decorative cornices, windows, storefront elements, or ornamental features removes the possibility of ever restoring the building at a later date should restoration become an economic possibility. The privilege of owning a building with restoration potential carries with it the obligation to permit a subsequent owner, no matter how remote that idea now seems, to restore the building to its original beauty. Removal of a building’s original decorative and ornamental features destroys its unique identity and reduces its value.
[1-5]: Align Architectural Features to Create Horizontal Rhythm along Facades
Restore or recreate the historic alignment of architectural features with other buildings on the block. Alignment of architectural features across a block face creates visual continuity and a coherent context Downtown. These create patterns that contribute to the overall character. Examples of elements that typically align across facades include:
- Kick plates
- Main floor display windows top and bottom height
- Transoms and Clerestory windows
- Second floor windows
- Sign bands
- Parapets and cornices
- Awnings
- Roof lines
[1-6]: Maintain the Original Building Setback
Storefront display windows should be preserved at the sidewalk edge. Maintain recessed entrances where they exist. On occasion, entire storefronts are recessed and elements such as columns, railings and planters define the setback at the sidewalk. Where buildings are built to the alley edge, consider opportunities for alley displays windows and secondary customer entrances.
[1-7]: Maintain the Original Size, Shape and Proportion of Storefront Openings
Storefronts with large panes of glass at the display window level are appropriate. Avoid dividing the storefront window into smaller components unless historically relevant.
[1-8]: Maintain Recessed Entries Where They Exist
Recessed entrances contribute to the visual continuity. They identify the entrance and provide shelter. Use doors with a large area of glass within the storefront. Avoid residential doors and bright aluminum and stainless steel frames.
[1-9]: Maintain Kick Plates Below Display Windows
If documentary evidence exists for the original kick plate, restore it if possible. When evidence does not exist, a simplified design that retains the original character and dimension are appropriate. Typical materials for kick plates include: brick, painted wood panels, stone, glazed tile or painted metal in muted tones. Alignment of kick plates with adjacent facades on the block is typical and encouraged.
[1-10]: Maintain Transoms, Clerestories and Sign Band Elements
For transoms, use glass if possible. Clear glass is generally preferred. This area can be used for a sign or other decorative elements if glass is not feasible. Retain the original proportions of the opening. If the framing that defines the transom has been removed, consider re-establishing it in a new design. If the ceiling is now lower than the transom or clerestory lines consider raising the ceiling near the window to maintain the historical dimensions. Align transoms and clerestories as much as possible with adjacent buildings to create horizontal rhythm.
[1-11]: Maintain Shape, Materials and Spacing of Upper Windows
Where upper story windows have been filled in, consider re-opening up the window. Maintain the original spacing and pattern. Use historical documentation if available to re-create windows if re-opening is not feasible. If ceilings have been lowered, consider raising the ceiling near the window. Repair rather than replace original windows. If repair is not feasible, replace with windows that match the existing as close as possible.
[1-12]: Consider Awnings to Provide Visual Depth and Shade
Fit the awning to the dimensions of the storefront opening to emphasize the building’s proportions. The awning should not obscure important details. Best practice is for an eight foot clearance from the sidewalk to the underside of the awning. Align awnings with others on the block where appropriate. This applies primarily to the bottom line of the awning. The top edge of the awning is typically mounted to align with the top of the transom or other primary framing that separates the display window. The awning valance may be used for signage. Fabric awnings are encouraged and may be operable or fixed. Metal awnings or canopies that are similar in form to fabric awnings are appropriate when designed as an integral part of the facade. Awning color should be coordinated with the color scheme of the entire building facade.
[1-13]: Distinguish Additions to Existing Buildings
Additions to historic buildings are encouraged to retain the original proportions, scale and character of the main facade. Additions should also be set back from the main facade as to express the difference between the original and new. Maintain patterns and rhythm such as horizontal elements and window sizing and spacing. Utilize the predominant rhythm of existing facade width that is repeated on the block. It is not recommended to replicate the exact original facade on the addition rendering the original indistinguishable.
[1-14]: Use Building Components That Help Establish Appropriate Scale
Careful consideration of replacement building components and their scale is important to that the proportions of the facade are maintained. Components such as doors, hardware, roof overhangs, siding, trims, light fixtures and other details should be carefully chosen. Avoid altering the facade to make the building look larger than it originally was.
The character of commercial buildings depends greatly upon the elements attached to them. Cooperation among owners is essential to ensure that signs, canopies, and awnings neither compete with each other for shoppers’ attention nor obscure their buildings’ architectural features. Oversized and crowded signs compete with each other and produce confusion. Tasteful appropriate signage will complement the architecture. Use signage to identify businesses, not advertise products. The best advertisement for any business is the positive image created by a sensitively rehabilitated and well maintained building.
[1-15]: Develop a Comprehensive and Appropriate Color Scheme
The color scheme will visually link the building to the past and adjacent buildings and create a unified image. Consider colors that are compatible with the buildings predominant materials. Consider the building as a whole along with details that need emphasis. Muted colors will establish a uniform background. Use color to coordinate facade elements. Use one color on similar elements such as window frames to show that they are part of the same facade and to reinforce the patterns and repetition of the elements. Avoid color schemes that visually separate the upper floors from the main floor, or that divide the building into areas that do not reflect original architectural divisions. Reserve bright colors for special accents to emphasize entryways or to highlight special ornamentation.
2-0: Design Guidelines for New Construction and Renovation of Non-Contributing Buildings
This section aims to provide guidance for the design of new construction and the renovation of non-contributing buildings in Downtown, with the effect of retaining the historical context of the area while providing new opportunities.
It is expected that new construction will want to reflect the character of its own time; meanwhile it is important that is also respect the traditional character of Downtown and that which makes it unique such as massing, scale and other detailing. Guidelines from Section 1-0 concerning awnings, color and appearances to buildings are applicable here.
[2-1]: Utilize Traditional Facade Components in New Design
Traditional facade elements create patterns along the block and that repetition contributes to the overall character of Downtown. These elements may be interpreted in new and contemporary ways and include:
A. Kick plates below display windows
B. Main floor display windows
C. Recessed primary entrances or corner entrances
D. Transoms above entry doors
E. Clerestory windows above display windows
F. Sign bands
G. Parapet walls with caps or cornices
H. Second floor window patterns and shapes
I. Decorative brick or stone and other detailing
(Image 1.0: Traditional Facade Example)
[2-2]: Align Architectural Features with the Established Patterns
Aligning architectural features with adjacent facades continues the visual continuity and maintains the visual context Downtown. Designs should strive to reinforce the established patterns and visual character. Examples of elements that should align include:
- Kick plates
- Main floor display windows, top and bottom height
- Transom and clerestory windows
- Storefront windows
- Horizontal and vertical proportions of the building
- Second floor windows, size and shape
- Sign bands
- Parapets and cornices
- Awnings
- Roof lines
[2-3]: Maintain the Established Setback of Storefronts
Designs should carefully consider maintaining similar setbacks as adjacent buildings to emphasize this defining characteristic. Where designs indicate storefront setback from the sidewalk, elements such as columns, railings, and planters can help maintain the rhythm. Typically for a one story building a zero setback is most appropriate.
[2-4]: Consider Height and Mass of Buildings
Designs should appear of similar height, mass and scale to adjacent buildings to maintain the visual integrity and character. A variety of heights is important and helps to create visual interest, but needs to be appropriate to the context.
[2-5]: Maintain Human Building Scale
Traditionally downtown buildings are of a smaller scale of traditionally-sized components. Maintaining this keeps the established human scale character of Downtown. Use standard size brick and building components and standard windows sizes. Look to adjacent buildings for reference.
[2-6]: Maintain the Proportions of Storefronts
Main floor facades should be primarily transparent at the storefront to promote pedestrian orientation and interaction. Size and shape should be similar to those historically found or adjacent.
[2-7]: Maintain the Rhythm of the Traditional Facade Width
Designs should maintain the rhythm of facade widths. This is especially true for designs that extend over multiple lots. In this case consider changing materials, patterns, reveals, building setbacks, facade portions to continue the rhythm. Maintain the primary building entrance to enforce the rhythm.
[2-8]: Use Building Material of Similar Texture, Pattern and Scale
Building materials are encouraged to reflect historical patterns in the Downtown. Brick, for instance, is a primary example of an acceptable material. Accent materials should also reflect historical patterns.
Examples of acceptable materials include:
- Brick masonry
- Wood details like windows
- Finished painted metal
- Finished lumber, installed in traditional patterns (i.e. horizontal siding rather than diagonal)
- Clear or lightly tinted glass
- Brick or stone and sometimes concrete for lintels
- Wood pilasters and columns
3-0: Design Guidelines for Downtown Commercial Signs
This section aims to provide guidance for downtown commercial signs promoting function of identifying and locating businesses, promoting merchandise or services within, attracting customers, and providing direction and information.
This section is meant to be used in conjunction with the facade design guidelines and to supplement the Hotchkiss’ Sign code (ORDINANCE NO. 2013 – 00)
Downtown Commercial Sign Guideline Objectives
- Preserve the integrity of the historic architectural features of individual buildings.
- Minimize alterations and new construction that weaken the historic integrity of individual buildings
- Encourage new development that will respect and enhance the visual character
- Enhance the business opportunities of the Downtown
- Preserve the Downtown as the place of the most intense pedestrian activity
[3-1]: Retain and Restore Historic Signs
Whenever possible, retain and restore historic signs. This is especially important when the sign is integral to the building’s design or physical construction, a historically significant sign type and characteristic of a specific historic period.
[3-2]: Signs Should be Integral to the Overall Building Design
Signs should not obscure or damage important architectural details or other important building features such as but not limited to windows, door frame, cornice, moldings, or decorative feature. Signs should align and maintain the horizontal and vertical facade features found along the block. The position of the sign should emphasize special features or details of the facade, draw attention to the shop entrance or display window. Signs should be aligned where several businesses share a building.
[3-3]: Sign Types Should Contribute to the Downtown Street scape and Environment
A variety of signs may be used downtown and should contribute to the sense of visual continuity. Sign types that are applicable to downtown are:
Flush Wall Signs
This sign type is any sign attached to the wall or surface of the building and minimally projects from the surface. Wall signs should align along the block and should be positioned within architectural features.
Projecting Signs
This sign type projects horizontally out from the surface of the building. Larger projecting signs should be installed higher on the building, centered on the facade or on the corner of an end block building.
Awning Signs
This type of sign is usually lettering that is directly applied to the surface or face of the awning material. Reference the facade design guidelines for awning design considerations.
Under Canopy Signs
This sign type is attached perpendicular to the wall of a building. The sign should relate to the shop entrance.
Window and Door Signs
This sign type is any lettering, symbol or picture used to advertise or communicate information that is applied directly to or site just off the face of the window pane or glass. These signs should be designed to minimize the amount of window covered to preserve the transparency at the sidewalk.
[3-4]: Sign Types Should be Simple and Clearly Designed
All sign types should be designed to enhance and emphasize architectural elements and features of the facade and be subordinate to the overall building composition. Signs should be simple with clear typeface of permanent and durable materials. When designing a sign consider the following:
Sign Material
Signs should be made of durable and permanent materials that are easy to maintain. Various materials are acceptable and should be compatible with the architectural character and materials of the building. Sign color should contribute to the legibility and design integrity of the sign and building as a whole.
Sign Shape
Signs should be of a simple and straightforward shape which aids in conveying the message of the sign.
Typeface and Graphics
Avoid overly ornate and hard to read typefaces and keep the number of typefaces to no more than three types per sign. Consider the use of symbols which are read quickly and remembered well and can be graphically pleasing.
Illumination
External sign illumination is preferred and can be designed in a compatible manner to the overall facade. Direct the lighting towards the sign from a shielded light source with a warm color temperature lamp. Internal lit signs are generally discouraged as they can create masses of light that detract from the facade and storefront. The coordination of lighting intensity, color, sign placement and display window design in effect turns the entire storefront into a sign.
NEXT STEPS
Preliminary Opinion of Costs pg. 116
Funding Opportunities pg. 120
The following cost opinions are based upon preliminary conceptual design and planning and should be used as information only, for the purposes of determining an order of magnitude. The opinions were completed without actual engineering and are subject to change. These estimates should be refined as more detailed design stages provide accurate quantities. The data used to compile the opinion of costs is derived from industry standard sources. Prices are subject to change with time and other industry-related factors.
The following items are included in the opinion of costs:
- **Site Preparation**: Mobilization, street removal for sidewalk extensions and crosswalks/intersection treatments
- **Paving**: Sidewalks, curbs, crosswalks, bulb-outs
- **Town Identity**: Sculptures, gateway signs, murals
- **Plantings/Vegetation**: Sod at pocket parks, street trees, flowers for planters and baskets
- **Crosswalks/Intersections**: If crosswalks and intersection treatments are constructed separately, the unit cost will likely increase
- **Pocket Park Structures**: Gateway markers, edge treatments
- **Streetscape Amenities**: Solar lighting, benches, shaded benches, trash and recycling cans, planter boxes and hanging baskets, parklets
- **Wayfinding Signage**: Directional signs, banner signs, pedestrian kiosks, decorative bollards
- **Miscellaneous Items**: Survey, Architecture/Engineering Fees, Construction Management, Contractor Overhead and Profit, and 20% Contingency for unknown items
The following items are excluded from the opinion of costs:
- **Street Improvements**: Road resurfacing, curb replacement outside project area, utilities within roadway
- **Utilities**: Connections, transformer installation, or vault boring
- **Electrical Demolition**: Electrical utilities
- **Miscellaneous**: Unforeseen site conditions such as vaults or basements extending underneath sidewalks
- **Facade Improvement Costs**: Due to the varying degree of work that the facade concepts depict, no costs have been associated with these concepts. Costs will vary depending on the complexity of the improvements, the quality of the materials selected to implement the concepts, and the architect or contractor selected by the property owner to complete the work
The following map details the location of intersection types and the general downtown streetscape used in the following cost opinion. Items in the opinion of cost will be color coded to reflect the same colors used below.
## Next Steps | Preliminary Opinion of Costs | Intersection & Streetscape Cost Opinion
### Hotchkiss Main Street Preliminary Opinion of Cost - Intersection & Streetscape
#### Downtown Core Intersections (C&D) *60ft N&S streets
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|------------|-----------|----------------------------------------------|
| **SITE PREPARATION** | | | | | |
| Mobilization & General Conditions | 1 | LS | $25,000.00 | $25,000.00 | project area setup and delivery |
| **PAVEMENT** | | | | | |
| Brick Paving | 25,440 | SF | $12.00 | $305,280.00 | roll-over bulb-outs and sidewalk |
| Repave Asphalt | 22,826 | SF | $10.00 | $228,260.00 | fill cracks and repave |
| Colored Concrete Crossings | 1,680 | SF | $10.00 | $16,800.00 | colored and patterned |
| Painted Striped Crosswalk | 4 | EA | $770.00 | $3,080.00 | crosswalk |
| **AMENITIES** | | | | | |
| Concrete Benches | 400 | CF | $10.00 | $4,000.00 | continuous 15ft block |
| **TOTAL BUDGET SUGGESTED FOR PHASE 1** | | | | $582,420.00 | |
#### Gateway Intersections (A&F) *60ft N&S streets
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|------------|-----------|----------------------------------------------|
| **SITE PREPARATION** | | | | | |
| Mobilization & General Conditions | 1 | LS | $25,000.00 | $25,000.00 | project area setup and delivery |
| **PAVEMENT** | | | | | |
| Concrete Roll-over Bulb-outs | 9,440 | SF | $8.00 | $75,520.00 | $6-$12 per square foot depending on finishes |
| Repave Concrete | 3,480 | SF | $8.00 | $29,440.00 | tear out old sidewalk and replace |
| Repave Asphalt | 22,826 | SF | $10.00 | $228,260.00 | fill cracks and repave |
| Colored Concrete Crossings | 1,680 | SF | $10.00 | $16,800.00 | colored and patterned |
| Painted Striped Crosswalk | 4 | EA | $770.00 | $3,080.00 | crosswalk |
| **TOWN IDENTITY** | | | | | |
| Gateway | 2 | EA | $10,000.00 | $20,000.00 | price will vary depending on materials |
| Sculpture | 2 | EA | $5,000.00 | $10,000.00 | price will vary depending on materials |
| **TOTAL BUDGET SUGGESTED FOR PHASE 2** | | | | $408,100.00 | |
#### General Streetscape Costs
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|------------|-----------|----------------------------------------------|
| **SITE PREPARATION** | | | | | |
| Mobilization & General Conditions | 1 | LS | $25,000.00 | $25,000.00 | project area setup and delivery |
| **PAVEMENT** | | | | | |
| Repave Concrete | 17,600 | SF | $8.00 | $140,800.00 | tear out old sidewalk and replace |
| Repave Asphalt | 13,200 | SF | $10.00 | $132,000.00 | fill cracks and repave |
| Painting | 9,470 | LF | $0.40 | $3,788.00 | street stripes and parking lines |
| **AMENITIES** | | | | | |
| Shaded Benches | 6 | EA | $1,000.00 | $6,000.00 | 6 and 8-foot |
| Benches | 18 | EA | $900.00 | $16,200.00 | |
| Trash and Recycling Cans | 16 | EA | $300.00 | $4,800.00 | |
| Planters | 32 | EA | $200.00 | $6,400.00 | large wood planter box |
| Solar Lighting | 30 | EA | $2,500.00 | $75,000.00 | vary depending on type and installation cost |
| Directional and Banner Signage | 12 | EA | $1,500.00 | $18,000.00 | signs and post |
| Pedestrian Kiosk | 2 | EA | $1,000.00 | $2,000.00 | price will vary depending on materials |
| Decorative Bollards/Planters| 20 | EA | $500.00 | $10,000.00 | price will vary depending on materials |
| **TOWN IDENTITY** | | | | | |
| Sculpture | 3 | EA | $5,000.00 | $15,000.00 | price will vary depending on materials |
| **VEGETATION** | | | | | |
| Street Trees (medium) | 32 | EA | $300.00 | $9,600.00 | tree and basic installation |
| Street Trees (small) | 48 | EA | $150.00 | $7,200.00 | tree and basic installation |
| Flowers | 540 | EA | $8.00 | $4,320.00 | one plug, will vary by plant |
| **TOTAL BUDGET SUGGESTED FOR PHASE 1** | | | | $476,108.00 | |
#### Transition Intersections (B&E) *60ft N&S streets
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|------------|-----------|----------------------------------------------|
| **SITE PREPARATION** | | | | | |
| Mobilization & General Conditions | 1 | LS | $25,000.00 | $25,000.00 | project area setup and delivery |
| **PAVEMENT** | | | | | |
| Concrete Roll-over Bulb-outs | 9,440 | SF | $8.00 | $75,520.00 | $6-$12 per square foot depending on finishes |
| Repave Concrete | 3,480 | SF | $8.00 | $29,440.00 | tear out old sidewalk and replace |
| Repave Asphalt | 22,826 | SF | $10.00 | $228,260.00 | fill cracks and repave |
| Colored Concrete Crossings | 1,680 | SF | $10.00 | $16,800.00 | colored and patterned |
| Painted Striped Crosswalk | 4 | EA | $770.00 | $3,080.00 | crosswalk |
| **TOTAL BUDGET SUGGESTED FOR PHASE 3** | | | | $378,100.00 | |
#### Budget Suggested for All Phases
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|------------|-----------|----------------------------------------------|
| **SOFT COSTS TO CONSIDER** | | | | | |
| Survey | | | 2% of Subtotal | $36,894.56 | |
| Professional Fees | | | 10% of Subtotal | $184,472.80 | |
| Contractor Overhead | | | 10% of Subtotal | $184,472.80 | |
| Contingency | | | 20% of Subtotal | $368,945.60 | |
| Administrative Costs | | | 2% of Subtotal | $36,894.56 | |
| **FINAL ESTIMATED PROJECT COST** | | | | $2,656,408.32 | |
*Please note: This opinion of cost does not include engineering cost or other potential professional studies*
In addition to the intersection and streetscape cost opinion, an opinion of cost has also been put together for the four proposed pocket parks along Bridge Street. Similar to the previous cost opinion, items such as utilities, electrical demolition, facade improvement costs, and other unforeseen site conditions have been excluded from the pocket park cost opinion.
The following map details the location of the four pocket parks in Hotchkiss and items in the following opinion of cost will be color coded to reflect the same colors used below.
## Next Steps | Preliminary Opinion of Costs | Pocket Parks Cost Opinion
### Hotchkiss Main Street Preliminary Opinion of Cost - Pocket Parks
#### POCKET PARK 1: PARK BESIDE PAT’S
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|--------------|-----------|-------------------------------------------------------------------------|
| SITE PREPARATION | | | | | |
| Mobilization & General Conditions | 1 | LS | $25,000.00 | $25,000.00| project area setup and delivery |
| PAVEMENT | | | | | |
| Concrete Oval | 195 | SF | $10.00 | $1,950.00 | colored and patterned |
| Landscape Concrete | 410 | SF | $10.00 | $4,100.00 | |
| AMENITIES | | | | | |
| Picnic Tables | 1 | EA | $400.00 | $400.00 | 8ft long (keep existing ADA tables) |
| Tables with Umbrella | 3 | EA | $1,000.00 | $3,000.00 | includes umbrella |
| Trash and Recycling | 2 | EA | $400.00 | $800.00 | |
| Cigarette Disposal | 2 | EA | $55.00 | $110.00 | plastic, 17in diameter, 39in height |
| Planter | 1 | EA | $200.00 | $200.00 | large wood planter box |
| String Lights | 100 | LF | $5.00 | $500.00 | |
| Shade Sail | 2 | EA | $5,000.00 | $10,000.00| will vary depending on material and size |
| Mosaic Mosaics | 4 | EA | $50.00 | $200.00 | includes basket, bracket and paint |
| TOWN IDENTITY | | | | | |
| Murals | 925 | SF | $35.00 | $32,375.00| will vary depending on materials and detail |
| VEGETATION | | | | | |
| Purple Clematis Vive | 4 | EA | $35.00 | $140.00 | 1 gal pot |
| Flowers | 10 | EA | $8.00 | $80.00 | one plug, will vary by plant |
**TOTAL BUDGET SUGGESTED FOR POCKET PARK 1**
$36,340.00
#### POCKET PARK 2: PARK WITH TREES
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|--------------|-----------|-------------------------------------------------------------------------|
| SITE PREPARATION | | | | | |
| Mobilization & General Conditions | 1 | LS | $25,000.00 | $25,000.00| project area setup and delivery |
| Tree Removal | 1 | LS | $2,000.00 | $2,000.00 | for a large tree, includes stump removal |
| GROUND COVER | | | | | |
| Landscape Concrete | 530 | SF | $10.00 | $5,300.00 | with ray pattern cuts |
| Mulch | 777 | SF | $2.50 | $1,942.50 | wood chip, 6in deep, includes labor |
| AMENITIES | | | | | |
| Benches & Chairs | 4 | EA | $110.00 | $440.00 | folding table and two chairs |
| Cigarette Disposal | 2 | EA | $55.00 | $110.00 | plastic, 17in diameter, 39in height |
| Planter with Seating | 1 | EA | $5,000.00 | $5,000.00 | large concrete planter box with seating |
| String Lights | 200 | LF | $5.00 | $1,000.00 | |
| Solar Lighting | 8 | EA | $2,500.00 | $20,000.00| will vary depending on type and installation cost |
| Concrete Benches | 240 | CF | $10.00 | $2,400.00 | |
| TOWN IDENTITY | | | | | |
| Sculpture | 2 | EA | $5,000.00 | $10,000.00| price will vary depending on materials |
| VEGETATION | | | | | |
| Shrubs | 20 | EA | $20.00 | $400.00 | I got Blue Star Juniper |
| Flowers | 32 | EA | $8.00 | $256.00 | one plug, will vary by plant |
| Boulders | 135 | TN | $300.00 | $40,500.00| sandstone |
**TOTAL BUDGET SUGGESTED FOR POCKET PARK 2**
$39,792.50
#### POCKET PARK 3: CREAMERY ARTS CENTER PARK
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|--------------|-----------|-------------------------------------------------------------------------|
| SITE PREPARATION | | | | | |
| Mobilization & General Conditions | 1 | LS | $25,000.00 | $25,000.00| project area setup and delivery |
| GROUND COVER | | | | | |
| Ecofriendly Soil | 210 | SF | $10.00 | $2,100.00 | colored and patterned |
| Stabilizer/Gravel Fines | 934 | SF | $2.00 | $1,868.00 | |
| Mulch | 883 | SF | $2.50 | $2,207.50 | wood chip, 6in deep, includes labor |
| Soil | 4,318 | SF | $4.00 | $17,272.00| includes irrigation |
| AMENITIES | | | | | |
| Picnic Tables | 8 | EA | $400.00 | $3,200.00 | 8ft long |
| Trash and Recycling | 2 | EA | $300.00 | $600.00 | |
| Cigarette Disposal | 2 | EA | $55.00 | $110.00 | plastic, 17in diameter, 39in height |
| Planters | 4 | EA | $200.00 | $800.00 | large wood planter box |
| Solar Lighting | 8 | EA | $2,500.00 | $20,000.00| will vary depending on type and installation cost |
| Playground Structure | 1 | EA | $35,000.00 | $35,000.00| |
| TOWN IDENTITY | | | | | |
| Gateway | 2 | EA | $10,000.00 | $20,000.00| price will vary depending on materials |
| VEGETATION | | | | | |
| Trees | 4 | EA | $300.00 | $1,200.00 | tree and basic installation |
| Flowers | 30 | EA | $8.00 | $240.00 | one plug, will vary by plant |
**TOTAL BUDGET SUGGESTED FOR POCKET PARK 3**
$53,157.50
#### POCKET PARK 4: LOT ON 2ND STREET
| ITEM | QTY | UNIT | UNIT PRICE | TOTAL | REMARKS |
|-----------------------------|-----|------|--------------|-----------|-------------------------------------------------------------------------|
| SITE PREPARATION | | | | | |
| Mobilization & General Conditions | 1 | LS | $25,000.00 | $25,000.00| project area setup and delivery |
| GROUND COVER | | | | | |
| Asphalt | 6,245 | SF | $13.00 | $81,185.00| includes gravel and installation |
| Painting | 386 | LF | $0.40 | $154.40 | street stripes and parking lines |
| Colored Concrete | 852 | SF | $10.00 | $8,520.00 | colored and patterned |
| Concrete | 1,874 | SF | $8.00 | $15,000.00| $6 + $12 per square foot depending on finishes |
| Gravel/Fines | 1,952 | SF | $1.80 | $3,513.60 | |
| AMENITIES | | | | | |
| Picnic Tables | 5 | EA | $400.00 | $2,000.00 | 8ft long |
| Trash and Recycling | 2 | EA | $300.00 | $600.00 | |
| Cigarette Disposal | 2 | EA | $55.00 | $110.00 | plastic, 17in diameter, 39in height |
| Planter with Seating | 10 | EA | $500.00 | $5,000.00 | large wood planter box with seat |
| Solar Lighting | 8 | EA | $2,500.00 | $20,000.00| will vary depending on type and installation cost |
| Shade Sail | 1 | EA | $5,000.00 | $5,000.00 | will vary depending on material and size |
| One Way Sign | 1 | EA | $50.00 | $50.00 | |
| TOWN IDENTITY | | | | | |
| Murals | 340 | SF | $35.00 | $12,450.00| will vary depending on materials and detail |
| Sculpture | 2 | EA | $5,000.00 | $10,000.00| price will vary depending on materials |
| VEGETATION | | | | | |
| Trees (mackin) | 4 | EA | $300.00 | $1,200.00 | tree and basic installation |
| Flowers | 30 | EA | $8.00 | $240.00 | one plug, will vary by plant |
**TOTAL BUDGET SUGGESTED FOR POCKET PARK 4**
$141,091.00
**BUDGET SUGGESTED FOR ALL POCKET PARKS**
$269,381.00
**FINAL ESTIMATED PROJECT COST**
$387,908.64
*Please note: This opinion of cost does not include engineering cost or other potential professional studies.*
Next Steps | Funding Opportunities
The following list of programs and grants were put together as potential funding opportunities for the redesign and beautification of Bridge Street, including the streetscape and pocket parks.
Streetscape Funding Opportunities:
Program/Grant: Rural Business Development Grant (RBEG)
Funding Organization: U.S. Department of Agriculture (USDA)
Project Type: Acquisition or development of land, easements, or rights of way; construction, conversion, renovation of buildings; parking areas and utility; community economic development
Program Details: Enterprise grants must be used on projects to benefit small and emerging businesses in rural areas as specified in the grant application
Eligibility: Rural public entities including towns, communities, state agencies, authorities, non-profit corporations, institutions of higher education, federally recognized tribes, and non-profit rural cooperatives. Must be used on projects that benefit rural areas or towns outside the urban periphery of any city with a population of 50,000 or more
Awards: No maximum grant amount, smaller requests are given higher priority
Important Dates: Open Date: January 14th, 2022, Close Date: April 14th, 2022, 4:30 PM MST, see website for later dates
Contact: Denver Federal Center, Building 56, Room 2300, PO Box 25426
Phone: (720)544-2903
Website: https://www.rd.usda.gov/programs-services/business-programs/rural-business-development-grants/co
Program/Grant: Revitalizing Main Streets Program
Funding Organization: Colorado Department of Transportation (CDOT)
Project Type: Part of Colorado’s COVID-19 Recovery Plan with provided additional funding for the program over the next 10 years
Program Details: Intended to help communities across the state implement transportation related projects that improve safety and yield long-term benefits to community main streets.
Eligibility: Local governments, CDOT, and other governmental agencies. Non-profits and transportation management organizations may partner with a governmental agency.
Awards: Past awards range from $15,000 to $2 million
Deadlines: Grant Opportunity 2, spring and early summer of 2022, see website for updates
Website: https://www.cdot.gov/programs/planning/grants/grants
Program/Grant: Energy/Mineral Impact Assistance Fund Grant (EIAF)
Funding Organization: Colorado Department of Local Affairs (DOLA)
Project Type: Assists political subdivisions that are socially and/or economically impacted by the development, processing, or energy consumption of minerals and mineral fuels
Program Details: Intent to promote sustainable community development, increase livability and resilience of communities through strategic investments in asset-building activities
Eligibility: Municipalities, counties, school districts, special districts, and other political subdivisions and state agencies
Awards: Tier 1 up to $200,000, Tier 2 $200,000 to $600,000/$700,000
Deadlines: Depends on cycle
Cycle 22-06 Application period closes March 1st, 2022
Cycle 22-12 Application period opens August 1st, 2022, and closes September 1st, 2022
Cycle 23-06 Application period opens February 1st, 2023, and closes March 1st, 2023
Website: https://cdola.colorado.gov/funding-programs/energy/mineral-impact-assistance-fund-grant-eiaf
(Streetscape Funding Opportunities continued on next page)
Streetscape Funding Opportunities (continued):
**Program/Grant: Transportation Alternatives Program (TAP)**
**Funding Organization:** Colorado Department of Transportation (CDOT)
**Project Type:** Transportation improvement projects that expand travel choice, strengthen the local economy, improve quality of life, and protect the environment
**Program Details:** Programs and projects defined as transportation alternatives, including on- and off-road pedestrian and bicycle facilities, infrastructure projects, community improvement activities, and environmental mitigation
**Eligibility:** Local governments, regional transportation authorities, transit agencies, natural resource or public land agencies, school districts, local education agencies and schools, and tribal governments
**Awards:** Amounts vary, funds require a 20% local match
**Deadlines:** Periodically, see website
**Contact:** Mark Rogers, 222 S. 6th Street, Room 317, Grand Junction, CO 81501
*Phone:* (970) 683-6252
*Email:* [email protected]
*Website:* [https://www.codot.gov/programs/planning/grants/tap-fiscal-years-2021-23](https://www.codot.gov/programs/planning/grants/tap-fiscal-years-2021-23)
**Program/Grant: Multimodal Options Fund (MMOF)**
**Funding Organization:** Colorado Department of Transportation (CDOT)
**Project Type:** Funds multimodal transportation projects and operations throughout the state
**Program Details:** Eligible projects include capital or operating costs for: fixed route and on-demand transit, transportation demand management programs, multimodal mobility projects enabled by new technology, multimodal transportation studies, and bicycle or pedestrian projects
**Eligibility:** Local governments, transit agencies (public or private), school districts, or other sponsors of eligible multimodal projects
**Awards:** All MMOF Local Funds must be matched 50/50 by other non-MMOF funds, infrastructure projects minimum $150,000 project cost, planning projects no minimum
**Deadlines:** Projects selected for MMOF Local Funds must fully complete and final reimbursement requests submitted to CDOT by approximately June 1st, 2023
**Contact:** Mark Rogers, 222 S. 6th Street, Room 317, Grand Junction, CO 81501
*Phone:* (970) 683-6252
*Email:* [email protected]
*Website:* [https://www.codot.gov/programs/planning/grants/mmoft-local](https://www.codot.gov/programs/planning/grants/mmoft-local)
---
**Parks and Open Space Funding Opportunities:**
**Program/Grant: Community Impact**
**Funding Organization:** Great Outdoors Colorado (GOCO)
**Project Type:** Helps develop and revitalize parks, trails, schoolyards, fairgrounds, environmental education facilities, and other outdoor projects important to Colorado communities.
**Program Details:** Community-driven projects of all sizes, support efforts through concept to completion
**Eligibility:** Colorado municipality or county
**Awards:** Most requests do not exceed $1 million, matching requirements and project timelines will be customized to partners and projects
**Important Dates:** Spring: Concepts due February 21st, 2022. Applications due March 31st, 2022. Grants awarded June 9th, 2022. Fall & Winter: See website
**Website:** [https://goco.org/programs-projects/grant-programs/community-impact](https://goco.org/programs-projects/grant-programs/community-impact)
**Local Sponsorship Opportunities:**
**Becher Family Foundation**
*Address:* 6234 Buffalo Run, Roxborough, CO 80125-9047
**Gates Family Foundation**
*Address:* 1390 Lawrence Street, #400, Denver, CO 80204-2081
*Phone:* (303) 722-1881
*Email:* [email protected]
*Website:* [https://gatesfamilyfoundation.org/engage/contact-us/](https://gatesfamilyfoundation.org/engage/contact-us/)
**Telluride Foundation**
*Address:* 220 E. Colorado Avenue, Suite 106, PO BOX 4222, Telluride, CO, 81435
*Phone:* (970) 728-8717
*Email:* [email protected]
*Website:* [https://telluridefoundation.org/](https://telluridefoundation.org/)
**Knights of Columbus**
*Address (national):* 1 Columbus Plaza, New Haven, CT 06510
*Phone:* (203) 752-4000
*Website:* [https://www.kofc.org/en/#index.html](https://www.kofc.org/en/#index.html)
**Lions Club**
*Hotchkiss Address:* Highway 92, Crawford CO, 81415 -- Club President: Jess Deegan
*Paonia Address:* 218 4th Street, Paonia, CO, 81428 -- Club President: Michael Peacock
*Website:* [https://www.lionsclubs.org/en](https://www.lionsclubs.org/en)
ACKNOWLEDGMENTS
UTA Background pg. 124
Design Team pg. 126
Acknowledgments | UTA Background
What we are...
The University Technical Assistance (UTA) program is a clinical teaching practice of the University of Colorado Denver, College of Architecture and Planning. Our mission is to provide students with real world experiences in design and planning, as they provide communities and neighborhoods with services in these areas.
UTA strives to enhance the quality of community life – through collaboration, applied research and innovative design – for the betterment of all community residents. In the process, student’s educational experience is enhanced by taking what is learned in the classroom and academic studio and employing it in projects of public and civic interest. Communities benefit through design work that is continuously being improved through research and innovation. Moreover, together we become partners in the design thinking process, thus expanding our mutual and individual capacities to further envision and implement projects of significant public impact. Started in 1967, UTA has worked in partnership with communities and neighborhoods to complete over 2000 projects around Colorado. Projects range in size and scope, but have the common element of improving the community as a place to live, work and play.
What we do...
The UTA program provides rural and small communities with assistance on projects that enhance places and spaces. A decades-long partnership between the Colorado Department of Local Affairs (DOLA) and the University of Colorado Denver, the UTA program puts the cost of preliminary design work within financial reach of small communities. Students complete preliminary plans and designs that can be used to inform and engage community members in the projects. These plans are used to apply for grants from DOLA and other funders. This saves the community money in preliminary design and community engagement, and provides students with valuable experience. Once financing is secured, licensed professionals are hired to take preliminary designs to completion.
HOTCHKISS, COLORADO // 2022 // UTA//
Chris Endreson
UTA Field Supervisor
Chris Endreson started working for the UTA program at UCD in October of 2013 after working at a Grand Junction prominent architectural firm for 8 years. There he worked primarily on the technical side of design including managing projects in the construction administration phase. He and his family reside in Fruita, CO and have called the Grand Valley home since 2007. He has other family living on the western slope as well providing for many family get togethers and excursions into the surrounding mountains. He and his wife enjoy 4-wheeling and camping as well as traveling to the pacific coast from time to time to awe at the wonders of the ocean. Both he and his wife are active in their local community as a way to help guide give back to this great place to live.
Morgan Bonnem
Landscape Architecture Intern
Morgan is a Master of Landscape Architecture candidate at the University of Colorado Denver. She received her Bachelor’s Degree in Sociology at DePaul University in Chicago, Illinois. She has spent the last four years working as a gardener and volunteering with community focused arts, gardening, and farming programs. She enjoys connecting to the world through reading, music, adventure, and travel.
Miriam Arroyo
Landscape Architecture Intern
As an Idaho native, Miriam’s passion is rooted in her ecological background, experience working as a forestry technician, and her desire to design dynamic and transformative spaces where water is a challenge. She draws inspiration from her strong background to explore design strategies that connect people to water and their environment. Miriam is in her last semester of the MLA program.
Alex Hardesty
Architecture Intern
Alex was born and raised in Boise, Idaho and is in their final year of the M.Arch program at CU Denver. Inclusive, accessible, and sustainable design are some of the values that Alex has adopted during graduate school. While not designing, Alex enjoys running, skiing, mountain biking, and playing music.
Paige Johnson
Architecture Intern
Paige Johnson grew up in the Pacific Northwest where she earned her undergraduate degree in business at the University of Washington. After several years working in Seattle, Paige discovered that a career in architecture would give her the opportunity to combine her passions for design and problem solving. Wanting to trade the rain for sunshine, Paige began her Master of Architecture degree at the University of Colorado Denver. As a member of the UTA team, Paige has enjoyed working alongside classmates and with local Colorado communities to develop unique and enriching design solutions. In her spare time Paige enjoys getting active outdoors and enjoying the Colorado sunshine!
Mallory Orr
Landscape Architecture Intern
Mallory is a Master of Landscape Architecture and Master of Urban and Regional Planning candidate at the University of Colorado Denver, set to graduate in Winter 2023. She has a BS from University of Vermont in Recreation Management where she also studied Community Development. Mallory moved to Denver to participate in the program after 5 years in Wyoming where she was a gardening manager, volunteered at an organic farm and taught skiing. She has also worked with school programs in the United States and abroad to design and build outdoor classrooms. She enjoys all things outside from climbing a snowy peak to a bike around the city.
Germaine Low
Architecture Intern
Born and raised in Singapore, Germaine is a recent graduate of the M.Arch program at CAP and has been part of the UTA West Team since Fall 2019. She holds a bachelor’s degree in Urban Design and Architecture Studies from New York University. She believes that architecture is a conduit for strengthening and improving communities, as well as a means of creating strong cultural identities for places through design. Through the UTA program, Germaine enjoys learning about various local Colorado communities, and researching and developing design solutions for them with her co-workers. In her spare time Germaine enjoys playing video games, making digital illustrations and cooking. She also loves dogs and will give them good pets if allowed! While Germaine does not have a pet (yet), she does have a marimo that lives in a jar named Fuzzwala.
Sylvia Pasquariello
Landscape Architecture Intern
Sylvia is a Master of Landscape Architecture candidate at the University of Colorado Denver in her third and final year. She holds a bachelor’s degree in International Business and minor in Sustainability, as well as a certificate in Sustainable Urban Agriculture. Sylvia discovered her love for digging in the dirt, plants, and design while working in the field for a design-build residential landscape company. In her free time she volunteers for the Denver Master Gardener Program and enjoys hiking with her two dogs, Bear and Barley. She calls Colorado home, but loves exploring new places.
Lydia Prather
Architecture Intern
As a Colorado native, Lydia grew up right outside of Denver and went on to attain her Bachelor of Science degree in Civil Engineering at the Colorado School of Mines. She is now in her second year of the M.Arch program at UC Denver.
Hannah van der Vorst
Landscape Architecture Intern
Hannah grew up in Denver, Colorado and is a candidate for a dual Master’s in Landscape Architecture and Urban Planning. She holds a Bachelor’s of Science in Civil and Environmental Engineering and has worked in outdoor education, ski instructing, child welfare and farming. Hannah is interested in using her skills to create sustainable, equitable and productive landscapes that strengthen under-served communities. When not at work or school, Hannah enjoys hiking 14ers, knitting, gardening and playing piano and guitar.
Karen Schultz
Landscape Architecture Intern
Karen grew up in Cleveland, Ohio, and earned her Bachelor of Science degree in Environmental Studies from SUNY College of Environmental Science and Forestry in 2018. She decided to continue her education and further her study of people and our relationship with the environment. Karen was drawn to landscape architecture because she saw it as a potential tool to proactively address and find solutions to the questions she was exploring in Environmental Studies. Karen is in her third and final year of the MLA program at CU Denver.
HOTCHKISS, COLORADO // 2022 // UTA//
APPENDIX A
CDOT Review pg. 132
Appendix A | CDOT Review
The following pages were put together for the Town of Hotchkiss based on CDOT (Colorado Department of Transportation) construction documents that were provided to the town. On behalf of the town, our team provided a side-by-side review of our UTA recommendations versus the CDOT recommendations. The comparison below focused on intersection, bump-out, and crosswalk design.
Intersection, Bump-outs, & Crosswalk Review
Example at 1st and Bridge St.
**UTA Recommendation**
- **A**: Curbless bump-outs decrease vehicular speed and provide a better ADA ramp experience, while increasing safety and visibility for crossing pedestrians. No curb lip is also better for snow plows. (refer to Figure A)
- **B**: Curbless bump-outs also provide additional space for wayfinding signage, pedestrian kiosks, lighting, and other streetscape elements, but this option involves more concrete and may be more costly.
- **C**: Crosswalk paving patterns running west to east differentiate the downtown core and serve as a unique placemaking and traffic calming element for downtown Hotchkiss. This paving pattern can be carried over to the sidewalks for additional uniformity.
**CDOT Recommendation**
- **D**: Traditional intersection curbs (with no bump-outs or curb extensions) will be a lower cost option but provide less pedestrian visibility for turning vehicles.
- **E**: Typical continental crossings with ADA ramps meet accessibility requirements but miss the opportunity to incorporate a unique, placemaking element that could further improve the overall pedestrian experience and enhance ADA ramps.
- **F**: Bridge Street’s traffic lane width is maintained throughout Bridge Street intersections, which may aid in better traffic flow but also might encourage higher speeds along the downtown corridor.
Appendix A | CDOT Review
This page focused on comparing ADA ramp and stripping design based on UTA recommendations and CDOT recommendations at the intersection of Cedar and Bridge Street. This side-by-side review revealed the different opportunities and constraints of each option, assisting the town to better understand the implications and benefits of each design.
**ADA Ramps & Stripping Review**
**UTA Recommendation**
- **G**: Curbless bump outs provide the benefit of a larger sight triangles, and an enhanced ADA ramp experience. This option ensures that there is a safe, consistent crossing in all directions, for everyone.
- **H**: Consistent continental crosswalks running north to south are placed on every Bridge Street intersection for six blocks. (From Cedar to 4th)
**CDOT Recommendation**
- **I**: Intersections without ADA ramps in some directions will force some individuals to go out of their way to avoid a curb drop.* This inconsistency could lead to unsafe conditions for both pedestrians with disabilities and vehicles.
- **J**: Within CDOT’s resurfacing plan, some crosswalk markings are left out (such as the two missing crosswalk markings in Figure J), but this would be a great opportunity to ensure that every crosswalk is marked for high-visibility and pedestrian safety.
* Please note that this SE corner at Cedar and Bridge serves as an example, but similar curb drop conditions are also present at the SE corner of 3rd and Bridge.
APPENDIX B
Survey Results pg. 136
Original Paper Survey pg. 162
Appendix B | Survey Results
Survey Overview
The opportunity to envision Bridge Street through town in a way that benefits the sense of place of Hotchkiss will benefit current and future generations by clearly presenting an environment that reflects the heart and soul of the community. The following survey was distributed on the town’s website and aimed to set the foundation of a placemaking plan that will be translated into design and aesthetic enhancements to Bridge Street and Downtown.
The survey received an overwhelming 304 responses, offering our team valuable insight into what the community of Hotchkiss would like to see in their downtown core and ways it can be improved. Our team will use these results to move forward in our design process, working to create a placemaking plan that truly reflects the people of Hotchkiss.
After the close of the survey, the survey results were organized into the following four sections:
1. Nothing in particular
2. Neutral
3. Safe
4. Welcomed
5. Calm
Q1: How does downtown Hotchkiss make you feel?
| Answer | % | Count |
|-----------------|-----|-------|
| Inspired | 1.76%| 5 |
| Calm | 2.02%| 6 |
| Safe | 15.74%| 46 |
| Welcomed | 14.83%| 44 |
| Neutral | 18.27%| 55 |
| Scared | 1.93%| 6 |
| Scared | 1.93%| 6 |
| Calm | 16.66%| 50 |
| Happy | 3.93%| 12 |
| Nothing in particular | 19.93%| 59 |
| Other | 2.96%| 9 |
| Total | 100%| 294 |
Q2: What words would you use to describe Downtown Hotchkiss?
| Answer | % | Count |
|-----------------|-----|-------|
| Traditional | 7.51%| 23 |
| Historic | 14.14%| 43 |
| Welcomed | 0.39%| 22 |
| Welcoming | 0.79%| 5 |
| Scared | 0.79%| 5 |
| Lacking | 26.06%| 136 |
| Happy | 0.99%| 5 |
| Overgrown | 1.09%| 5 |
| Unusual | 4.55%| 34 |
| Not welcoming | 0.79%| 5 |
| Even-fair | 4.06%| 23 |
| Scared | 1.73%| 10 |
| Total | 100%| 157 |
Local Businesses
Book store! Mary’s Church! Creamery! Gambles! trees on Main street, murals, Memorial Hall, the old look of the Hotchkiss Hotel Building
Farmers market
Ace Hardware and Coaltrain, as a local these are places I frequent but also I’m just stopping in to get what I need and leave.
The farmer’s market
saturday farmers market
Wish the Rose or some other thrift store was still there. Diversity of business offerings. Love that drive-in diner that is closed. Wish it wasn’t such a rat trap.. would be great to have something like that open serving great local food… kind of a central hub to the street with food trucks, music, live events. Could be a great pocket park space.
Local businesses
Stores open on sunday
The Creamery
The Creamery because if the art classes and access to the many very talented artists. The Park at the fairgrounds it’s nice and I can imagine how nice it could be with a new playground!
Available business space
Ace Hardware
Fairgrounds, Creamery Arts, and basically the occupied spaces. J and M Plumbing is a beautiful first building I see when I enter town. I would love to see the weeds pulled and windows cleaned and pride shown so that our locals would support it!
Restaurants
The Creamery Arts Center and adjoining open space.
creamery, post office, library
The Post Office, Farm Runners
Creamery, farmers market. We have been to PJ’s several times. Other restaurants less frequent but have gone. Ace almost weekly.
The creamery art center
Ace Hardware, Farm Runners,
PJ’s Pub, Gamble’s Ace, the post office
The Creamery and its little park. The old brick buildings. The new bike racks and benches.
Ace hardware has just about anything you need.
Medical access, eye glasses and exams, restaurants (though we could use a few more).
The mix of businesses, also the unique character that is not chain franchises and that it doesn’t look like every strip development on every highway in America. This should be one of the things that is promoted by the powers that be in the town.
Restaurants
The Creamery and that is about it. Unfortunately way to many closed buildings, nothing to really make people want to stay right now. It is basically a drive through town and stop at City Market town to pick up groceries.
The creamery and their yard, farmers market. Ace hardware
The Creamery open space, our beautiful library, the small businesses that line our main street
The existing stores, the fairground park is kind of cute
The restaurants - PJ’s Pub, Pat’s, 133 and Zack’s, Farm Runners, our fairgrounds with frisbee golf. Historic homes, our library.
Creamery, pocket park next to the Creamery, PJ’s restaurant.
Creamery, farmers’ market
I live that its small and all local businesses
Closeness to the Library, Town Hall, Memorial Hall. The Park Benches on Bridge Street. They are original pieces of art as well as functional.
Creamery Arts Center. The centrally located post office and nearby Memorial Hal and library. The used book store.
**Art**
- murals
- The planters, murals, seasonal decorations in the Ace Hardware yard. Would love to see the Coyote drive in either reopened as a restaurant or a regular recurring flea market site
- Stupid pink elephants
- The trees, flowers, and nice restored buildings
- I like trees on the sidewalks. We don’t hang out in town much because there is nowhere to hang out at. I love the community billboard, and the planters, but there could be more.
- Flower boxes, friendly people.
- Planters, library, pocket park, farmers market
- Current Sculptures
- Flower planters on the sidewalk
- Entrance to PJs wrought iron and decoration and facade. Creamery art and porch.
- Benches
**History**
- Old buildings, crosswalk flags, book store, hardware store
- Fairgrounds, pocket parks (when improved), historic buildings, general feel of the Hotchkiss Hotel/Creamery block, the potential for improvement
- Historic buildings, Street facing west frames in Mount Lamborn
- historic buildings
- The older buildings.
- Historic building backdrop.
- The history and the historical spots
- The historic brick buildings.
- The old buildings and historic locations
- History, kind people
- The old town feel
- Historic and unique buildings
- old buildings, murals
- History
- The well preserved historical buildings.
- Love the historical buildings
Parks/Natural Beauty
Trees, seats
The Creamery building and park is nice.
The small pocket sized park near the bank. The elephant statue.
The friendly faces.
The flowers.
Fairgrounds park/ shade trees
The park and ball fields.
Views to the mountains, access to river
Walkability
I can walk to different establishments. The few but present bike racks. Increasing art.
Reasonably easy to walk but there are some real scary gaps.
I live downtown and I love how easy it is for me to walk to the clinic, walk to the post office, walk to Ace hardware etc.
That you can walk everywhere.
It is easily accessible for most people.
Good sidewalks. A few nice decorative pieces of art (including metal bike racks, and sculpture). Nice, older buildings (some could use a little TLC).
Convenient to walk around from business to business.
That it is locals walking around getting errands done. It is quite. That there are little poke throughs to short cut, like the way through near Shade Scapes.
Parking
Parking
Parking is easy to find and the streets are wide.
Ease of parking
Easy parking,
Parking and key businesses along bridge street.
There is lots of easy parking
Overall, people appreciate the unique local businesses, such as The Creamery, Farm Runners, and the local farmer’s market. Downtown Hotchkiss has a lot to offer and those surveyed hope to see more in the future. They also enjoy the small size, making it easy to walk and park in the Downtown core. There is a strong sense of community in Hotchkiss and many people would like to highlight and preserve the historic western feel of the town.
Q19: What do you think could improve your experience in downtown Hotchkiss?
| Category | Percentage |
|-----------------------------------------------|------------|
| Restaurants | 160 |
| General retail/shopping | 120 |
| Locally made goods (clothing, recreational equipment, etc) | 120 |
| Food store for local food products | 110 |
| Entertainment | 90 |
| Arts & crafts making and sales | 80 |
| Drinking establishment | 60 |
| Professional services | 50 |
| Visitor-oriented retail and services | 40 |
| Lodging/overnight accommodations | 30 |
| Other (Please Specify) | 20 |
**Potential design elements**
- Water play structures
- Give people a reason to linger. Make them want to be in downtown not just stop in for their immediate needs.
- Landscaping, art, trees
- Fix the roads
- More downtown businesses.
- Water feature for kids
- Put a stop light in make it easier to cross and easier for people to park
- More holiday decorations on street lights and elaborate flower decor like Delta has during the summer months.
- Need more trees.
- Specifically improve parking at 2nd and Bridge street. It is nearly impossible to see oncoming traffic without going into traffic lanes. It is not much better at Stop and Save, especially if people have parked along the front of their parking lot close to Bridge Street.
- We need more businesses that will get people out of their houses.
- Encouraging food trucks. It's a practical way to improve dining options without the overhead of rent.
- Overall, it's a great downtown. I'd hate for the nature of it to change too much. But making it safer and less rundown looking would be great!
- Make the visibility better for drivers trying to enter Bridge street from the side streets. Extend the center turn lane further to the west.
- Vintage street lamps
- Bring in business and give tourists a reason to visit. It's beautiful here and there is no reason we shouldn't have MORE tourists. Having an ordinance for those living in town to keep trash and yards cleaned up would help bring more appeal.
- A central site for local happenings/info about upcoming attractions and events, more banners promoting the local events and businesses.
- Visibility entering 92 from side streets especially at bank and post office, Elks Lodge and Carquest.
- Fewer empty businesses.
- Lite, business, child friendly or just friendly in general. Candy shop, variety shops. Something besides grocery store and home. Better playgrounds for the kids.
- We already have info kiosks and they are neglected.
- More businesses to fill empty store fronts. We've had a drive in restaurant empty for like over 20 years. Maybe give cheap loans and low tax incentives so people can start businesses.
- We really just need more retail shops and specifically things that are fun and colorful.
Appendix B | Survey Results
Section Overview: Placemaking
Placemaking brings people and communities together to re-imagine and reinvent public spaces - strengthening the connection between people in places they share. It’s really quite simple: Placemaking at its heart is all about making great places in order to build a great community and a great economy. Placemaking facilitates creative patterns of activities and connections (cultural, economic, social, ecological) that define a place and support its ongoing evolution.
The following survey section focuses on amenities and elements that can improve placemaking experiences along the streetscape, help with safer crossings, activate spaces, and bring more green elements to the street.
Highest rated elements are ranked in 1st place, and had the highest amount of survey choices. From there, elements follow in popularity from 2nd place, to 3rd place and so on, based on total survey choices.
Appendix B | Survey Results
RESULTS: STREETSCAPE AMENITIES
1st Lighting
2nd Active Spaces
3rd Pocket Parks
4th DIY Trash & Recycle Bins
5th Parklets
6th Bike Racks
7th Information Kiosks
8th DIY Utility Wraps
9th Phone Charging
RESULTS: TREES AND LANDSCAPE
1st Shade Trees
2nd Flowers
3rd Shaded Seating
4th Raised Planter Seating
5th DIY Planters
6th Shade Canopy
7th Rain Gardens
8th Edible/Demonstration Plantings
Q7: Do you have any other ideas to share about how to Improve the overall experience along Bridge Street Corridor?
beautiful, downtown, nice, space, old, good, shop, feel, love, change, empty, pedestrian, highway, crossing, small, don't, food, parking, idea, place, look, tree, friendly, bike, restaurant, attractive
business, bridge, street, hotchkiss, town, make, area, people, drive, great, access, encourage
traffic, park, lot, tree, friendly, bike, restaurant, attractive
Businesses, Beautification, Traffic
Bring in Businesses
Some type of brewery, place to gather that would be popular/inclusive of all people in the area.
Candy store, it seems as though every candy store is on fire or went empty or vacant. Something needs to be done to make it affordable for small retail businesses or food/restaurants can survive here. For people to linger in a downtown area they need multiple shops to patronize. If there isn't a restaurant nearby, you will find that once people are likely to eat and leave or just drive through and wait for the next town. Investing in signage for businesses might help as well. What is drawing people to stop?
Need to attract business to empty business spaces. Could the parking lot next to Coyote be developed for community gathering.
Please fix the pothole in front of the former Robert's Gas Station building westbound.
Walking not biking paths connecting downtown to recircage family walking traffic between wilton heights, town fair grounds park, river access and crossroads rec district. The bigger it is having more to walk to town to do and see. Kids play/art structures like in downtown pittsburgh. More public green space for exercise or gathering. More benches or gathering areas needed for the summer months. Angled parking.
My two main issues with downtown Hotchkiss (traffic, crime, traffic, 1) Crossing streets at night only can be a challenge especially for seniors. I would address any issue I would be safer street crossings. This is my primary hindrance to spending leisurely time downtown. 2) There are times that making a left turn to Bridge Street is stressful. Sight lines can be blocked by parked cars and the volume of traffic can make lane changes slow at times. A few ideas that I can throw out since I don't have to worry about money or space right now: make downtown more walkable and inviting that connect downtown to the new river access, fairgrounds and the bike trail near HHR. As part of that how about an elevated pedestrian/bike bridge over Bridge Street. This could be done with a grant from the county. I recently read things that very suggested above. While I am dreaming, I think what is really missing is a great place to relax, get food and drink and just hang out for a while with a beautiful view of the mountains while my kids are biking, playing frisbee golf, hanging out at the river.
Find ways to bring more businesses into Hotchkiss. More businesses = more foot traffic = more income for businesses = more tax dollars.
Put more parks with concerts and events in the riverfront to be...
Have local businesses sponsor the buskers to thrive. Highlighting the area's legacy and its history in a must.
Bring back Drive In either local stores.
There are some attractive businesses in Hotchkiss but my overall opinion is that it needs that. Brighten it up but not with bright street paint like they did in Pena. Hotchkiss looks dead and unattractive. No one wants to hang out there except for the creamery area. It should be more attractive and inviting. Instead people see vacant lots and ugly storefronts with signs like Jesus 2020. Take my guests to the creamery, the two nice restaurants (pre-covid and then heatlcoast), Rosalia. I am a resident of Hotchkiss, Colorado born and raised. I just moved to town in 2019. I am a retired teacher. I am starting to realize all the negative remarks I heard about the proposed changes to Rosalia. It's a small town person who lives north of town. I just love the idea of getting out of Hotchkiss.
Get service businesses; not tourist, in the empty buildings.
More businesses to rent like farmers.
Attractively drive-in story, instead of strip with weekly deals, sit-up design such as Jay Creek, return to Gateway, and/or general made in palace with chateau and suites where people want to stay, shop, and relax. A chocolate shop such as Oren's Le Chocolat. Fill up some of those empty storefronts and get the paper off the windows. I said old Edwards Jones, a beautiful building which should be showcased. The Skip Shop could have several businesses let us do the antique shop as well as a boutique but also a Cycle restaurant. Agape took it Fairy Queen/Blizzard.
I feel that there is a cycle of the downtown businesses opening their location and then in turn disappears relocation to the downtown which makes it tougher for businesses to remain. I recently read more diversity downtown and I think that infrastructure and maintenance is key to help set the stage for a more livable/economic environment. Like the idea of nicer space paved with retail. While I acknowledge the value of professional offices, I think they are taking up more space in the downtown core than it would be optimal for encouraging traffic to stop and shop. Not much can be done about that but retail has declined without retail, people just don't stop as much. I would love to see the Town Shops owned by area profit that wouldn't revolve maker or other retail space to support our creative economy. I would love to see the Town Shops owned by area profit that would be a great place to shop and eat. I would love to see the Fairgrounds park, somehow become a more important resource to the Town with better connecting infrastructure (sidewalks) and signage. Public parking would be a huge plus and the fair and their downtown (and maintenance) of parking lot would be another huge plus. Better connecting infrastructure (sidewalks) east of the care (between Highway Intersection and the new fairgrounds) and area to bridge. Would love to see the ability to hang/event banners over the highway at west end of town and replace Highway lighting with pedestrian safe lighting.
Clean up properties that are not being utilized. Coyote leaked our downtown dead. We need more businesses
Breweries, restaurants, etc.
More businesses is the only thing that would help.
Can the owner of the old City Hall /Drive In get it updated/restoried. It's been a key icon for >20+ years.
A pop up eating locations
This is all wrong places we encourage traffic to be in our downtown area. The solution would be: 1) Make commercial property taxes to encourage new businesses.
A great thing that would draw a lot of traffic from downtown to the High School and promenade. Information kiosk downtown off the trails and facilities off there. Downtown Hotchkiss is more influential than water tubing and inter-cooling. All the empty buildings make it look a bit abandoned, not very inviting. It's hard to imagine making it more inviting without filling in the empty businesses, so incentives and ideas are quandranging that aspect of the town would be a good step forward.
Encouraging new businesses to open, perhaps with incentives such as low interest business loans, lower business rents and definitely a small business mentoring program. Also more of a robust local campaign. Paving the lot by the museum and better landscaping for the Century area. The Century is such a great downtown asset and needs to be highlighted. Existing successful businesses absolutely crucial and to provide more curb appeal in their individual businesses. Our climate must be kept in mind for any new plantings on Route 54, as well as the rest of the downtown. As a local garden designer/Architect, I would suggest using the City of Crested Butte's (2016-05) "Planting Guide for the Town of Hotchkiss".
Yes I don't think this town has the budget for all the fancy crap without having huge upcuts and taxes being added. It's going to need a lift to be more area compliant, street crossing signs and flashers and maybe a few planters and tear out the old drive up and put in a small park or some sort there. Everything I didn't select I feel costs a lot of money and I needed. More benches would be nice and something to settle a picnic pocket would be nice.
Get more businesses to open.
Lower taxes to bring back business and don't try to Democrat up hotchkiss
Get business fill empty storefronts. You need marketing and carpet ledistry to bring more traffic. What's the draw of Hotchkiss? Where do people stay? You can do all this beautification, but it doesn't mean a thing if you can't afford the upkeep.
Bridge street needs real handicap parking. I've seen several instances of handicapped people in three street trying to push a wheelchair due to foot litter, damage and inclines that are too steep.
More restaurants or food truck access. Make the area less of a concrete desert and more of a welcoming and pedestrian/friendly place. More street events, evening events to attract business to the town center.
It needs to come alive at night. Driving through Hotchkiss at 8pm on a Friday or Saturday the town seems shut down and dead. Very few businesses opened, no one out and about just seems like a very dead town when one drives through Bridge street and there is nothing one can do.
other than a lack of vibrant and useful businesses (economic issue, not a street issue), the actual street itself is not too bad. Of all the towns in the NF, Bridge St. is the nicest.
Businesses, cheer, less doom and gloom.
More business to encourage pedestrians down the street.
Encourage businesses to add patio to help them with outdoor seating.
Use of old, empty buildings would be great.
Hotchkiss is unfortunately a drive through town, so many empty buildings. There is nothing to draw people in and have them want to stay. There needs to be a true vision for the future otherwise it will just turn into a dying town like so many other western towns.
Open more businesses!
Decrease taxes to draw business that will maintain and beautify their own properties
A solution to all the empty storefronts, vacant and rundown buildings would help revitalize our downtown. Right now, I don't personally feel drawn to downtown. Maybe more family type businesses - pottery painting, arcade, paint and sip, Clothing shops. We
Grants to property owners to update/maintain front facing properties.
Make it natural and beautiful - not loud colors or crazy art and sculptures. We are a beautiful country town. Keep it that way
Good sidewalk and trail connections to parks and open spaces, especially the trails at the high school, access to the river, etc!
Storefront beautification
Refresh and redo the artwork outside some of the buildings. One specific one is the old subway building with the spray painted bulldog needs refreshed and redone.
Maybe some changes to the bridge, maybe paintings that the school kids could do. Dress it up.
It needs updates while keeping it historical as well
Old west style. Why modern? Check out Jackson Hole Wyoming and its rustic, old west style that people love. Majority of cities/towns are modern style. Do something that reflects the west
Trees and sculptures are my two biggest
A public park on main street with good shade. Something like the space at the creamery but maybe a little larger with seating or picnic tables.
More color flags street lighting should learn from Cedaredge get people to stop have stores worth going into
Hotchkiss is a historic town so it would be interesting to see additions related to fruit growing and distribution and possibly rail related items.
Replacement of American flags as they become frayed.
Hotchkiss looks like a dirty, neglected old town at the moment. If it looks better, it will probably be kept up. I tend to go to Cedaredge downtown instead just because it looks so much nicer.
Face-lift on all the building. Pave the street.
Explanation signs on historic buildings, utilizing side streets & attempting to include the improvements at least a block deep as to not make it look too much of a facade, parking
More color, disability friendly.
Just do something to show the people that people care and there is something being done, the benches were a good small start. Acquire the empty lot on 2nd make a park. Just get something going. If the street always looks the same, no one is interested. Have Gamble actually put something in front of their ugly fenced inventory yard. A long wooden bench with flower spaces. Anything would be helpful. Doing nothing just makes people drive on by, you can meet and meet and meet....no progress when you sit and talk and don't take action.
We definitely need more reasons for people to stop in Hotchkiss. I think this can be done by using art, more pedestrian friendly traffic flow (traffic rarely stops for people in crosswalks). I love the idea of having more little parks!
First and foremost - clean up! Get rid of old buildings and disallow trash and cheap pole barn and clapboard type buildings. More trees and greenery! Maybe a couple traffic circles, Make things more interesting and inviting.
Please help beautifully change Hotchkiss
Modernization
Basically, there's a few simple things that can be done to make downtown more attractive/outdoor friendly - but don't go nuts and change the atmosphere of the town. We're moving here Thursday from Loveland (and New Jersey before that) -- and what I wanted to say to the town fathers of Loveland 15 years ago (with pictures of Wayne, NJ) I'm gonna say to you: DON'T LET THIS HAPPEN TO YOU. Make things nicer, sure, but don't give in to "progress."
We just need to liven up downtown. Something like Telluride Main Street would be perfect!
Better informational signage at entrances and at appropriate location along the corridor, directing visitors to amenities (museum, library, arts center, etc., information. Color would be nice. The feel of the corridor with a couple exceptions is pretty bland.
Many people think cleaning up and beautifying the downtown core will help improve the overall experience downtown. Improving storefronts and adding unique art and historic features seem to be priorities for the town.
Relocate I HWY 92
Traffic calming/slowing techniques
Mostly the crosswalks... As Bridge St is a state highway it is difficult for tourists to appreciate the slower traffic with so little to invite them to sit back, relax and enjoy. While there is a very small window of opportunity to allow their transition from 'movin' on down the highway' to 'let's spend a minute on lunch' we need to do a great job of window dressing!
Get rid of old stagnant attitudes. Take I HWY 92 another way.
Needs more shade. Needs ways to deal with loud noise from truck traffic.
Yes please fix and repave streets. Need stop light by post office since that is a high traffic area.
Leave it the way it is just fix the pedestrian crossing
Add roundabout instead of stoplight to help with traffic
Since this is a major state highway, we should not do anything to interrupt the traffic flow through town.
Pave the street. It is really horrible to drive it and crossing the street in some areas is downright hazardous.
Improve the hwy 92 and 133 intersection. As traffic increases and at large events at the fairgrounds this is a major choke point. The little blue hwy 50 detour will pack this intersection. Look at somehow improving this intersection and into the fairgrounds on south 4th.
Please don't put any more trees or planters near intersections. They may look pleasant, but the block the view of oncoming traffic and are very dangerous
make a safe zone for skateboarders and bikers to ride
Redirect highway traffic off Bridge St to an alternative route, such as Hotchkiss Ave
No, none of this makes any sense. There is not enough room for traffic now and you want to clutter it up more making it even more dangerous. There are laws about crosswalks and reason why there is laws. There is no room along the sidewalks to be ADA compliant to put in seating along side the sidewalks. Remove the buildings and then make your street wider and sidewalks wider to accommodate your changes.
We need traffic calming. Because it's a State Highway we are limited in what can happen. Perhaps realigning lanes and safer pedestrian crossings.
Re-route the Highway honestly... Bridge Street is unwelcoming because a major regional thoroughfare cuts right down the middle.... Otherwise, create traffic calming mechanisms. I always feel like I'm going to get killed crossing Bridge Street.
The corridor needs to be more foot traffic friendly and have reasons for people to want to stop and walk around. The vehicle traffic needs to be slowed down. The corridor also needs to be connected with Willow Heights, where many families live, to town via foot/bike/baby stroller path. And then the Crossroads/pool/high school area needs to be connected to the boat launch/river access and to Farm Runners/City Market and to the downtown corridor with similar paths. Then people have safe access to all of these places. People want to go participate, spend money, exercise and congregate if it feels safe and fun. Slowing down the traffic and making it family friendly to get around the town would make a HUGE improvement in the overall experience.
Hotchkiss is my home town I don't want it to look like aspen or Denver.... Until bicyclists start buying tags for their bikes we do not need bike lanes. Please no bike lanes
No Bike Lanes - Bikes need to follow the rules of the road or go somewhere else.
Accessibility and crossing safety as well as general street improvements were all comments that continued to appear throughout the survey. People hope to see safer crossings, better streets, and better access for people with disabilities.
Do you want to live in the past or present? Hard choice really.
Enforce mask wearing
We need to feel happy and blessed about where we live!
Love it pretty much as is. What a relief after living in metro Denver.
Really glad to see this survey, let’s make downtown Hotchkiss a beautiful and welcoming place for us and our visitors...
Keep it traditional, don’t try to modernize or upscale. It’s a small western town. Leave it alone. We aren’t the eastern slope.
Good luck, the town is dismal.
Affordable retail space and off street parking
Don’t turn our town into a Aspen.
Hotchkiss is my home town I don’t want it to look like aspen or Denver… Until bicyclists start buying tags for their bikes we do not need bike lanes. Please no bike lanes
No Bike Lanes - Bikes need to follow the rules of the road or go somewhere else.
Leave Hotchkiss alone! Leave it the way it is!
It’s great the way it is. I’ve noticed the added benches around town. Those brighten it up. This is a ranching rural community with people who enjoy simple lives. Why mess with that?
Someone has to maintain anything living and I notice that the existing planters are often neglected. We already have trees. I think pocket parks are a great idea.
Most of what you’ve shown is physically not possible to accomplish.
Moving forward, we will honor the historic small town feel of Hotchkiss while improving downtown access and amenities. Most people hope to see Hotchkiss celebrated through history, art, and local businesses while also providing active and functional spaces and amenities to encourage more people to come and stay downtown.
In this section of the survey, we wanted to know more about what makes Hotchkiss, Hotchkiss. The elements in this section are all related to different types of identity representation and unique ways to potentially showcase the town’s character. These results reflect a strong sense of history and local identity. The people of Hotchkiss care about the historical roots of the town and hope to see that history and character continuing to be preserved and showcased.
Like in the previous section, highest rated elements are ranked in 1st place because they had the highest amount of survey choices. From there, elements follow in popularity from 2nd place, to 3rd place and so on, based on total survey choices.
Appendix B | Survey Results
RESULTS: WAYFINDING & SIGNAGE
1st Points of Interest Signage
2nd Historic Signage
3rd Wayfinding Signage
4th Sculptural Signage
5th Ground Wayfinding
6th Wayfinding Murals
7th Temporary Signage
RESULTS: SENSE OF HISTORY
1st County Fair History
2nd Farm/Agriculture Tours
3rd Historic Sculpture
4th Local Details
5th Land Acknowledgement Monument
6th Repurposed Rail
7th Historic Walking Tours
8th Military Celebration
9th Remembrance Wall
Bar chart showing results for wayfinding and signage:
- Points of Interest Signage: 145
- Historic Signage: 102
- Wayfinding Signage: 100
- Sculptural Signage: 46
- Ground Wayfinding: 30
- Wayfinding Murals: 20
- Temporary Signage: 10
Bar chart showing results for sense of history:
- County Fair History: 128
- Farm/Agriculture Tours: 112
- Historic Sculpture: 98
- Local Details: 96
- Land Acknowledgement Monument: 92
- Repurposed Rail: 90
- Historic Walking Tours: 88
- Military Celebration: 82
- Remembrance Wall: 80
Q12: Do you have any other ideas to share about how to use the arts to tell our story- past, present and future?
We should do more horse sculptures.
We have the beginning of this already started with murals, pocket parks, flower boxes, benches and bike racks. There just needs to be more so there’s enough critical mass or cohesiveness that it feels less random. It’d be great to have green space or something more interesting around the coyote drive in and Robert’s gas station as well as less vacant store fronts. I had talked about doing art exhibits in vacant store fronts like they do in Helper, Utah. I haven’t had the time to make it happen but its an easy way to make the empty store fronts look nice and a fun way to have a walking art exhibit. Helper, Utah has done a nice job fixing up their downtown despite it not being thriving yet. Maybe a walking art exhibit of local artists to tell stories of past, present and future would be fun? Thank you for helping us do this!!!!
Metal art done by local artist would be preferred
Natural and beautiful. Not crazy colors or sculptures
Local is what it is all about. Any artistic enhancement should be done by local artists - it provides interest to visitors and place pride in locals residents.
There should be professional standards on the art; not all art that is in Hotchkiss looks good right now. Some of the art looks a little chintzy.
Public art ought to be a priority for Hotchkiss, so much of the town has no soul or character, it is simply concrete and storefronts that are lacking any warmth or interest. There is no reason to walk the town and see anything, there is nothing of interest on Bridge street.
Local art
Preserve the historic buildings. Create plaques with photography of the buildings in the past and tell a story.
Give recognition to the Utes who were thrown out of this land in order for it to be ours.
The empty Drive In could be made as an early diner with old time foods served as well as local specialties.
Keep promoting the Hotchkiss Museum! A lot of people don’t even know how informative and valuable it is to our community
I would like to see the Ute tribe honored.
The museum should have more draw. Need a way to make it a more visible to people. Signs?
at least pocket parks and sidewalk areas with historical figures, history of hotchkiss and the area
Please include some reference to our indigenous people. Hotchkiss and the whole valley was stolen from the Utes. I hate that we only celebrate the 100 years of history and not the WHOLE history
Overall, people appreciate the current pocket parks located in the downtown core, but hope to see them better utilized and maintained. Additional amenities could help to better activate these spaces and bring more people in as well as provide space for events and gatherings in the downtown core.
Q16: Where are some spaces along Bridge Street that would be good for placemaking?
History
Historic, small
Its lovely history and heritage
The history of the North Fork Valley makes Hotchkiss special. The people are the heart and soul.
Historic, all American type town.
History
History
It’s my home. It’s History. The people.
Old town charm
history
It’s a quaint main street and shouldn’t be overdone with too many new improvements to overpower its history and quietness.
It is one of the few remaining towns in the area that retains much of its historical western residents and sense of continuing community.
The fact that it is old and traditional
Tednecks and cowboys.
The county fair, historic buildings and agriculture. We aren’t a modern community or big city. Ag is big here and parking and access to businesses and making the sidewalks enjoyable to walk down.
Local character and history, agriculture and art
Historic
Small Size
I like that Hotchkiss is not Hip. It’s quiet and mellow. If there’s a way to make it inviting and interesting without making it “fancy” or flashy.
That it isn’t like other small towns… it’s quaint. Please don’t turn it into Carbondale.
It’s a great warm country town. Don’t change it to a loud colored city
Friendly, small town atmosphere.
small town, not fancy…we don’t need fancy decorations here.
It’s small enough to know the neighbors.
It’s size, which I like.
small town feel continues through the ups and downs of economy, basically is friendliest town around.
Small town vibe. Community oriented
Small town atmosphere. It is what I grew up and returned later in my working life. Having a hometown is hard to beat. I would like to see the small town feel remain but with a few updates.
We really are the crossroads of the North Fork Valley. Having a centrally located post office and bank and arts center that one can walk to from any area of town is special and key to the feel of our small mountain town. We are laid back and relaxed.
I like that Hotchkiss feels like a mellow mixture of western Colorado people. Hotchkiss is utilitarian in that City Market, the Annex, The Creamery, the pool, the bike trails, etc but it’s not as big as Delta or as hipster/expensive as Paonia but bigger than Crawford. It’s a central location to the county while maintaining a small town feel. And real! The residents seem more varied in age than Cidaredge.
The heart and soul of the Hotchkiss community is the people. Highlighting the friendliest town around is a start. What makes it inviting? Aesthetics are a start but also a need for businesses on Bridge street that invite people in to visit, that invite people to learn about the people that make it that Friendliest town around.
Location where people of different walks of life can come together to collaborate. Ranching history. Lite history. Creatives. Common goal is community.
That most folks know each other
Its people. Need places and reasons for locals to gather.
Our schools, children, families, which speaks to the need of a teen activity center. Many teens are traveling to Montrose to bow!
Downtown can be a nice place to bump into locals - but could be much better at providing such opportunities. I’ll be honest that the “Friendliest Town Around” tag can be a liability when people’s expectations are not met. I hear about this repeatedly. I think Hotchkiss is generally friendly, but I think the tag was not well considered. I’m sure we would feel friendlier if we had more places to eat out and visit with one another (downtown improvement can be a big plus for this). Paonia has a much better developed pedestrian culture, however, there is so much polarization there that it can be off-putting. Hotchkiss shines here. I think as a Town we are pretty centrist and generally accepting. Hippies and cowboys mingle without much obvious acrimony… so, we may not have the most developed public space (yet), but our social bones are better than our neighbors. I think (always my personal mission) that so long as a town’s institutions (Town government, Chamber, civic organizations) remain inclusive and attempt to represent the spectrum of the community, you end up with a better place to live. Hotchkiss is pretty centrist and I hope it always stays that way.
The people. The beautiful climate and location. The people.
Friendly people
The friendly people and views
Welcoming & Considerate of all visitors
Farmers and ranchers our crop businesses friendly people keeping true to us we are not Boulder or California and art is not everything we don’t highlight our outlying businesses ELA™S, LE ROUX CREEK FOODS, PRINCESS BEEF just to name a few.
The people, agriculture, the history, the mesas.
People are friendly but do not want large scale changes from what we now have or had in the past.
I grew up there. Friendly people. More people are coming in and taking away the historical context
Hotchkiss is special because of it's small knit community, the heart and soul is the kids and age.
The people and it's history. Right now, it's merely a place you have to slow down to go through. It has much potential and could be a destination with festivals, farmer's markets and craft fairs, as well as events showcasing the products unique to the NF Valley. Paonia has Harvest festival and the wine events, as well as Cherry days, there's no reason that dates note competing or that are complementary couldn't be hosted and more business and traffic be brought to Hotchkiss. The Sheepdog trails are a great example but it needs much more promotion from the Chamber and the town itself.
Friendly. Community. Small town atmosphere.
the people
That, mostly, we are friendly town.
Hotchkiss has always had a welcoming and friendly feel to it. Small businesses contribute to the feel of at home, corporate enterprises, even tho they employ local people, seem to diminish the heart and soul of the community feeling.
coming together
It is a nice small community but there really isn't any heart and soul downtown.
The small town charm, with progressive people who want to improve it without losing the intimate small community.
It is where the community comes. It is not a down town for tourist. Lets build it for the community to use. Kids to sit in parklets after school. Think locals not tourist.
Great businesses that need cohesiveness... also include businesses around the corner... Yoga Tree, Wellspring Vitality, Laundromat, Farm Runners. These should be considered a part of the Main Street. Lots of wellness/medical offerings for such a small town. Why not play Hotchkiss up and a healing destination and develop space for that purpose... CBD store, natural practitioners, working together on retreats, etc. Bringing in health & wellness tourism.
It’s the center of the north fork. It’s a fair and Rodeo!
The local businesses that are still alive
Unsure. The Creamery and potential park associated with the building.
Not much honestly. Farm Runners, Acc City Market. The fairgrounds are nice and the new water access is nice. Pocket parks could be a game changer. More thriving businesses.
There is no heart and soul of hotchkiss we our working community. We need businesses that are useful
Hotchkiss used to be known for its antique shops and cute downtown area. It’s what drew us here to begin with. Unfortunately, the downtown area has dried up. No more antiques or boutique shops like The Rose or The Trout Shop. I love the quiet of Hotchkiss, but would prefer more activities to do downtown so I don’t have to go to outlying towns.
Access to a variety of outdoor activities.
The North Fork river and boat ramp. A river park would be nice. A bike trail to Paonia. Play up the clean air, clean water, organic food (and keep them available).
The surrounding natural beauty - make Hotchkiss a gateway to that where people want to rest and resupply before and/or after those experiences. Also agriculture.
Nothing much... I see Hotchkiss as a crossroads. It's unpretentious. It's real, it's utilitarian. The river is really the special part of Hotchkiss. I want to see an investment in the river front - park, trail, bridge. Also I would love to see more way finding to help people ride bikes/scenic drives. The scenery around the community on the Mesas and out toward Crawford is really what draws people here... not the downtown
The beauty and sanctuary/serenity of this little slice of heaven.
Agriculture, our schools, and sense of family of a small community. We need to use our resources to be sustainable without trying to depend on tourism.
farmers and ranchers and coal miners. Western values slower pace, no frills.
It is a farming community that's special in its own.
Agriculture, Art, Frontier
Farming and ranching
Organic farms and art.
Community: agriculture, sports, family
Acchar dwarfs is a key aspect of downtown Hotchkiss. They provide essential supplies for the area and have a great staff and the store is a pleasure to shop in. Farm Runners adds a really nice component that has been missing promoting local agriculture. Hotchkiss is nice in part because it is more utilitarian and practical. It is a small town and doesn't come across as trying to be a tourist stop, just a place for locals to get the basics. I like that there are minimal chain stores.
The mix of arts and agriculture.
Agriculture
Farming, local produce and animal products, local wineries, and Delta County Fair.
Farming, agriculture, county fair
Farming & Agriculture
Agriculture
Agriculture/ranching. The community is pretty dispersed but everyone has to come to town to shop and do business. Main Street in Paonia is much more social and welcoming than Hotchkiss.
Friendliness and agriculture
Hotchkiss is special as a cow town, agricultural, Gold medal fishing rivers and hunting.
Just how it is, so leave it alone
artistic quality
Again... A Rest, Relax and Rejuvenation Situation.
It has stayed true to it's roots
Honestly, I feel like over the last decade or so since the mining industry has suffered so much, we have lost our heart and soul. Not it is just a place we have to go when we need to do things like get mail, go to the bank, or buy some hardware.
Arts and music
Nothing really. It falling behind on everything that has to do with tourism.
The museum that is never open, the old buildings. Charm that is no longer here.
Honestly, Hotchkiss is depressing. The buildings don't look visually appealing, the town turns into a ghost town after 5pm. It would be great to highlight the small town cars this area could have. I would like to see something more modern than country and farmer.
traditional, friendly, yet artsy -- these CAN co-exist without getting pretentious or reactionary
It's old and run down. The streets are narrow and carry too much traffic. There is too many hidden areas and drivers cannot see possible dangers entering into the crosswalks or delivery trucks blocking the streets making deliveries. Art and colored lines will only cause further problems. If you want a better environment that invites and is safe, look at making the buildings and business set back and open up spaces. Look at the Bank of Colorado and how it opens up the area, and yet it is prettier and safer for pedestrians and the traffic.
It is normal, not trying to change everything
ARTS CENTER PARK
Introduction
Hotchkiss has begun working with the University Technical Assistance Program at the University of Colorado Denver and sponsored by the Department of Local Affairs to provide an update to previous downtown plans for Hotchkiss that reflect the community today and into the future. The opportunity to envision Bridge Street through town in a way that benefits the sense of place of Hotchkiss will benefit current and future generations by clearly presenting an environment that reflects the heart and soul of the community. The following survey aims to set the foundation of a placemaking plan that will be translated into design and aesthetic enhancements to Bridge Street and Downtown.
What is Placemaking?
Placemaking brings people and communities together to reimagine and reinvent public spaces—strengthening the connection between people in places they share. It’s really quite simple: Placemaking at its heart is all about making great places in order to build a great community and a great economy. Placemaking facilitates creative patterns of activities and connections (cultural, economic, social, ecological) that define a place and support its ongoing evolution.
Placemaking is how we collectively shape our public realm to maximize shared value!
Improve the overall experience along the Bridge Street Corridor!
1. How does downtown Hotchkiss make you feel? (select all that apply)
- Inspired
- Creative
- Safe
- Welcomed
- Neutral
- Solemn
- Calm
- Happy
- Nothing in particular
- Anxious
2. What words would you use to describe Downtown Hotchkiss? (select all that apply)
Creative
- Traditional
- Historic
- Innovative
- Welcoming
- Up-and-coming
- Lacking
- Inspiring
- Unpleasant
- Unpopular
- Non-traditional
- Essential
- Friendly
The following images from other placemaking projects and are meant to give you ideas for Hotchkiss. Can you imagine any of this in Hotchkiss?
3. The above images show some ideas around **Streetscape Improvements**. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- A1 - Lane narrowing
- A2 - Outdoor seating
- A3 - Seating & Landscape
- A4 - Pedestrian crossings
- A5 - Bike lanes
- A6 - Bump outs
- A7 - Pavement Patterns
- A8 - Gateway Treatments
- A9 - Street Trees
- A10 - Pedestrian Scale Lighting
- A11 - Public Art & Sculpture
4. The above images show some ideas around **Safer Crossings**. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- B1 - Buffered crossings
- B2 - Bollards
- B3 - ADA ramps
- B4 - Painted corners
- B5 - Painted crosswalks
- B6 - Colored (solid) crosswalks
- B7 - Speed humps/speed tables
- B8 - Medians and refuge islands
- B9 - Flashing lights/inlaid lights
5. The above images show some ideas around Trees and Landscape. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- C1 - Flowers
- C2 - DIY planters
- C3 - Shade trees
- C4 - Rain gardens
- C5 - Shade canopy
- C6 - Shaded seating
- C7 - Raised planter seating
- C8 - Edible/Demonstration Plantings
6. The above images show some ideas around Streetscape Amenities. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- D1 - Active spaces
- D2 - Bike racks
- D3 - Lighting
- D4 - Pocket parks
- D5 - Phone charging
- D6 - Parklets
- D7 - Information Kiosks
- D8 - DIY Trash and Recycle Bins
- D9 - DIY Utility Wraps
7. Do you have any other ideas to share about how to improve the Overall experience along Bridge Street Corridor? (Write answer below)
Use the arts to tell the Story of Hotchkiss - past, present, and future.
The following images are meant to inspire opportunity for what could be in Hotchkiss. Can you imagine any of this in Hotchkiss?
8. The above images show some ideas around **Murals**. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- E1 - Ground murals
- E2 - Building activation
- E3 - Historic murals
- E4 - Interactive murals
- E5 - Artist exhibits
- E6 - Pocket park murals
- E7 - Identity murals
9. The above images show some ideas around **Public Art and Sculpture**. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- F1 - Lighted sculpture
- F2 - Interactive play
- F3 - Local sculpture
- F4 - Identity sculpture
- F5 - Free little library
- F6 - Music/Performance
- F7 - Light pole art
10. The above images show some ideas around **Wayfinding and Signage**. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- G1 - Temporary signage
- G2 - Historic signage
- G3 - Wayfinding signage
- G4 - Ground wayfinding
- G5 - Sculptural signage
- G6 - Points of Interest signage
- G7 - Wayfinding murals
11. The above images show some ideas around **Sense of History**. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- H1 - Historic Walking Tours
- H2 - Historic sculpture
- H3 - Repurposed rail
- H4 - Local details
- H5 - Remembrance Wall
- H6 - Military Celebration
- H7 - Farm/Agriculture tours
- H8 - Land Acknowledgment Mc
- H9 - County Fair History
12. Do you have any other ideas to share about how to use the arts to tell our story—past, present and future? (Write answer below)
Utilizing Pocket Parks to activate downtown and create vibrant centers of community space.
The map below shows the downtown core in Hotchkiss. Let us know with these two identified pocket park locations what you think could be done to improve them!
13. There are a few opportunities along Bridge Street for pocket parks. The above images show ideas for use. What would you use a pocket park for? (Select All That Apply)
- I1 - Lunch break
- I2 - Meeting place
- I3 - Dog rest
- I4 - Green Space
- I5 - Farmer’s Market
- I6 - Small event area
14. The above images show some ideas around Pocket Park Amenities. Which of these images might be an idea to explore in Hotchkiss? (Select All that Apply)
- J1 - Seating
- J2 - Shade Trees
- J3 - Xeriscape
- J4 - Murals
- J5 - Sculpture
- J6 - Dog rest area
- J7 - Lighting
- J8 - Shade Structures
- J9 - Garden beds
- J10 - Outdoor fireplace
- J11 - Patio heaters
- J12 - Small play structure
15. Do you have other ideas to share to enhance these pocket park areas? (Write answer below)
16. Where are some spaces along Bridge Street that would be good for placemaking? Use ideas from the previous pages or share some of your own. (Write answer below)
17. What makes Hotchkiss Special? What is the heart and soul of your community? (Write answer below)
Overall Downtown Experience in Hotchkiss
The following questions will help us to understand your thoughts on the overall experience of Downtown and build off the responses you have provided so far. Navigate back to imagery in previous questions if needed to best respond!
18. What are things you love in downtown? (Write answer below)
19. What do you think could improve your experience in downtown Hotchkiss? (Select all that apply)
- More Entertainment businesses (restaurants, drinking establishments, etc.)
- Availability of locally made goods (clothing, recreational equipment, etc.)
- Connectivity to other areas
- Bike lanes, racks
- Wider sidewalks and landscaping
- Safer pedestrian crossings
- Expanded/improved parking
- Façade improvements
- Public art
- Better signage and gateways
- Greenspace downtown
- Downtown furnishings (benches, lighting)
- Improve alleys and quality/safety of streets
- Visitor information kiosks/signs
- Other (Please Specify): ____________________________________________
20. Are there specific spaces along Bridge Street that you feel could use improvement? How would you improve them? (Write answer below)
21. What types of businesses do you think you’d regularly support downtown? (Select all that apply)
☐ Restaurants
☐ Drinking establishment
☐ Locally made goods (clothing, recreational equipment, etc)
☐ Entertainment
☐ Professional services
☐ General retail/shopping
☐ Food store for local food products
☐ Visitor-oriented retail and services
☐ Lodging/overnight accommodations
☐ Arts & crafts making and sales
☐ Other (Please Specify): ____________________________________________
22. Do you have anything else you would like to share with us? (Write answer below)
UTA
UNIVERSITY TECHNICAL ASSISTANCE
CONTACT US
[email protected]
303-315-5890
MAILING ADDRESS
University Technical Assistance Program
College of Architecture and Planning
University of Colorado Denver
Campus Box 126 P.O. Box 173364
Denver, CO 80217-3364
|
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CREECH ST MICHAEL PARISH COUNCIL
Approved Minutes for the Meeting of Creech St Michael Parish Council held at
Creech St Michael Village Hall on Monday 4 March 2024 at 7pm
Councillor Attendance
| Cllr. Neil Davidson – Chair | ND | Present | Cllr. Paul Tucker | PT |
|---|---|---|---|---|
| Cllr. Adrian Birch | AB | Present | Cllr. Charlie Cudlip | CC |
| Cllr. Corinne Giles | CG | Present | Cllr. Stephen Greenhalgh | SG |
Also Present: Eight (8) members of the public (including one (1) via the Zoom stream), Cllr. Norman Cavill (Somerset Council) and Andrew Williams, Creech St Michael Parish Clerk and Responsible Financial Officer.
Meeting started at 7.00pm
approved minutes 04.03.2024.docx
Page 1
Approved by
3.0
To receive Somerset Council Councillors' Reports approved minutes 04.03.2024.docx
Approved by
approved minutes 04.03.2024.docx
Page 3
Approved by
Chair of the Meeting
Date 08.04.2024
approved minutes 04.03.2024.docx
Page 4
Approved by
The meeting ended at 8.56pm
[V] = Where a resolution (vote) is expected
Andrew Williams, CSM PC, Clerk and RFO, 07708 680797, email [email protected]
The next Creech St Michael (CSM) Parish Council meetings are on:
8 April 2024
at 7pm in the CSM Village Hall
Approved by
approved minutes 04.03.2024.docx
Approved by
Date 08.04.2024
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DX-80™ Analog Station User's Guide
Making a Call: Analog Ports (Single Line Telephones)
Dial #8
P7291 AEUG 11/02-2
1
Paging
Dial the Page access code 400, 401-408, or 777
Speed Dial
Setup
Dial #1 + speed # bin (470-489) + number to dial
Press FLASH (hookswitch flash).
Operation-Use
Dial the Speed Dial bin (470-489 or 500-699)
Setup: Analog Ports
Alarm - Extension
400, 401-408, or 777
Extension 470-489
System 500-699
#92
Operation - Activate
Dial #92 + hhmm (24hr format), + 1 for once, or 2 for repeated daily.
Operation - Cancel
Dial #*92
Automatic Selection/Prime Line
Setting Auto Selection To a Specific Line
Go Off-Hook
Dial #951 + Line Group Directory Number (9, or 800-806)
Confirmation Tone Heard
Go On-Hook
Setting Auto Selection For a Specific Line Group
Dial #951 + Line Group Directory Number (9, or 800-806)
Confirmation Tone Heard
Go On-Hook
Cancelling Auto Selection
Go Off-Hook
Hook Flash (receive intercom dial tone)
Dial #950 (confirmation tone heard)
Go On-Hook
2
P7291 AEUG 11/02-2
Call Forward - Extension
Operation - Activate
Call Forward may be activated for the following types of calls 1=CO calls only, 2=CO and Intercom calls, or
3= Intercom calls only
Immediate Forward: Dial #22 + ext number+type of call to forward Forward on Busy: Dial #21 + ext number+type of call to forward Forward on No Answer: Dial #24 + ext number+type of call to forward (1,2, or 3) + T 1 +T 2 . T 1 and T 2 are time settings. T 1 is the amount of time (in seconds), that the first call to your extension following inactivity, will ring before forwarding. T 2 is the amount of time (in seconds) that subsequent calls will ring before forwarding.
Follow Me Forward: From the new location, dial #23 + Your ext # + type of call to forward (1, 2, or 3) +your extension password.
Follow To Forward: From your extension, dial #25 + ext # + type of call to forward (1, 2, or 3).
Operation - Cancel Forward
Cancel Immediate Forward: dial #*22
Cancel Busy Forward: dial #*21
Cancel No Answer Forward: dial #*24
Cancel Follow Me Forward: dial #*23
Cancel Follow To Forward: dial #*25
Do Not Disturb
Dial #4. Repeat to clear
Extension Password
Dial #97 + old password (default=0000) + new password
Hotline
#4
#97
#9*
Operation - Setup
Dial #9* + ext # or speed bin # + 0-9 (delay time). Whenever the telephone is taken off-hook, this destination is called.
Operation - Cancel
Lift the handset, momentarily press the hookswitch (FLASH), then dial #*9*
Phone Lock/Unlock
#97
Dial #97 + extension password + # for lock or * for unlock.
Reset DND and Call Forward
Dial #69. DND and Call Forward modes are cancelled.
P7291 AEUG 11/02-2
#2
#69
3
In Progress Features: Analog Ports
Call Back - CO Line/Extension
#
When you try to access an outside line or extension and get a busy tone, dial #
Call Park Answer
#73
Dial #73 + extension number where call is parked
Call Pickup
Extension (Direct) Call Pickup:
Dial ringing extension number + 6
Group Call Pickup:
Dial *
or....
dial the group number of the ringing extension (440-447).
Camp On-Extension
When you call a busy extension, dial 4, and wait for them to answer.
Flash - CO Line
#3
While connected to a CO line, momentarily press the hook switch (FLASH), then dial #3.
Forced Intercom Tone Ring
*
When you call an extension that is in Voice Announce mode and wish to tone ring that extension, dial *.
4
P7291 AEUG 11/02-2
6, *, or 440 -447
4
Hold
Place a call on hold:
While on a call, press {FLASH} (hookswitch flash).
Hang up. The line is placed on System (Common) hold.
Retrieve a call on hold:
Press {FLASH} (hookswitch flash).
Intrusion - Extension/CO Line
When you dial an extension that is busy, dial 8.
Meet Me Page
While a page is currently in progress, dial # or #59.
Messaging - Call Me
{FLASH}
8
# or #59
#96
Set:
When you have called an extension and wish to leave a message, press #96.
Cancel:
Dial #*96, then the extension number where your message was previously left.
Monitor - Extension/CO Line {Privacy Alert}
When you dial an extension that is busy, dial 1. (Reference applicable laws when using this feature.)
OHVA - Extension
When you call a busy extension, dial 0 and talk over their speaker.
Pulse to DTMF Conversion
After a dial pulse (rotary dial) call is made on a CO line, press *. Any digits dialed following the * will be sent in DTMF (tone) mode.
Tone Ring Forced
When a digital speakerphone in Voice Announce mode is called, you can change the alert to tone by pressing *.
Transfer
While connected on a call (CO line or intercom extension), press {FLASH} (hookflash).
Listen for dial tone, then dial the destination where this call is to be trans- ferred (extension, UCD Group, Virtual Number, etc.) To screen the transfer, wait for the called extension to answer.
Hang up to complete the transfer.
P7291 AEUG 11/02-2
5
Notes:
6
P7291 AEUG 11/02-2
P7291 AEUG 11/02-2
DX-80
Analog Station User's Guide
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Coverdell Education Savings Account Application
A fund family of Everence
* Please call if you have any questions about filling out this application.
* Send this application, and if applicable, your check made payable to Everence Trust Company to:
Regular mail
Overnight mail
Praxis Mutual Funds c/o U.S. Bank Global Fund Services P.O. Box 701 Milwaukee, WI 53201-0701
Praxis Mutual Funds c/o U.S. Bank Global Fund Services 615 E. Michigan St., 3rd Floor Milwaukee, WI 53202-5207
* Annual administrative fee: $15. You can pay this fee in addition to your annual contribution prior to Dec. 1 to avoid an automatic deduction from your account. Make your check payable to Praxis Mutual Funds and indicate "Coverdell ESA Fee" on the check.
Important information about procedures for opening a new account
In compliance with the USA Patriot Act, all mutual funds are required to obtain the following information for all registered owners and all authorized individuals: full name, birth date, Social Security number and permanent street address. This information will be used to verify your true identity. We will return your application if any of this information is missing, and we may request additional information from you for verification purposes. In the rare event that we are unable to verify your identity, the Fund reserves the right to redeem your account as an age-appropriate distribution at the current day's net asset value.
1. Designated beneficiary (child) information
2. Responsible individual (parent or legal guardian of designated beneficiary)
2180404
1 *Note: The depositor must name only one responsible individual and the responsible individual must be the designated beneficiary's parent or legal guardian. In certain situations, the designated beneficiary could be the responsible individual (see Article V of the Custodial Agreement).
(Must be under age 18, unless special needs beneficiary.)
Name
First
middle
last
Residential address_ ____________________________________
Street
City
State
ZIP code
U.S. citizen Resident alien
Name
First
middle
last
Parent Guardian Other*
Residential address_ ____________________________________
Street
City
State
ZIP code
Mailing address (if different from residential address)
Street or P.O. Box
City
State
ZIP code
Social Security number__________________________________
Birth date_______________
U.S. citizen Resident alien
Email_________________________________________________
Mailing address (if different from residential address)
Street or P.O. Box
City
State
ZIP code
Social Security number_________________________________
Birth date____________________________________________
Telephone daytime ___________________________________
evening
The following two options will be added to your account. If you do not want these options, check the boxes below.
1. The responsible party wishes to continue to control the account after the account holder attains age of majority in his/her state in accordance with the terms described in the optional portion of Article V of the Coverdell Education Savings Account agreement.
The responsible party does not wish to control the account after age of majority.
2. The responsible party may change the beneficity designated under this agreement to another member of the designated beneficiary's family described in Article VI of the Coverdell Education Savings Account agreement.
The responsible party may not change the beneficiary.
(800) 977-2947
3. Depositor information
Individual establishing the account, if different than respon sible individual.
Name ________________________________________________
First
middle
last
Address_______________________________________________
Street
City
State
ZIP code
Social Security number _________________________________
Birth date ____________________________________________
State or country of residence _ __________________________
Telephonedaytime___________________________________ evening_ __________________________________
4. Initial investment
Contribution. Attach check made payable to Praxis Mutual Funds. Amount of check $________________________________
Rollover. Attach check made payable to Praxis Mutual Funds. Amount of check $_______________________________________
Account holder's CESA to account holder's CESA
Qualifying family member's CESA to account holder's CESA
Transfer from Coverdell Education Savings account. (Attach Coverdell Education Savings Account Transfer Request.)
Indicate the funds you are investing in. You may select more than one. Minimum initial investment – Genesis: $1,000; other: $2,000. See Section 6 for exceptions.
Tax
Fund selection
Amount
Percentage
year
Genesis Portfolios
Conservative (3171)
$
or
% _______
Balanced (3172)
$
or
% _______
Growth (3173)
$
or
% _______
Money Market Account* (3156)
$
or
% _______
Impact Bond Fund (3157)
$
or
% _______
Value Index Fund (3160)
$
or
% _______
Growth Index Fund (3162)
$
or
% _______
Small Cap Index Fund (3161)
$
or
% _______
International Index Fund (3163)
$
or
% _______
Annual administrative fee
$
Total
$
100 %
5. Investment selection
*See the Everence Money Market Account Fact Sheet for details.
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6. Automatic investment plan (AIP)
You can make investments automatically from your checking or savings account by completing the following information.
* Provide your bank information by completing Section 8
* The minimum purchase amount is $50 for Genesis Funds, $100 for other Funds
Please choose the day and frequency of your investment.
Day of investment
(1-28)
* Initial purchase can be made through Automatic Investment for Genesis Portfolios only
* Automatic investments will begin 7 business days after initial set-up
Amount
Genesis Portfolios
Conservative (3171)
$
Balanced (3172)
$
Growth (3173)
$
Money Market Account* (3156) $
Impact Bond Fund (3157)
$
Value Index Fund (3160)
$
Growth Index Fund (3162)
$
Small Cap Index Fund (3161) $
International Index Fund (3163) $
Total investment
$
Frequency
Semi-monthly
Monthly
Quarterly
Semi-annually
Annually
Starting month
By choosing Auto Invest Plan, I authorize Praxis Mutual Funds' transfer agent to charge the account mentioned above, and invest the monies into the Praxis fund(s) listed on the stated date(s). I will be responsible for assuring the monies are available in the designated bank account. I understand that if the day I selected falls on a weekend or holiday, the auto invest will be run the next business day.
Contributions made through this service are credited to the tax year in which contributions are made. Prior year contributions can be made by sending a check indicating the tax year for which the purchase is to be credited.
*See the Everence Money Market Account Fact Sheet for details.
8. Letter of intent
You can qualify for a reduced sales charge by making additional investments within a 13-month period.
I agree to the terms of the letter of intent set forth in the prospectus. Although I am not obligated to do so, I plan to invest over a 13-month period in shares of one or more of the above funds (except money market) an aggregate amount at least equal to that indicated below.
$50,000 $100,000 $250,000 $500,000 $1,000,000
Please note that all future purchases must refer to this letter of intent. See prospectus for details.
7. Rights of accumulation
Account owner, spouse and minor children (under age 21) living at the same address can aggregate accounts (excluding the Money Market Account) to reduce sales charges. Please refer to the prospectus for more information. The Social Security or account numbers for the accounts to be aggregated are as follows:
Fund
Account number
Social Security number
_________________________________________ _________________
_____________________
_________________________________________ _________________
_____________________
_________________________________________ _________________
_____________________
9. Telephone and internet options
Check if you do not want the ability to make telephone and/or internet purchases*, redemptions* or exchanges per the prospectus.
*You must provide bank instructions and a voided check or savings deposit slip in Section 10.
10. Bank information
Bank name____________________________________________
Address_______________________________________________
Bank street address (do not use P.O. Box)
City
State
ZIP code
Account holder name__________________________________
Bank routing/ABA number______________________________
Bank account number__________________________________
Savings (attach preprinted deposit slip)
Checking (attach voided check)
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11. E-delivery options
I would like to:
Receive prospectuses, annual reports and semi-annual reports electronically
Receive account statements electronically
Receive tastatements electronically
By selecting any of the above options, you agree to waive the physical delivery of the prospectus, fund reports, account statements, and/or tax statements. If you opt to receive information electronically, you will need to establish on-line access to your account, which you may do once your account has been established by visiting praxismutualfunds.com.
Please note, you must provide your email address in Section 2 to enroll in e-delivery.
12. Beneficiary designation
13. Householding
By signing this application, you authorize each Fund to send one copy of prospectuses and shareholder reports to multiple shareholders with the same last name and same address of record. This process, known as "householding," reduces the volume of mail you receive from the Funds. If you do not want to participate in householding and each shareholder wishes to receive his or her own copy of prospectuses and reports, please check the box below. If you or others in your household invest in the Funds through a broker or other financial institution, you may receive separate prospectuses and shareholder reports, regardless of whether or not you have consented to householding on your Praxis application.
I decline to participate in householding.
(Check the box only if you do not want your reports householded.)
I designate the individual(s) named below as the primary and contingent death beneficiaries of this account. If the Designated Beneficiary (Child) dies before the age of 30, the balance in the account shall be paid to the Primary Beneficiaries who survive the Child in equal shares (or in the specified shares, if indicated). If none of the Primary Beneficiaries survive the Child, the balance in the account shall be paid to the Contingent Beneficiaries who survive the Child in equal shares (or in the specified shares, if indicated). If no beneficiaries are named, the Child's estate is the beneficiary.
If the designated death beneficiary is a Family Member of the Child and is under the age of 30 at the Child's death, then the Family Member will become the Designated Beneficiary (Child) as of the date of death.
Primary beneficiary A:
Name_________________________________________________
Social Security number__________________________________
Address_______________________________________________
_______________________________________________
City
State
ZIP
Birth date_____________________________________________
Relationship
Share ________%
Primary beneficiary B:
Name_________________________________________________
Social Security number__________________________________
Address_______________________________________________
_______________________________________________
City
State
ZIP
Birth date_____________________________________________
Relationship
Share ________%
Contingent beneficiary A:
Name_________________________________________________
Social Security number__________________________________
Address_______________________________________________
_______________________________________________
City
State
ZIP
Birth date_____________________________________________
Relationship
Share ________%
Contingent beneficiary B:
Name_________________________________________________
Social Security number__________________________________
Address_______________________________________________
_______________________________________________
City
State
ZIP
Birth date_____________________________________________
Relationship
Share ________%
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14. Signature and taxpayer I.D. certification
* I have read and understand the Disclosure Statement and Custodial Ac count Agreement. I adopt the Praxis Mutual Funds (the "Fund") Custodial Account Agreement, as it may be revised from time to time and appoint the Custodian or its agent to perform those functions and appropriate ad ministrative services specified. I have received and read the prospectus for the Fund. I understand the Fund's objectives and policies and agree to be bound to the terms of the prospectus. Before I request an exchange, I will obtain the current prospectus for each Fund. I acknowledge and consent to the householding (i.e. consolidation of mailings) of documents such as prospectuses, shareholder reports, proxies and other similar documents. I may contact the Fund to revoke my consent. I agree to notify the Fund of any errors or discrepancies within 45 days after the date of the statement confirming a transaction. The statement will be deemed to be correct, and the Fund and its transfer agent shall not be liable if I fail to notify the Fund within such time period. I certify that I am of legal age and have legal capacity to make this purchase.
* I understand that the fees relating to my account may be collected by redeeming sufficient shares. The Custodian may change the fee schedule at any time.
* I understand my mutual fund account may be transferred to my state of residence if no activity occurs within my account during the inactivity period specified in my State's abandoned property laws.
* The Fund, its transfer agent, and any officers, directors, employees or agents of these entities (collectively "Praxis Mutual Funds") will not be responsible for banking system delays beyond their control. By completing the banking section of this application, I authorize my bank to honor all entries to my bank account initiated through U.S. Bank, NA, on behalf of the applicable Fund. Praxis Mutual Funds will not be liable for acting upon instructions believed to be genuine and in accordance with the proce dures described in the prospectus or the rules of the Automated Clearing House. When AIP or Telephone Purchase transactions are presented, sufficient collected funds must be in my account to pay them. I agree that my bank's treatment and rights to respect each entry shall be the same as
if it were signed by me personally. I agree that if any such entries are dis honored with good or sufficient cause, my bank shall be under no liability whatsoever. I further agree that any such authorization, unless previously terminated by my bank in writing, is to remain in effect until the Fund's transfer agent receives and has had a reasonable amount of time to act upon a written notice of revocation.
Under penalties of perjury, I certify that:
1. The number shown on this form is my correct taxpayer identi fication number, (or I am waiting for a number to be issued to me), and
2. I am not subject to backup withholding because: (a) I am exempt from backup withholding, or (b) I have not been noti fied by the Internal Revenue Service (IRS) that I am subject to backup withholding as a result of a failure to report all interest or dividends, or (c) the IRS has notified me that I am no longer subject to backup withholding, and
3. I am a U.S. citizen or other U.S. person (as defined in the Form W-9 instructions).
Cross out item 2 above if you have been notified by the IRS that you are currently subject to backup withholding because you have failed to report all interest and dividends on your tax return.
The Internal Revenue Service does not require your consent to any provision of this document other than the certifications required to avoid backup withholding.
SIGN
X____________________________________________________
Signature of depositor
Date
X____________________________________________________
Signature of responsible individual
Date
SIGN
15. Broker/dealer information (if applicable)
By designating a broker/dealer or financial advisor, I hereby authorize the Fund and its transfer agent to accept instructions from, and transmit information to, such designee concerning my account(s).
Registered representative's name
Rep number
Registered representative's telephone number
Registered representative's branch address
Broker/dealer's name
Branch number
Everence Trust Company accepts this application and agrees to act as custodian of the account named above and governed by the Custodial Agreement referenced herein.
_____________________________________________________
Authorized signature – Everence Trust Company
Date
16. Acceptance
17. How did you hear?
How did you first hear about Praxis Mutual Funds?
From your financial advisor
From a friend
From an advertisement
Green Money Journal
Other___________________________________________
From Web search engine
From other Web links
Other
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5
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Condiments, Dips and Salad Dressing Applications
Graco Sanitary Solutions
PROVEN QUALITY. LEADING TECHNOLOGY.
Common Materials
- Salad Dressings
- Vinaigrette Dressing
- Creamy Salad Dressing
- Mayonnaise
- Oils
- Honey
- Mustard
- Salsa
- Hummus
- Ketchup
- Sesame Paste
- Garlic
- Pepper
- Onion
- Cheese
- Relish
- Horseradish
- Barbeque Sauce
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SaniForce™ Diaphragm Pumps
for blending and packing low to medium viscosity material
SANIFORCE 1040, 1590, 2150 DIAPHRAGM PUMPS
- All fluid contact areas are FDA-Compliant.
- Featuring Graco’s durable, lube-free, non-sticking air valve.
Popular Models
FD1113 SaniForce 1040 - 38 mm (1,5 in) inlet/outlet with SST seats, PTFE balls and overmolded diaphragms.
FD2113 SaniForce 1590 - 50,8 mm (2,0 in) inlet/outlet with SST seats, PTFE balls and overmolded diaphragms.
FD3113 SaniForce 2150 - 63,5 mm (2,5 in) inlet/outlet with SST seats, PTFE balls and overmolded diaphragms.
SANIFORCE 1590 HS AND 3150 HS DIAPHRAGM PUMPS
- Easy to clean, quick knockdown design.
- High sanitation surface finish at 32 Ra.
- Interchangeable ball check and flapper design.
Popular Models
SA33A1 Saniforce 3150 HS ~ 76 mm (3 in) ball check with PTFE balls and overmolded PTFE/EDPM diaphragms.
SF3AF1 Saniforce 3150 HS - 76 mm (3 in) flapper check with overmolded EPDM diaphragms.
SaniForce™ Drum and Bin Unloaders
for medium to high viscosity material transfer
SANIFORCE DRUM AND BIN UNLOADERS
- Fast and easy drum and bin evacuations.
- Inflatable wiper seals for increased efficiency and faster change-out of drums.
- Available in diaphragm and piston-style pump configurations.
- Safe method of transfer as the drum stays on the floor and doesn’t need to be raised to dump the material.
- Clean way of working, the surroundings of the drum unloader stays clean.
Popular Models
24D714 SaniForce 5:1 priming piston pump with inflatable wiper seal.
24D936 SaniForce 3150 HS diaphragm pump with inflatable wiper seal.
BESA7C Two 5:1 double ball pumps, inflatable wiper seal, accommodates plywood bin
All written and visual data contained in this document are based on the latest product information available at the time of publication. Graco reserves the right to make changes at any time without notice.
Graco is certified ISO 9001.
GRACO BVBV Industrieterrein Oude Bunderk • Slakweidestraat 31 • B-3630 Maasmechelen
Tel: +32 (89) 770 700 • Fax: +32 (89) 770 777 • E-mail: [email protected] • http://www.graco-sanitary.com
©2011 Graco BVBV 320610E Rev. A 08/11 Printed in Europe.
All other brand names or marks are used for identification purposes and are trademarks of their respective owners.
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bility, in light of the equal protection clause, of the means adopted towards these purposes. This requirement, Professor Gunther thought, would be "that legislative means substantially further legislative ends," and equal protection constraints on permissible classification would be "essentially a more specific formulation of that general principle."85
This, he thought, could extend over the whole range of equal protection analysis short of cases found by the court to involve fundamental interests or suspect classifications. In this latter area, the more demanding requirements of strict scrutiny, that the means be the least restrictive means necessary for achieving the legislative ends, would continue to be applicable.86
There is, indeed, some evidence that at least four of the five justices who reversed in part the California court's decision were advertent to Professor Gunther's article.87 There is, however, little evidence that any of them were directly advertent to the Gunther model; and no attention was paid to that aspect of the model which would place the actual purposes or ends of challenged legislation beyond judicial scrutiny. It is certainly not possible to suggest that any of the justices adopted this feature of the model, even sub silentio. For all of them seemed to hold explicitly that rulings on equal protection require that the purposes of the challenged provisions, as well as the means of achieving those purposes, be scrutinized by the Court.
The Justices of the Brennan Four, who dissented from Justice Powell and the Stevens Four as to the admission of Bakke, concurred with Powell in reversing that part of the California court's judgment which seemed to proscribe not merely numerical quotas, but any use of race criteria in admissions.88 Their reasoning differed from Justice Powell's in many details; it also differed in its analytical framework. On the point here under examination, however, the Brennan Four's
85. Gunther, supra note 63, at 20. Though Professor Gunther is addressing legislative decisions as a type case, he would presumably want the requirement to be applied to all actions challenged under the equal protection clause, including action requested of or volunteered by non-governmental public bodies.
86. Id. at 20-23.
87. The article is cited in the opinion of the Brennan Four, though by way of a flourish or rhetoric on another point. These judges were concerned to deny in advance that their
reasoning is just as resistant as was Justice Powell’s to Professor Gunther’s proposal that the Court should abjure any “value-laden” review of actual legislative goals and limit itself to a means-focused review for conformity with equal protection.\textsuperscript{89}
It was not considered sufficient by the Brennan Four that the University of California at Davis had the “articulated purpose of remedying the effects of past discrimination” which had led to “substantial and chronic underrepresentation.”\textsuperscript{90} The Justices felt it necessary to pass on this purpose as “[s]ufficiently important to justify the use of race-conscious admissions programs,”\textsuperscript{91} and they gave considerable space to prior cases which had ruled on the justification for such a legislative purpose.\textsuperscript{92} They did so in obedience to the principle, which they asserted at the outset, that “[our] cases have always implied that an ‘overriding statutory purpose’ could be found that would justify racial classifications.”\textsuperscript{93} This would be a strange opening for a court that was abjuring, as Professor Gunther’s model recommends, any power to review legislative purposes and limiting its review to whether the means adopted to those ends satisfied equal protection. Even in situations such as the instant one, where these Justices regarded as applicable a level of scrutiny short of strict, they endorsed the principle that “mere recitation of a benign, compensatory purpose is not an automatic shield which protects against any inquiry into the actual purposes underlying a statutory scheme.”\textsuperscript{94}
Justice Powell made his position on this same matter no less clear by requiring that the impugned provision be shown to be necessary for protecting “a substantial and constitutionally permissible purpose.”\textsuperscript{95} And he proceeded on this basis to ask whether each of the various purposes offered in justification of the quota program at U.C. Davis was supported by “a legitimate and substantial interest.”\textsuperscript{96} He approved as such the purpose of abating the disabling effects of identified past discrimination,\textsuperscript{97} and the purpose of improving the delivery of health care services to underserved communities.\textsuperscript{98} For institutions of higher edu-
\begin{itemize}
\item \textsuperscript{89} See text accompanying notes 54-80 supra.
\item \textsuperscript{90} 438 U.S. at 362 (Brennan, White, Marshall and Blackmun, JJ.).
\item \textsuperscript{91} Id.
\item \textsuperscript{92} Id. at 355-62 (Brennan, White, Marshall and Blackmun, JJ.).
\item \textsuperscript{93} Id. at 356 (Brennan, White, Marshall and Blackmun, JJ.) (citation omitted).
\item \textsuperscript{94} Id. at 358-59 (Brennan, White, Marshall and Blackmun, JJ.) (citing Califano v. Webster, 430 U.S. 313, 317 (1977) and Weinberger v. Weisenfeld, 420 U.S. 636, 648 (1975)).
\item \textsuperscript{95} Id. at 305 (Powell, J.).
\item \textsuperscript{96} Id. at 307 (Powell, J.).
\item \textsuperscript{97} Id. at 306 (Powell, J.).
\item \textsuperscript{98} Id. at 310 (Powell, J.).
\end{itemize}
cation, he, as well as the Brennan Four, also found that the purpose of attaining diversity in the student body, so as to promote speculation, experiment, creativity and the like, was a constitutional purpose.\textsuperscript{99} One purpose of the U.C. Davis program, however, that of assuring "within its student body some specified percentage of a particular group merely because of its race or ethnic origin," he declared to be constitutionally impermissible—indeed to be "facially invalid."\textsuperscript{100}
It was, of course, on this last ground that Justice Powell affirmed, with the concurrence (on other grounds) of the Stevens Four, the decision of the California court that Bakke should be admitted. And the point indicates unambiguously that Professor Gunther's proposal that the Court not review legislative ends is simply not accepted in 1978. Moreover, it raises the even graver objection against his model that the distinction between ends and means, which is its fulcrum, is in itself a very dubious one, at any rate in this area of social affairs. Justice Powell had to confront the licitness of racial percentages both at the level of ends and at the level of means. He not only held that the assurance of a specified percentage of a racial group as such was "facially invalid" as a purpose or end; he also held that even for meeting the three other purposes, which he found to be substantial and constitutionally permissible, the fixing of such specified percentage was an impermissible means because it was not "necessary to promote" those purposes.\textsuperscript{101}
On the other hand, the positions of most of the majority Justices who reversed in part the California ruling do fit within the specifications of the Gunther model \textit{concerning the need for intermediate levels of scrutiny}. Justice Powell brought the case within the ambit of strict scrutiny proper, and his opinion therefore adds little on the point.\textsuperscript{102} The Brennan Four, however, who on the wider second issue of whether there could constitutionally be any consideration of race in admissions programs, concurred with Justice Powell in reversing the California
\textsuperscript{99} \textit{Id.} at 311-12 (Powell, J.).
\textsuperscript{100} \textit{Id.} at 307 (Powell, J.).
\textsuperscript{101} \textit{See, e.g., id.} at 310-11 (Powell, J.) (regarding delivery of health care services) and \textit{id.} at 311-15 (Powell, J.) (regarding diversity in the student body).
\textsuperscript{102} \textit{Id.} at 305-20 (Powell, J.). As previously indicated, Justice Powell distinguished the main groups of cases in which voluntary measures constituting benign discrimination remedial of past discrimination had apparently been approved without being subjected to strict scrutiny, on the ground that they were based on prior legislative, judicial or administrative determination of disadvantage flowing from past discrimination. \textit{Id.} at 300-10 (Powell, J.). As to the other purposes (improving health services and diversifying the student body), he concluded that, permissible and even "compelling" as these purposes (ends) were, the particular measures (means) of two-track numerical quotas adopted by U.C. Davis were "neither needed nor geared to promote" them. \textit{Id.} at 310-19 (Powell, J.).
court, followed a structure of reasoning as to the need for such intermediate scrutiny closely matching the model.\textsuperscript{103} They explicitly rejected any grounds for invoking strict scrutiny, holding that no fundamental right was involved in admissions to medical schools.\textsuperscript{104} The classification of whites was neither suspect in the accepted sense\textsuperscript{105} nor irrelevant to the ends sought; nor did the use of a racial classification stigmatize the whites prejudiced or the minorities benefited by it, nor “put the weight of government behind racial hatred and separatism.”\textsuperscript{106}
At this point the opinion by the Brennan Four articulated with rare judicial clarity the reasoning involved in the extension of judicial intervention into what may be called the no man’s land between the judicial deference and passivity associated with the “old” pre-Warren Court equal protection, and the area occupied by the Warren Court’s “new” strict scrutiny equal protection. In that no man’s land the Brennan Four, having found strict scrutiny inapplicable, could readily have concluded that the special admissions program was rationally related to the objectives of that program. Instead, they were zealous to insist that “the fact that this case does not fit neatly into our prior analytic framework for race cases does not mean that it should be analyzed by applying the very loose rational-basis standard of review that is the very least that is always applied in equal protection cases.”\textsuperscript{107} Rather, they declared that certain considerations—to be mentioned below—led them to conclude that racial classifications, aimed at remedying disadvantages stemming from prior discrimination, “must serve important governmental objectives and must be substantially related to achievement of those objectives.”\textsuperscript{108} While the strict scrutiny of “new equal protection” was not applicable, scrutiny had to be strict and searching nonetheless.
The considerations leading to this conclusion have already been discussed in Section III, but they may be briefly recalled. They included the risk, with racial as with gender-based classifications, of their being used “to stereotype and stigmatize politically powerless segments of society.”\textsuperscript{109} Distribution of benefits and burdens on the basis of such
\begin{itemize}
\item[103.] 438 U.S. at 350-56 (Brennan, White, Marshall and Blackmun, J.J.).
\item[104.] \textit{Id.} at 357 (Brennan, White, Marshall and Blackmun, JJ.).
\item[105.] See text accompanying notes 51-52 supra.
\item[106.] \textit{Id.} at 357-58 (Brennan, White, Marshall and Blackmun, JJ.). See Section III supra.
\item[107.] \textit{Id.} at 358 (Brennan, White, Marshall and Blackmun, JJ.).
\item[108.] \textit{Id.} at 359 (Brennan, White, Marshall and Blackmun, JJ.) (citing Califano v. Webster, 430 U.S. 313, 317 (1977), and Craig v. Boren, 429 U.S. 190, 197 (1976)).
\item[109.] \textit{Id.} at 360 (Brennan, White, Marshall and Blackmun, JJ.) (quoting Kahn v. Sherin, 416 U.S. 351, 357 (1971) (dissenting opinion)).
\end{itemize}
immutable characteristics as race and gender runs counter to the general dedication of the political order to criteria involving individual merit and responsibilities.\textsuperscript{110} As the Brennan Four stated, “[T]here are limits beyond which majorities may not go when they classify on the basis of immutable characteristics.”\textsuperscript{111} It was for these reasons that scrutiny must be “strict and searching,” even though (if emulation of judicial lucidity be permitted) “strict” scrutiny was strictly not applicable.
Whatever name is given to this intermediate level scrutiny—“quasi-strict scrutiny” may here be used for the time being—the judicial recognition of it has gone beyond the inchoateness which Gunther noted at the time he constructed this aspect of his model in 1972. There are clear signs of flexibility in the Court’s level of scrutiny of the appropriateness of legislative objectives and the nature of the subject of legislation. Of course, all this may have emerged from the inner dialectic of judicial reasoning; but even then it would sustain in 1978 this part of Professor Gunther’s model of 1972.
Certainly, the Brennan Four explicitly, and Justice Powell tacitly, approached the question of suitability of means to ends in terms of a demonstrably genuine relation of the means adopted to the achievement of the policy objectives. In contrast, strict scrutiny asks only whether the means were necessary to this achievement and entails the very least possible discrimination between those within the classification and those without. That genuine relation was for the University to show by empirical evidence as to the composition of the student body, the level of medical services to minorities and the like. Even as to the suitability of means, Gunther correctly recognized that the questions for the Court are “neither mechanical nor value-free.”\textsuperscript{112} He comforted himself with the thought that, even then, the value judgments involved would still be of a lesser scale and range than those involved if the Court ignored that part of his model which called for it to renounce judicial review of the legislative objectives themselves.
One thing shown by the present analysis is that the Justices are certainly not ready to make that renunciation; value judgments of the larger scale and range are still involved in equal protection determinations.\textsuperscript{113} And this outcome marches with the present writer’s major
\textsuperscript{110.} \textit{Id.} at 360-61 (Brennan, White, Marshall and Blackmun, JJ.).
\textsuperscript{111.} \textit{Id.} at 361 (Brennan, White, Marshall and Blackmun, JJ.).
\textsuperscript{112.} Gunther, \textit{supra} note 63, at 47-48.
\textsuperscript{113.} Professor Gunther further conceded that even if both parts of his model had been accepted, the difficult line between means and ends would often have to be drawn by refertheme, expressed elsewhere, that even in decisions implementing the constitutional precept demanding equal protection of the laws, what is crucial is often not the value of equality itself but the other values which must inevitably guide the Court in using or setting limits to it, or in choosing between its conflicting equivocations.\textsuperscript{114}
\section*{V. Indications for Future Special Programs}
\textit{And the king said, Bring me a sword. And they brought a sword before the king.}
\textit{And the king said, Divide the living child in two, and give half to the one, and half to the other.}
\textit{Then spake the woman whose the living child was unto the king, for her bowels yearned upon her son, and she said, O my lord, give her the living child, and in no wise slay it. But the other said, Let it be neither mine nor thine, but divide it.}
\textit{Then the king answered and said, Give her the living child, and in no wise slay it: she is the mother thereof.}\textsuperscript{115}
The \textit{Bakke} opinions, whatever else be said, have complicated rather than simplified both benign discrimination and the understanding of the equal protection clause. Partition seems to have been an active principle working through the \textit{Bakke} case, though what will eventually be saved, and by whose wisdom, is not yet clear. The question of Bakke’s exclusion was partitioned off, by one majority, from the question of the permissibility of any consideration of race in admissions policies.\textsuperscript{116} The Stevens Four hung their decision on terms like “exclusion” used in section 601 of the Civil Rights Act but not on the equal protection clause. Justice Powell hung his decision on the rather mysterious reasoning that while it is a substantial and constitutionally permissible end to compensate for underrepresentation of minorities arising from past discrimination, to introduce numerical racial quotas as the means towards this end was to prefer some persons “for no other reason than race or ethnic origin,” constitutionally impermissible as either end or means.\textsuperscript{117}
\begin{footnotesize}
\begin{enumerate}
\item See Stone, \textit{Justice in the Slough of Equality}, 29 \textit{HASTINGS L. J.} 995 (1978).
\item 1 \textit{Kings} 3:24-27 (King James).
\item Though sections 703(a)(1) and 703(a)(2) of Title VII of the Civil Rights Act (on employment) do not include the precise term “exclusion,” they do include terms of identical meaning such as “fail or refuse to hire,” “discharge” and “deprive . . . of equal opportunity.”
\item See Sections I & II \textit{supra}.
\end{enumerate}
\end{footnotesize}
It was not only the issue, however, that was thus partitioned. The justices partitioned the Court itself into the Stevens Four (who declined to speak, on the ground that it was unnecessary to do so, to the permissibility of considerations of race) on the one hand, and the Brennan Four (who spoke directly and rather unambiguously on that issue) on the other, with Justice Powell hovering uneasily in between. The outcome on the question of the permissibility of race as a criterion under the equal protection clause was itself partitioned between one approach—numerical racial quotas aimed at percentage representation— forbidden by the single vote of Justice Powell, and another approach—the use of racial criteria along with other general criteria of disadvantage or contribution—which was held permissible in a rather wholesale manner by the Brennan Four as well as by Justice Powell within limits rather inadequately specified.
The generosity of the Brennan Four’s wholesale tolerance of racial criteria, as well as the uncertain limits of Justice Powell’s, together suggest that further cases are bound to be presented which will require the wholesale to be made retail, and the limits to be specified further. The solidarity of the Brennan Four, moreover, gives no assurance of how future majorities will swing. The trouble is not Justice Blackmun’s aside, to the effect that for him the U.C. Davis program was “within constitutional bounds, though perhaps barely so.”118 It is far more serious, springing from the very first partition mentioned above, under which the Stevens Four refused to touch at all upon the constitutional or even statutory issues of equal protection. Future variations of race criteria in compensatory admissions policies will also depend critically on how some of the Stevens Four divide, and on what specific lines Justice Powell draws for himself in relation to them.
Despite the relaxed attitudes of many American judges to the niceties of precedent, it is well to recall that in the view of the Stevens Four, there was more than one reason why Justice Powell and the Brennan Four ought never to have touched upon the wider second issue of the permissibility of any consideration of race in admissions programs. In the Stevens Four’s reading of the California judgment, it included no order enjoining any consideration of the race of applicants for admission to U.C. Davis, other than that of Alan Bakke himself. The injunction only restrained the University of California “from considering
---
118. 438 U.S. at 406 (Blackmun, J.). It fits with this tentativeness of Justice Blackmun that in Weber he emphasized the temporary nature of the affirmative action plan adopted by Kaiser. United Steelworkers of American v. Weber, 99 S. Ct. 2721, 2734 (1979) (Blackmun, J., concurring).
plaintiff's race or the race of any other applicant in passing upon his application for admission."119 In their view, the final "his" referred to Bakke only and not to applicants generally. On this basis nothing except what has been called "the first issue" (Bakke's right to admission) was before the Supreme Court of the United States. The Stevens Four opened their judgment with the words: "It is always important at the outset to focus precisely on the controversy before the Court," and a few sentences later they stated: "This is not a class action. The controversy is between two specific litigants."120 It concerned only the numerical racial quota program under which Bakke was excluded. For them, everything uttered by Justice Powell and the Brennan Four on the wider second issue was strictly obiter dictum.121
The distinction between ratio decidendì and obiter dictum is not, of course, as clear in American conditions as many English lawyers pretend it to be for theirs. Yet the vehemence with which the Stevens Four made this point at least reinforces the impression that the fate of racial considerations, apart from numerical racial quotas designed to produce percentage representation, is a matter on which some of them feel strongly—and probably differently from the Brennan Four. The future legal fate of quotas may therefore still be in the balance.
The wisdom of the Solomonic stratagem of dividing the child did not, of course, lie in any application of the principle of equality. It lay rather in the wise monarch's understanding of the passions, greeds, dedications and capacity for selfless sacrifice of the human heart, and of the relations which unite and divide human beings. This is a truth to seize and cherish as we ponder the future of racial admissions criteria in universities. The "universitas" which the very name "universities" symbolizes, is as vulnerable to partition as the living child in Solomon's judgment.
119. Paragraph 2 of the California trial court judgment, as affirmed by the Supreme Court of California quoted in 438 U.S. at 409 n.2 (Stevens, Stewart and Rehnquist, JJ. and Burger, C.J.). See id. at 408-11 & nn.2, 3 & 5 (Stevens, Stewart and Rehnquist, JJ. and Burger, C.J.) for full text and the Stevens Four's analysis.
120. 438 U.S. at 408 (Stevens, Stewart and Rehnquist, JJ. and Burger, C.J.). A footnote to the first sentence above observed that "[the Brennan Four] have undertaken to announce the . . . effect of [the] Court's judgment," but recalled that "only a majority can speak for the Court or determine what is the 'central meaning' of any judgment. . . ." Id. at 408 n.1 (Stevens, Stewart and Rehnquist, JJ. and Burger, C.J.). This, of course, questions the authority of the Brennan Four's opening statement. Id. at 324-25 (Brennan, White, Marshall and Blackmun, JJ.) (quoted in Section III supra). See also id. at 271-72 (Powell, J.); Sections I & II supra (Justice Powell's effort at formulation).
121. 438 U.S. 265, 408-12 (Stevens, Stewart and Rehnquist, JJ. and Burger, C.J.). Cf. Blasi, Bakke as a Precedent: Does Mr. Justice Powell Have a Theory?, 67 CAL. L. REV. 21, 22-23, 36-61 (1979) for an analysis in terms of precedent).
The cardinal question now confronting efforts to give vitality to the just impulse towards benign discrimination in the universities lies precisely here. Do those concerned, including the judges, have the understanding of human passions, greeds, dedications and capacity for selfless sacrifice to transform a threat of destructive division into a continuing institutional life of mutual compassion and enrichment? This will be the qualitative test of the further guidelines still required for emergent programs designed to grant compensatory preferences in the wide area of tolerance of racial considerations common to Justice Powell and the Brennan Four.
For reasons already hinted at, however, even the permissibility of "two-track" numerical racial quotas of the type involved in *Bakke* cannot be ruled out. As matters stand after *Bakke*, four of the Justices—the Stevens Four—are not committed either way on that issue, for they carefully rested their decision on words in the Civil Rights Act having no counterpart in the equal protection clause.\(^{122}\) And since four other Justices—the Brennan Four—did find such quotas acceptable, it would require only one of the former group to commit himself favorably on quotas to legitimate them.\(^{123}\)
In the face of these possibilities, the present writer should not shrink from a final word concerning the stark conflict between Justice Powell and the Brennan Four who concurred with him, precisely on this issue of numerical racial quotas geared to produce percentage racial representation as a means of affording compensatory preference. It will already have become clear that the present writer does not find analytically convincing Justice Powell's condemning *ab limine* as facially invalid "the purpose of assuring some specified percentage of minority groups."\(^{124}\) For this ignored the question of whether the shortfall itself was not a significant part of the continuing disadvantage resulting from past illegal discrimination. Reference has also been made to related responses to Justice Powell by the Brennan Four, the gist of which was to question as inconsistent Justice Powell's willingness to accept as evidence of disadvantage a basket of factors, including race, even if these were designed to produce an approximation to the same specified percentage of the same groups. "The cynical," said Justice Blackmun in a phrase worth quoting twice, "may say that under a
\(^{122}\) While Justice Stewart, one of the Stevens Four, voted with the majority in *Weber*, it must be remembered that this was a decision based on Title VII rather than Title VI. See note 130 infra.
\(^{123}\) Cf. Dixon, *Bakke: A Constitutional Analysis*, 67 CAL. L. REV. 69, 72-73 (1979) (on this and other fragilities of the ratio by which Justice Powell ruled out quotas).
\(^{124}\) 438 U.S. at 307 (Powell, J.).
program such as Harvard's one may accomplish covertly what Davis concedes it does openly."125
Even, however, after any analytical weakness of Justice Powell's presentation has been noted, his conclusion on this matter may nevertheless be found sociologically and ethically preferable to that of the Brennan Four. Space forbids a full presentation of reasons, but the gravity of the issue commands at least their outlines.
VI. Universities and the First Amendment Connection
Section II of this article demonstrated that one element of Justice Powell's position which led him to produce the majority with the Brennan Four was his recognition of the countervailing interest, anchored in the First Amendment, in speculation, experiment, creation and robust exchange. While this interest is compelling throughout the polity, universities have special responsibilities in furthering it: "Academic freedom . . . long has been viewed as a special concern of the First Amendment."126 Justice Powell held that since the diversity thus sanctified is far wider than mere racial diversity, racial quotas were neither a necessary nor a feasible means towards it, although race could figure among the wider range of relevant factors.127
It may be said at once that this approach, assuming it to be otherwise tenable, is jurisprudentially attractive. For it may offer a path by which equal protection can be functionally molded through principles appropriate to that segment of national life, embracing universities and similar institutions, dedicated to the transmission and expansion of knowledge. It must be clear that reasoned elaborations designed to give equal protection sufficient meaning to function within each arena is essential if the jungle threatening to engulf that clause is to be reduced. To require that every equal protection determination be mechanically transferable to every social arena is to compound progressively all the numerous problems rather than to solve any of them.
Accordingly, claims that Justice Powell's First Amendment diversity principle is not transferable to the employment arena may point to a strength rather than a weakness.128 And it is, of course, consistent with this desideratum that neither the majority nor the minority in United Steelworkers of America v. Weber129 allowed constitutional is-
125. Id. at 406 (Blackmun, J.).
126. Id. at 312 (Powell, J.).
127. Id. at 315-19 (Powell, J.).
128. See A. SINDLER, supra note 2, at 320.
129. 99 S. Ct. 2721 (1979).
sues, as distinct from the mere construction of Title VII of the Civil Rights Act, to play a part in the decision.\textsuperscript{130} There is obviously no First Amendment nexus, similar to that for universities, which calls for a manufacturer of aircraft or refrigerators to have a culturally or educationally diversified board of directors.\textsuperscript{131}
Professor Sindler has sought to dismiss Justice Powell's diversity ground as idiosyncratic and not viable as a general rule.\textsuperscript{132} His main ground is that if the First Amendment did indeed provide the compelling interest underlying the freedom of universities to promote diversity, universities could use this freedom, not to pursue diversity in the student body as approved by Justice Powell and the Brennan Four in \textit{Bakke}, but instead to pursue conformity and homogeneity.\textsuperscript{133} In the present writer's view this is not the more likely, let alone the necessary outcome of his position. Professor Sindler, as well as Professor Dixon, can only conjure up the dread possibility they envisage by interpreting Powell to mean that the First Amendment legitimizes the enterprise which we know as a university, \textit{including whatever objectives a university chooses to pursue, whether these be to promote uniformity or to promote diversity}. However, the far more likely meaning of Justice Powell's position, which is, indeed, quite explicit in the Justice's elaboration from Justice Frankfurter's words in \textit{Sweezy v. New Hampshire},\textsuperscript{134} is that it is the goal of diversity as a means to further robust exchange which is protected by the First Amendment, and that university admission policies \textit{are protected insofar as they promote this goal of diversity}.\textsuperscript{135} On that basis the \textit{reductio ad absurdum} offered by these writers can scarcely
\textsuperscript{130} Of course the employer's impugned action in \textit{Weber} was not state action. It is nevertheless noteworthy that there appears to have been no such references to the relation of Title VII to constitutional restraints as were made in \textit{Bakke} to the relation of Title VI, section 601 to them. In fact, the majority in \textit{Weber} specifically noted that Title VII and Title VI "cannot be read \textit{in pari materia}." 99 S. Ct. at 2729 n.6. By this they appear to mean at least that insofar as Title VI refers to education, an area of direct federal-state involvement, the constitutional standards of the Fifth and Fourteenth Amendments are attracted to it. There is no such necessary attraction in the context of private employment, to which Title VII is addressed.
\textsuperscript{131} \textit{Cf. Posner, The Bakke Case and the Future of "Affirmative Action," 67 Cal. L. Rev. 171, 188-89.}
\textsuperscript{132} A. \textsc{Sindler}, \textit{supra} note 2, at 311-12.
\textsuperscript{133} \textit{Cf. Dixon, Bakke: A Constitutional Analysis, 67 Cal. L. Rev. 69, 75-78 (1979).}
\textsuperscript{134} 354 U.S. 234, 263 (1957).
\textsuperscript{135} "Thus, in arguing that its universities must be accorded the right to select those students who will contribute the most to the 'robust exchange of ideas,' petitioner invokes a countervailing constitutional interest, that of the First Amendment. In this light, petitioner must be viewed as seeking to achieve a goal that is of paramount importance in the fulfillment of its mission." 438 U.S. at 313 (Powell, J.).
arise.\textsuperscript{136}
It may thus be argued, along the different line here adopted, that the Powell diversity ground establishes that criteria for race-conscious university admissions will only be entitled to First Amendment protection if they are actually (or at any rate “rationally”) related to the goal of educational diversity. Though the criteria may include race, they must also include a sufficient range of other criteria which genuinely serve to measure \textit{the potential contributions to diversity of all applicants for admissions}.\textsuperscript{137}
The clarity of this \textit{ratio decidendi}—its “rationality” in current jargon—should not be concealed by the cynical observation that preference indirectly produced by a basket of factors, including race, is indistinguishable from that produced by racial quotas. For this observation is false in a crucial respect.\textsuperscript{138} It is false even when exactly the same percentage representation of the disadvantaged racial group is achieved by both approaches. The identity of the outcome is only as to the relative sizes of minority and majority groups. When the impact of the two approaches on individual applicants is examined, however, the direct and indirect preferences are seen to be massively different. They are likely to be different as regards which individual applicants win admission, especially in the minority track. More importantly, however, they have different psychological effects on applicants, especially white applicants, who do not gain admission.\textsuperscript{139}
\textsuperscript{136} So also it would remove any basis for Professor Sindler’s claim that justice proceeded “on \textit{ad hoc} grounds of whose ox was gored.” A. Sindler, \textit{supra} note 2, at 312. In the sense that uniformity of gender or color within a particular university is argued to promote robust discussion merely in the sense of removing the inhibitions of members of an “in group” arising from the presence of diversity, it would certainly not fall within this ground of Justice Powell.
\textsuperscript{137} Cf. Blasi, \textit{Bakke as Precedent: Does Mr. Justice Powell Have a Theory?}, 67 Cal. L. Rev. 21, 22-23, 61, 66 (1979). See also id. at 62-67 (regarding various types of race-conscious programs in this light). Mr. Blasi considers alternative \textit{rationes decidendi} for the Powell position centered on dignity of applicants and reduction of racial prejudice. In preferring the diversity ground he insufficiently stresses that this expresses the thrust of First Amendment freedom of expression for which universities are a conduit par excellence. \textit{Id.} at 35-62.
\textsuperscript{138} So, and for the similar reasons below, is Professor Dworkin’s overly facile assertion that it is “either hypocritical or unrealistic” to recommend “that universities pursue racially explicit goals through racially neutral means.” Dworkin, \textit{The Bakke Case: An Exchange}, N.Y. Rev. of Books, Jan. 26, 1978, at 44 n.1. Cf. \textit{id.} at 43 (for the converse of some of the above positions). The exchange followed Professor Dworkin’s rather unprophetically titled article, \textit{Why Bakke Has No Case}, N.Y. Rev. of Books, Nov. 10, 1977, at 11.
\textsuperscript{139} In his rather severe critique of Justice Powell’s position, Professor Sindler gives too little attention to these different psychological impacts and to the related effects of multifactoral criteria which may encourage applicants towards efforts to improve their prospects for admission. A. Sindler, \textit{supra} note 2, at 312-14.
In the face of direct racial quotas, as indeed Justice Powell as well as the Brennan Four pointed out, exclusion is felt to be based on an immutable characteristic of the applicant for which he neither can nor should feel any responsibility. It must consequently be felt to be openly and blatantly unjust by him, by his family, and widely (if more diffusely) throughout the white community. The fact that many in the white community are conscious of the grievous past wrongs for which the quota is intended to compensate, does not neutralize the new cause and sense of injustice which, at a certain point, may exacerbate rather than pacify racial tensions.
When, on the other hand, numerous factors are used as evidence of disadvantage of particular applicants, or of possible contributions by them, many of these factors may not have the immutability of race. As to some of them, applicants may even be able to make efforts to improve their prospective scores, and thus their chance of admission. Justice Powell himself listed "unique work or service experience, leadership potential, maturity . . . ability to communicate with the poor."¹⁴⁰ One might add capacity to contribute to minority, urban or other social problems, bilingualism and the like. And all this would remain true however deliberately the various factors are weighted in order to assure that the entrants include the desired number from minorities. No doubt there would still be complaints from excluded whites, but the complaints would not appear, nor indeed be, so clearly well-grounded. There might even be charges that the whole system of factors and weightings is "rigged" against the disappointed applicant. Yet there could then at least be the answer that efforts must continue to make the admission process as fair as possible for him and all other applicants, consistently with the community-approved objective of transitional compensation for wrongs inflicted by past discrimination.¹⁴¹ Corresponding real benefits in terms of dignity, self-esteem and a sense of the worthwhileness of effort would also seem likely to flow to minority applicants as a result of following the indirect rather than direct technique in granting racial preference.
¹⁴⁰ 438 U.S. at 317 (Powell, J.).
¹⁴¹ As Professor Bell does well to remind us, black advances have historically involved—and continue to involve—changes in policies which oppress certain layers of whites, as well as blacks. Bell, Bakke, Minority Admissions, and the Usual Price of Racial Remedies, 67 CAL. L. REV. 3, 14-19 (1979). When changes are achieved, "whites usually will prove the primary beneficiaries, and blacks will have paid the major cost." Id. at 16. See id. at 17-18 concerning the effects of quotas in exacerbating the fears of lower and middle class whites, and the injury to minority self-esteem arising from dual systems in admissions and classrooms. Cf. Blasi, Bakke as Precedent: Does Mr. Justice Powell Have a Theory?, 67 CAL. L. REV. 21, 64-66 (1979) (for another view on these points).
The final question, be it added, as between the direct "two-track" and indirect multi-factor approaches, concerns neither analytical power nor constitutional or legal propriety. It is the question of what is administratively feasible in the institutions concerned, especially when the number of applicants to be processed is sometimes as much as eight to ten times greater than the number of places. Answers to this question should be awaited from the appropriate administrators, rather than preempted by judicial assumptions. Within the framework established by its First Amendment connection, the diversity multifactoral approach calls, of course, for constant anxiety and vigilance against abuse and détournement of the wide discretions involved. Yet it is also true that the very shortcomings of this approach, which stir this anxiety, may also have the redeeming virtues of inviting or even demanding a period of enlightened and imaginative experimentation.
142. Common complaints are that the Powell diversity approach confers (or imposes) too much discretion on university administrators, with too little guidance and control to ensure conscientious application. It might even be used, some have urged, to set up informal statistical limits for the size of particular groups alleged to be "over-represented," as notoriously occurred in the 1920's and 30's. See, e.g., A. Sindler, supra note 2, at 316-17; Greenawalt, The Unresolved Problems of Reverse Discrimination, 67 CAL. L. REV. 87, 120-29 (1979). See also O'Neil, Bakke in Balance: Some Preliminary Thoughts, 67 CAL. L. REV. 143, 158-65, 170 (1979) (discussing other detailed uncertainties within the Powell diversity approach).
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Heidi Carolina Martinsaari
Toward an Automated Data Quality Rule Detection in Data Warehouses
Master’s Thesis (15 ECTS)
Supervisor: Anastasija Nikiforova, PhD
Tartu 2023
Toward an Automated Data Quality Rule Detection in Data Warehouses
Abstract:
Data is a valuable asset from which information and knowledge are derived. However, business success is not depending on the amount of data only, but also on the quality of these data. On the other hand, data quality management requires a good system and the cooperation of several parties which is time-consuming and costly. Thus, it is considered if using artificial intelligence in ensuring data quality would help to avoid human errors, complement human actions, and reduce personnel costs and the workload of data quality specialists.
The objective of this thesis is to explore the current landscape of data quality solutions to find out whether these are able to automatically detect data quality rules using machine learning methods, specialising in data warehouses. For this, a systematic review of data quality software available in the market and provided in academic publications was conducted.
It was found that most of the data quality tools are used for data cleansing and fixing, meant for domain-specific databases instead of data warehouses. Meanwhile, only a few tools were capable of detecting data quality rules, not to mention implementing this in data warehouses.
Whereas the subject of automated data quality rule detection is insufficiently covered in the academic landscape and poorly represented in the market, this thesis makes a call for action in this area.
Keywords:
Data Quality; Data Quality Rule; Data Quality Management; Data Warehouse
CERCS: P170 Computer science, numerical analysis, systems, control; P175 Informatics, systems theory; P176 Artificial Intelligence
Toward an Automated Data Quality Rule Detection in Data Warehouses
Heidi Carolina Martinsaari
Data Science (MSc), 2023
Supervisor: Anastasija Nikiforova, PhD
**SCOPE**
Automatic DQ rule Detection
**PROTOCOL**
- 61 parameters
- Information Sources
- Data Quality (DQ) Functionalities
- Other data functionalities
- Environment Setup
- Supported Data Storages
**RESULTS & CONCLUSION**
- 1/3 were not DQ tools
- 10 DQ tools can detect DQ rules.
- No DQ tools have all DW-specific DQ checks.
- 75% of DQ tools meant for data cleansing.
- 73% of DQ were unavailable to test
Future Work
#UniTartuCS
Andmeaida andmekvaliteedi reeglite automaatse tuvastamise suunas
Lühikokkuvõte:
Andmed on väärtuslik vara, millest saab ammutada informatsiooni ja teadmisi. Sellest hoolimata, äriedu ei sõltu andmete hulgast üksnes, vaid ka andmete kvaliteedist. Teisest küljest, andmekvaliteedi tagamiseks on vaja süsteemset haldust ning mitmete spetsialistide koostööd, mis on ajamahukas ja kulukas. Seega, on möödlik kaaluda tehisisintelleti kasutamist andmekvaliteedi tagamisel, et vältida inimtekkelisi vigu, täiendada inimeste tegevusi ning vähendada personalile tehtavaid kulutusi ja andmekvaliteedi spetsialistide töömahu.
Antud magistritöö eesmärk on uurida andmekvaliteedi tarkvarasid ja lahendusi, et välja selgitada, kas mõni lahendus on võimeline automaatselt tuvastama andmekvaliteedi reegleid, kasutades masinõppemeetodeid ja spetsialiseerudes andmeaitadel. Selleks viidi läbi süsteemaatiline ülevaade turul olemasolevatest ja akadeemilises kirjanduses pakutavatest andmekvaliteedi tarkvaradest.
Töö käigus selgus, et enamus andmekvaliteedi tarkvarasid kasutatakse peamiselt andmete puhastamiseks ja parandamiseks, olles mõeldud pigem valdkonnapõhistele andmebaasidele, mitte andmeaitadel. Sealjuures, ainult vähesed rakendused olid võimelised tuvastama andmekvaliteedi reegleid, räikimata selle rakendamisest andmeaitades.
Kuna automatiseeritud andmekvaliteedi reeglite tuvastamine on ebapiisavalt kaetud akadeemilises kirjanduses kui ka väheselt esindatud tarkvaraturul, siis antud magistritöös esitatakse ka teatavad üleskutsed antud vallas.
Võtmesõnad:
Andmekvaliteet; Andmekvaliteedi reegel; Andmekvaliteedi haldamine; Andmeait
CERCS: P170 Arvutiteadus, arvutusmeetodid, süsteemid, juhtimine (automaajuhtimisteooria); P175 Informaatika, süsteemiteooria; P176 Tehisisintellet
Andmeaida andmekvaliteedireeglite automatiseeritud tuvastamise suunas
Heidi Carolina Martinsaari
Andmeteadus (MSc), 2023
Juhendaja: Anastasija Nikiforova, PhD
TULEMUSED & KOKKUVÕTE
1/3 ei olnud DQ rakendused
10 DQ rakendust oskab tuvastada DQ reeglid.
Üksik DQ rakendus ei oma kõiki andmeaid DQ kontolle.
75% DQ rakendustest andmete puhastamiseks.
73% DQ rakendustest ei saa testida.
TARTU ÜLIKOOOL arvutiteaduse instituut
#UniTartuCS
## Contents
1 Introduction 8
1.1 Enterprise Data Quality 8
1.2 The Motivation 9
1.3 An Objective of the Thesis 9
1.4 Outline 9
2 Background and Related Work 10
2.1 Theory and Concepts 10
2.1.1 Definition of Data Quality 10
2.1.2 Data Quality Rules 11
2.1.3 Data Quality Life Cycle 12
2.1.4 Data Quality in Data Warehouses 13
2.1.5 Metadata 14
2.2 Related Work 14
2.2.1 Survey of Data Quality Tools 15
2.2.2 Automated Data Quality Rule Detection 15
3 Methodology 18
3.1 Planning the Review 18
3.1.1 Scope and Research Questions 18
3.1.2 Searching Strategy 19
3.1.3 Selection Criteria 20
3.1.4 Review Protocol 20
3.1.5 Data Synthesis 24
3.2 Conducting the Review 24
3.2.1 Executing the Search and Applying the Criteria 24
3.2.2 Conducting the Review 26
4 Results and Analysis 29
4.1 Research Question 1: The Data Quality Tools Landscape 29
4.1.1 Initial Tool Validation 29
4.1.2 Tool Trialability 30
4.1.3 Documentation 30
4.1.4 Available Information 31
4.2 Research Question 2: Features of Data Quality Tools 32
4.2.1 Data Quality Functionalities 32
4.2.2 Data Functionalities 33
4.2.3 Applying Exclusion Criteria 33
4.2.4 Clustering Data Quality Tools 34
4.2.5 Included Data Quality Tools .................................................. 35
4.3 Research Question 3: The Environment and Connectivity ........... 38
4.3.1 Environment and Connection Related Features .................... 38
4.3.2 Summary of Review Phases ............................................. 39
4.3.3 Trialability and Documentation ....................................... 40
4.3.4 Alternative Solutions .................................................. 41
4.4 Research Question 4: Solutions supporting the Data Quality Rule Detection 42
4.5 Research Question 5: Advantages and Disadvantages of Current Solutions 43
5 Summary and Discussion .......................................................... 45
5.1 Limitations ........................................................................ 47
5.2 Future Work ...................................................................... 47
Conclusion .................................................................................. 50
Acknowledgements ..................................................................... 51
References .................................................................................. 52
Appendix .................................................................................... 59
I. List of Related Work ............................................................. 59
IIa. DQ Tools: Sources ............................................................ 68
IIb. DQ Tools: Publications as Sources .................................... 77
III. DQ Tools: Source of the Information .................................. 85
IV. DQ Tools: DQ and Other Features ...................................... 95
V. DQ Tools: Environment Features ......................................... 105
VI. DQ Tools: Descriptions of DQ Rule Detectors .................... 107
VII. Licence ............................................................................. 113
1 Introduction
The data is a valuable asset from which information and knowledge can be derived. Their value and credibility are directly dependent on the quality of underlying data. The data quality (DQ) topic was first raised by statistical researchers at the end of the 1960s, but it started quickly to expand at the beginning of the 1990s in the computer science field [SC02]. Computer scientists started exploring different approaches for defining, measuring, and improving the quality of electronic data stored in databases, data warehouses (DWs) and legacy systems [SC02].
The popularity of the DQ topic has even increased due to fast-growing data. International Data Corporation (IDC) predicts that the amount of data in the world will grow to 175 zettabytes by 2025 [Cou18]. While enterprises collect the data actively on a daily basis, an open issue is how to efficiently store the data, process it, and at the same time guarantee the DQ. According to [Dix20], businesses that most effectively manage DQ and optimise data storage can provide superior services to customers, improve decision-making, drive greater efficiency, and achieve assured compliance with regulators.
1.1 Enterprise Data Quality
Securing DQ is important for any enterprise. Any data-driven and profitable company may gain from data but also lose profit because of poor-quality data. According to [Dix20], a data management study by Dun & Bradstreet found that 19% of businesses had lost a customer by using inaccurate or incomplete information.
Big organisations use the DW to serve their business intelligence, reporting, analytics, and others, sourcing the data from several source databases. Such a system can be a big "maze" where manually tracing the lineage to the source and defining all needed DQ rules is complicated and time-consuming. To ensure the needed quality of the data extracted from the DW, relevant service owners are responsible to give input for DQ requirements.
While regulatory requirements force organisations to monitor their DQ effectively, any regulatory activity is not directly related to business profit [Kar22]. Whereas the costs are compared to direct incomes, DQ management tasks are relatively expensive.
The classical way to reduce personnel expenses is to automate tasks as can be seen in different industries [AR19], like the automotive industry where we can see robots building cars [ES19], and even in customer service, there are chatbots used to answer easier questions instead of asking them from employees [ZFB23]. DQ management can be similarly automated with the help of artificial intelligence.
1.2 The Motivation
The topic of this thesis is driven by the author’s experience working with DQ management in a DW. The author has experience in data validation, checking DQ, analysing DQ results, including root cause analysis and tracing the data lineage, reporting DQ issues, defining business requirements jointly with DQ rules, implementing DQ rules in the DW, reporting DQ to supervisors, and therefore the author is aware of which DQ issues appear the most, how important is DQ regarding business decisions and compliance, and how much work is required for ensuring the DQ.
Therefore, it is investigated the DQ tools devoted to automated DQ rule detection which is expected to be helpful to cover the data in scope with rules more efficiently and reduce the work of data (quality) stewards. Such DQ rule detectors, perhaps involving machine learning (ML) methods, can discover checks that humans may not notice, or humans may be unaware of due to different reasons, including their level of data literacy.
In addition, the author has had several discussions with DQ professionals on the DQ and metadata quality topics. It is often discussed that data lineage functionality should be provided to DQ stewards who trace the lineage to analyse the root cause. All in all, metadata seems to be crucial from the DQ perspective as different types of DQ rules are directly related to respective information of metadata [AKT16].
1.3 An Objective of the Thesis
The objective of this thesis is to explore the DQ tools landscape and look for the tools that use the automatisation of DQ rule detection in a DW. For this, the author reviewed the existing DQ tools in the market. Also, it was familiarised with the state-of-the-art literature on both: the DQ as well as approaches for automated DQ rule definition. Finally, this thesis makes a call for action in the area. Specifically, this could involve developing a DQ tool capable of automatically detecting DQ rules in DWs and satisfying other predetermined criteria. Alternatively, further review could be conducted on the integrity constraints and other methods used for detecting DQ rules in academic literature.
1.4 Outline
This thesis consists of six sections. The introduction is followed by the second chapter which defines the concepts of DQ and DQ rules and makes an overview of the related work. The third section describes the methodology, explaining how the systematic review of DQ tools was planned and conducted. In the fourth section, the results of the review are presented towards established research questions. The fifth section summarises the results and the final section concludes the work.\footnote{This thesis is partly worded using \textit{ChatGPT}, the large language model by Open AI [Ope23], and its grammar and spelling in British English are corrected with Grammarly.}
2 Background and Related Work
The goal of this chapter is to provide the background knowledge for this thesis. The first subsection gives a brief theoretical overview of the DQ, and the second subsection covers the thesis-related work in the academic landscape.
2.1 Theory and Concepts
The following sections define the main concepts of this thesis, "DQ" and "DQ rule", and other related terms. There are also described the DQ lifecycle and DQ specifics in DWs.
2.1.1 Definition of Data Quality
The definition of **DQ** differs across literature, primarily drawing upon the definition of **quality** as defined by ISO 9000\(^2\). This standard defines quality as the extent to which the needs of the consumer are met, encompassing both the properties of the product and the intended audience or use case.
One group of definitions focus on the data consumer. For example, DQ is defined as *fit for use by data consumers* [WS96], and data is generally considered of high quality if it fits its intended uses by consumers in operations, analytics, decision-making, and planning [BS16].
Another group refers to characteristics. DQ is a *set of characteristics that data should own* [SC02], or DQ is *multidimensional measure*, where each DQ dimension or attribute indicates the certain type of DQ issue [Hae18]. All in all, there tend to be different definitions of DQ, which, in turn, affects the approaches towards its management.
The quality of data can be measured through **DQ dimensions**, which are descriptive attributes of DQ, such as completeness, timeliness, accuracy, and consistency, among others. These dimensions are highly dependent on the context, and their significance and importance can vary among organizations and data types. In addition to variations in the selection of attributes, the definition of these dimensions may also differ [CR19]. To achieve uniformity and clarity, [PC13] provides a specific set of DQ dimensions with definitions for financial institutions to adhere to:
(a) the completeness of values in the attributes that require them;
(b) the accuracy of data ensuring that the data is substantively error-free;
(c) the consistency of data ensuring that a given set of data can be matched across different data sources of the institution;
(d) the timeliness of data values ensuring that the values are up-to-date;
\(^2\)https://www.iso.org/obp/ui/#iso:std:iso:9000:ed-4:v1:en
(e) the uniqueness of data ensuring that the aggregate data is free from any duplication given by filters or other transformations of source data;
(f) the validity of data ensuring that the data is founded on an adequate system of classification, rigorous enough to compel acceptance;
(g) the traceability of data, ensuring that the history, processing and location of data under consideration can be easily traced.
DQ is measured with **DQ metric** which shows the level of quality of the DQ dimensions. There are different metrics. The metric can be a subjective assessment of the quality dimension by a data consumer. Alternatively, metrics consisting of computations are measuring the DQ objectively. Some examples from Total DQ Management (TDQM) are percentages of incorrect values, an indicator of the time data was updated, a percentage of non-existent accounts and the number of records that violate referential integrity [CR19].
### 2.1.2 Data Quality Rules
Measuring the DQ is not mandatory for all dimensions of all data elements. According to the DQ definition “fitness for use”, the DQ is user-specific and use-case-specific. Therefore, business requirements are needed for DQ rules to be specified. The DQ rule consists of two parts as followed [Pla20]:
**Business DQ Rule** which specifies what quality means in business terms. It may also state the business process in which the rule is applied and why the rule is important to the organization.
For example, "All customers must have an identification number".
**DQ Rule Specification** explains what is considered “good quality” at the physical data store level.
Continuing the given example, "Customer.Identification_Nbr must not be NULL".
DQ rules can be mapped to DQ dimensions. Continuing the example of the DQ rule, it is mapped to dimension “completeness”, which indicates that certain attributes should be assigned values in a data set [Los10].
Continuing the example given, there can be used different metrics to measure the DQ for this rule. Results for the example DQ rule are possible to derive with the following SQLs
SELECT * FROM Customer WHERE Identification_Nbr is NULL;
SELECT
COUNT(*) Total_Count,
SUM(CASE WHEN Identification_Nbr is NULL THEN 1) Error_Count,
100*(Total_Count - Error_Count)/Total_Count Validity_Pct
FROM Customer
GROUP BY 1,2 HAVING Total_Count>0;
The initial script provides the inaccurate rows of the Customer table, using the records as a DQ metric. The second script returns the overall row count, the count of inaccurate rows, and the percentage of valid rows in the table. The percentage of valid rows and the count of inaccurate rows are the DQ metrics for the second script.
Deriving DQ measurements is named data validation or data profiling. Data profiling is a process of creating useful statistical summaries of data and implementing the simplest DQ rules of uniqueness, completeness, etc. [Tal23]. On the other hand, data validation is a testing process if the data conform to business rules [Inf23] that can be also mapped to DQ dimensions. Thus, there is no clear difference between these concepts. DQ measurement results are gathered into DQ reports or shown visually on the dashboard depending on the target group and quantity of the validation results.
### 2.1.3 Data Quality Life Cycle
The DQ life cycle, as based on the four cyclical phases of Total DQ Management [Wan98], [LO15], is as follows:
**Definition phase** involves analysing the data and collecting business requirements. The outcome of this phase is a logical and physical design of the information product, including attributes related to quality.
**Measurement phase** defines metrics for DQ and reveals problems in DQ after analysis.
**Analysis phase** examines the DQ problems identified in the previous phase and determines the root cause of errors.
**Improvement phase** entails selecting key areas for improvement, along with appropriate strategies and techniques. These strategies and techniques are implemented during the definition phase when the cycle begins anew.
That said, the DQ is implemented in a top-down direction. Business requirements are gathered from data consumers and given as input for DQ rules which can be then specified by data (quality) stewards and implemented in the data store.
2.1.4 Data Quality in Data Warehouses
The DW is a digital storage system that connects and harmonizes large amounts of data from many different sources. Its purpose is to "feed" business intelligence (BI), reporting, and analytics, and support regulatory requirements (see Figure 1). Thus, companies can turn their data into insight and make smart, data-driven decisions. DWs store current and historical data in one place and act as the single source of truth for an organization [SAP23].
As said, the purpose of the DW is to "feed" services. Therefore, it is populated only with data that is requested with business requirements and the defined information product (see Section 2.1.3). Data is sourced from source databases or files, loaded to the DW, and sent out to the data mart. Along with business requirements, all DQ rules are specified and implemented (see Section 2.1.2). There are two sources of DQ issues in DWs [LFTT19]:
1. DQ problems in data sources, i.e., poor database design, lack of accuracy in the data entry and errors entered by individuals;
2. DQ problems generated by the data integration process: loading data in and out, and calculations within the DW.
While the first type of issue is usually detected by the DQ rule of common DQ dimensions, like conformance (for checking data format), completeness or accuracy, then
the second type of issue is identified by **data reconciliation** rules. Data reconciliation is a verification phase during or after a data migration or data loading where the target data is compared against the original source data to ensure that the migration architecture has transferred the data correctly [Exp23]. Thus, data reconciliation is a kind of DQ rule or a set of rules, that helps to discover missing records, missing values, incorrect values, duplicated records, incorrectly formatted values, and broken relationships across tables or systems.
### 2.1.5 Metadata
**Metadata** is data about data [Bor03], providing comprehensive details of data, i.e., the structure, content, quality, and location [Hed16]. There are three types of metadata stored in the **data catalogue** [Edi22]:
- **Physical metadata** covers which system data resides, the schema, table, and column or key-value level of detail;
- **Logical metadata** provides details on how data is linked together to form larger sets. It also outlines how data flow through systems and processes, from creation to storage, transformation, and consumption. Such a path of data flow is called **data lineage**;
- **Conceptual metadata** provides the business context for data: meaning and purpose within an enterprise, critical information about the data usage, including subject matter experts within the organization.
Metadata plays a crucial role in achieving success in data warehousing [VVS00]. As a complex system that integrates data from various sources and serves multiple purposes, the DW relies heavily on metadata. This refers to the valuable information about the data stored in the warehouse. The quality of an organisation’s data is critical to its success, and the quality of the metadata is equally important to ensuring high-quality data [VVS00].
### 2.2 Related Work
This thesis searches for solutions for automated DQ rule detection in DWs, and surveys DQ tools’ capabilities. To the best of the author’s knowledge, there is no academic publication focusing on the same goal, hence this study is unique. In this section, all the work related to DQ tool surveys and automated DQ rule detection is reviewed.
2.2.1 Survey of Data Quality Tools
The goal of this section is to reflect all surveys of any DQ tools and look if there has been captured a feature of automated DQ rule detection for DWs. At first, papers were searched in Scopus using a keyword combination
S0. ( "survey"* OR "review"* ) AND ( "data quality tool"* OR "data quality software" OR "information quality tool"* OR "information quality software" )
and limiting the domain area to Computer Science, and language to English. The search resulted in eight (8) publications presented in Appendix I. All the papers were reviewed, and three (3) papers ([EW22], [HPYM18], [NLGK06]) of these were relevant, reviewing or surveying DQ tools.
Two (2) publications were surveys of domain-specific DQ tools, filling the gap between these particular domain needs and DQ software tools provided in the market. The article [NLGK06] made the survey for Realm of Engineering Asset Management in 2006, being quite old as the software landscape is fast-developing, and the paper [HPYM18] surveyed DQ tools for the clinical trial in 2018. These reviews focused on DQ tools but did not look for automated DQ rule detection.
[EW22] was a comprehensive and detailed survey of the DQ tools. In that article, there were found six hundred sixty-seven (667) tools dedicated to DQ from which only thirteen (13) tools were profoundly reviewed after implementing selection criteria. It also gave a brief overview of DQ processes that could be automated, including the automated detection of DQ rules to some extent. However, this thesis aims to look specifically for DQ tools which are able to automate the generation of DQ rules in DWs.
Furthermore, the survey mentioned earlier [EW22] cites an article on the evaluation framework for DQ tools [GNDL07]. This article centres on the functionalities of these tools, which aim to measure the quality of databases, clarifies what can be expected from such functionalities in a customer resource management (CRM) context, and suggests a general matrix for evaluating and comparing these tools. Nevertheless, this article from 2007 has become outdated due to the rapidly evolving software landscape.
2.2.2 Automated Data Quality Rule Detection
Whereas the core of the current thesis is automated DQ rule detection, the academic publications on that topic were reviewed. For searching the publications, four (4) keyword combinations were used, limiting the domain area to Computer Science, and language to English (the list of papers is provided in Appendix I):
S1. "automated" AND "data quality" AND ( "rule" OR "requirement" ) AND ( "detection" OR "discovery" OR "recognition" )
S2. "automat*" AND ( "data quality rule" OR "data quality requirement" ) AND ( "detection" OR "discovery" OR "recognition" )
S3. "automat*" AND ( "data quality rule*" OR "data quality requirement*" ) AND "data warehouse"
S4. "data quality" AND ( "rule detect*" OR "rule discover*" OR "rule recogn*" )
Results of found papers are concluded in Table 1. The first keyword combination (S1) returned twenty-nine (29) irrelevant results. Only one (1) publication was relevant. The same article was also returned by the second (S2) and the third search (S3). The second search resulted in four (4) additional relevant publications, and the result of the third search (S3) was the same publication as the first search (S1). The fourth search (S4) resulted in five (5) additional articles and two (2) publications which were also results for the second search (S2).
Table 1. Search results: publications of the automated DQ rule detection.
| Search Query | Total | Irrelevant | Relevant | Publications |
|--------------|-------|------------|----------|-----------------------|
| S1 | 29 | 28 | 1 | [HKO19] |
| S2 | 8 | 3 | 5 | [HKO19], [YPWE11], [TS17], [MDF+15], [CIPY14], [IC15] |
| S3 | 3 | 2 | 1 | [HKO19] |
| S4 | 14 | 7 | 7 | [TS17], [McC08], [TH10], [SLGL16], [LWL19], [FHWX22], [CIPY14] |
There were altogether ten (10) distinct publications about the automated generation of DQ rules. All of these articles were written in different years from 2008 to 2022. It is admitted that there are quite a few papers elaborating on the DQ rules discovery. Moreover, most of these papers handle the integrity constraints (ICs) as DQ rules, and if to search with keyword "integrity rule*" AND ( "detect*" OR "discover*" OR "general*" ) and limit papers by area Computer Science and language English, then twenty-five (25) additional publications from the year 1991 to 2019 appear, but which don’t mention DQ rules.
[IC15] provides an overview of DQ rule discovery techniques, surveying the most commonly used ICs in the literature for detecting data inconsistencies, as well as the techniques proposed for their automatic discovery. The authors claim that automatic IC discovery is a highly useful functionality since data owners are often not DQ experts.
The newest papers [LWL19], [TS17], and [FHWX22] concentrate on discovering DQ rules in big data, focusing on optimising the detection process, using sampling the data and building efficient discovery algorithms. However, solutions are different. [TS17] predefines DQ dimensions to generate DQ rules, and [LWL19] proposes search algorithms for conditional functional dependencies (CFDs).
The latest paper [FHWX22] considers the class of entity-enhancing rules (REEs), which is a new term for more general rules comprising of conditional functional dependencies, denial constraints and matching dependencies as special cases. REEs specify rules for both entity resolution and conflict resolution and unify ML and rule-based methods. The authors propose a sampling framework with optimization strategies for REE discovery.
The paper [HKO19], which was a result of all the first three searches, presented a domain-specific language (DSL) named RADAR for specifying DQ rules, focusing on advanced DQ rules based on ARIMA models, a statistical forecasting technique. This DSL is also capable of specifying simple DQ rules, for example, a rule of uniqueness dimension. The article described how the (semi-)automated generation of DQ rules was performed based on data profiling. In addition, this rule generation is applicable to DWs and their heterogeneous sources, relational databases and document databases.
It can be seen that some academic publications have covered DQ rules detection to some extent, mostly under the topic of integrity constraints, but some of them use ML methods. However, there is no such solution that would detect DQ rules for a broad range of DQ dimensions, and at the same time specialise in DWs. Thus, this thesis will conduct a systematic review of the DQ tools provided on the market employing the methodology presented in the next section.
3 Methodology
Whereas the aim of this thesis is to investigate the landscape of possible DQ functionality automating DQ rule detection, then the essential part of the current thesis is to review the market of DQ tools. This section covers how the review of DQ tools provided in the market was planned and conducted.
3.1 Planning the Review
In this thesis, DQ tools are reviewed based on the main principles of classical systematic literature review [KB13], adapting them to surveying software tools. The following subsections elaborate on the details of the planning process.
3.1.1 Scope and Research Questions
In the planning phase of the systematic review, the first step is to establish the scope and research questions. The main goal of this thesis is to search for DQ tools that are able to discover DQ rules using ML methods. This thesis considers also solutions which can detect DQ anomalies and let users define their own DQ rules that could be based on found anomalies and for other reasons, hence acting like a semi-automated DQ rule detector. To support the scope, the author raises the following research questions:
**RQ1.** What are the current DQ tools proposals in the market?
**Justification.** This is a general question about the search results of DQ tools. It is planned to search tools from companies or magazines that provide technological reviews for software tools and academic publications to see what DQ tools there exist. The landscape of provided DQ software is described based on the initial list of tools, derived as a result of the systematic search process. It is investigated if DQ tools still exist, whether these tools are DQ management tools, meaning that these tools are dedicated to main DQ functionalities needed for DWs, like data profiling and DQ monitoring, and whether they are available to test or at least view.
**RQ2.** What functionalities do DQ tools have? Is there a DQ tool which can automatically detect and recommend DQ rules?
**Justification.** Mapping the potentially described or referenced features of available DQ tools provides an overview of their capabilities. As this thesis seeks to identify a specific type of DQ tool, this mapping provides the most significant input for selecting the appropriate tool to be included within the scope.
**RQ3.** Which data storages are supported? Where do the DQ tools process the organisation’s data?
**Justification.** It is needed to know if the DQ tool is meant for DWs and does it support other sources, like files and databases, to cover also DQ controls for sources of the DW system. Additionally, it is examined whether these tools are cloud-based and the environment in which the data is processed. It is important that personal and other sensitive data is securely processed on the organisation’s side because the data protection regulations prohibit the processing of personal data outside of an organisation [Uni16], and business secrets should be kept secure.
**RQ4.** Which methods are employed for DQ rule detection? Do the DQ tools incorporate ML techniques?
**Justification.** It is investigated whether DQ tools employ ML methods or similar for discovering DQ rules. Such DQ rule detectors can discover checks that humans may not notice, or humans may be unaware of due to different reasons, including their level of data literacy.
**RQ5.** What are the potential advantages and disadvantages that can be gleaned from existing solutions when considering the desired DQ tool solution?
**Justification.** During the review and analysing of the results, all the advantages are collected, and limitations are mapped to improvement ideas. Accompanying objectives are to gain an overview of the area of interest and to gather ideas for future work.
### 3.1.2 Searching Strategy
The second step was to establish a comprehensive list of DQ tools. For the best possible coverage of the landscape of DQ tools, it was decided to look for tools that are highly ranked by different technology reviewers like research and consulting firms, online technological publications, computer magazines, etc. Technical reviews of DQ tools were searched in Google by keyword combination (“the best data quality tools” OR “the best data quality software” OR “top data quality tools” OR “top data quality software”) AND “2023”.
Additionally, DQ tools were planned to retrieve from academic articles. The articles were searched in Scopus with two keyword combinations:
**K1.** “data quality tool” OR “data quality software”
**K2.** ( “information quality” OR “data quality” ) AND ( “software” OR “tool” OR “application” ) AND “data quality rule”
3.1.3 Selection Criteria
For the third step, the selection criteria were set for both search directions. For searching the ranking lists of DQ tools, there were implemented following selection criteria:
- sponsored websites were excluded;
- ranking lists which were published earlier than the year 2023 were excluded;
- ranking lists in websites of other languages than English were excluded;
- websites with no technological background were excluded;
- only ranked or reviewed DQ tools were selected from not excluded ranking lists.
The selection criteria for searching the academic publications which included DQ tools were:
- publications of other fields than computer science were excluded;
- publications older than ten (10) years were excluded;
- publications not in English were excluded.
3.1.4 Review Protocol
The review process was divided into three phases which ended with excluding irrelevant tools for the next part of the review. For this, the review protocol consisted of three parts which structure with all parameters is presented in Table 2. Each parameter is complemented with an explanation and a value list.
Parameters were selected to have data to analyse and give answers towards established research questions. Parameters ID, Tool Name and Provider were needed for identification purposes. Thereby, ID is the same during the whole review. Links to Official Website, Video and Additional Info were meant for evidence of information. Trivability and Documentation for the main information sources and Level of Information as an additional decision base.
Parameters of the second phase were chosen based on the author’s experience working with DQ management tasks, discussions with DQ professionals and related work [EW22]. Parameters of the DQ features were supposed to give data to gain an understanding of the DQ tools landscape. These were selected keeping in mind to main directions of ensuring DQ: DQ issue finding (DQ monitoring) and DQ issue fixing.
In the third phase, there were needed parameters to collect information on how the tools work, where they process the data and to which data sources the tools are able to connect because this thesis focuses on detecting the DQ rules in DWs but including also its sources which can be different databases, data lakes, flat files, spreadsheets, etc.
Table 2. The review protocol.
| Feature | Definition | Values |
|--------------------------|---------------------------------------------------------------------------|---------------------------------------------|
| Tool Name | The name of the tool/software/platform. | Name |
| Provider | Name of the company who provides the DQ tool. | Name |
1. phase: Information Sources
| Feature | Definition | Values |
|------------------|---------------------------------------------------------------------------|---------------------------------------------|
| Official Website | Link to the official website of a specific tool. | Link |
| Video | Link to the official introductory or demo video. | Link, - |
| Additional Info | Link to the additional information or documentation. | Link, - |
| Trialability | It shows the possibility to see or try out the tool. Whether it was free to use, a free trial for a certain period, a demo version, etc. | Open-Source, a free trial, a demo, request a free trial, request a demo, not triable, not interested |
| Documentation | It shows if the software company provides documentation freely or not. | Yes, No, - |
| Level of Information | This is the author’s assessment of the level of information to continue with mapping. | Good, Partial, Low, - |
Decision 1
The first decision: if to include the tool in the further review process based on exclusion criteria EC1 - EC5:
EC1. Tool does not exist.
EC2. Discontinued or legacy.
EC3. Not a DQ tool.
EC4. Part of another tool.
EC5. Not enough information.
Yes, No, -
2. phase (I): DQ Management Functionalities
| Feature | Definition | Values |
|-------------------------------|---------------------------------------------------------------------------|---------------------------------------------|
| Data Profiling | The tool does the data profiling and/or executes the built-in DQ rules. | Yes, No, - |
| Custom DQ Rules | The tool allows the user to insert custom DQ rules and execute them. | Yes, No, - |
| DQ Rule Definition in SQL | The tool presents the DQ rules in SQL (and allows the user to define their rules in SQL). | Yes, No, - |
Continued on next page
| Feature | Definition | Values |
|-------------------------------|-----------------------------------------------------------------------------|--------|
| DQ Dimensions Used | The tool classifies (or allows users to classify) DQ rules towards DQ dimensions. | Yes, No, - |
| DQ Rules Repository | It is possible to store DQ rules and share them with other users. | Yes, No, - |
| Erroneous Records Shown | Any data profiling or rule execution result is possible to drill down to relevant data records. | Yes, No, - |
| DQ Report Creation | It is possible to present the results of profiling or custom DQ rules in a DQ report, or whether it is possible to manually create the DQ report. | Yes, No, - |
| DQ Dashboard | DQ results are possible to present in dashboards. | Yes, No, - |
| Data Match Detection | The tool is able to detect duplicate records (exact match and fuzzy match). | Yes, No, - |
| Anomaly Detection | The tool is able to discover any anomalies (outliers) in the data values. | Yes, No, - |
| DQ Rule Detection | The tool is able to detect DQ rules. | Yes, No, - |
| Data Cleansing | The tool has the functionality to fix or cleanse the data. | Yes, No, - |
| Data Enrichment | The tool has the functionality to augment the data or fill the empty values (with reference data). | Yes, No, - |
2. phase (II): Other Data Management Functionalities
| Feature | Definition | Values |
|-------------------------------|-----------------------------------------------------------------------------|--------|
| Master Data Management | The tool manages the master data. | Yes, No, - |
| Data Lineage | The tool is able to track the data lineage/data origination. | Yes, No, - |
| Data Catalogue | The tool provides data catalogue features. | Yes, No, - |
| Data Semantic Discovery | The tool discovers data semantics with ML methods. | Yes, No, - |
| Data Integration | The tool provides data integration functionalities. | Yes, No, - |
Continued on next page
| Feature | Definition | Values |
|-------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------|
| Scope Decision 2 | The second decision: if to include the tool in the further review process based on exclusion criteria EC6 - EC8:
EC6. Checks only one specific data attribute.
EC7. Not detecting DQ rules or anomalies.
EC8. Anomaly detection, but no DQ rules possible to define. | Yes, Yes*, No |
| **3. phase: Environment and Connectivity Features** | | |
| Tool Environment | Location where the tool is set up. | in the cloud, hybrid, on-premises, some combination |
| Data Processing Environment | Location where the data is processed. | in vendor’s cloud, an organisation’s cloud or on-premises |
| API Used | The tool uses API for connecting to organisation’s data store. | Yes, No, - |
| Flat file (.txt, .csv, .tsv) | Supported as an input. | Yes, No, - |
| Spreadsheet (.xlsx, .xls) | Supported as an input. | Yes, No, - |
| .json | Supported as an input. | Yes, No, - |
| Relational Database | Connection supported to relational databases. | Yes, No, - |
| Non-Relational Database | Connection supported to non-relational databases. | Yes, No, - |
| DW | Connection supported to DWs. | Yes, No, - |
| Data Lake | Connection supported to data lakes. | Yes, No, - |
| Cloud Data Storage | The tool is able to connect to the organisation’s data store located in the cloud (store type in previous fields). | Yes, No, - |
Continued on next page
### Table 2 – continued from previous page
| Feature | Definition | Values |
|------------------|---------------------------------------------------------------------------|--------------|
| Scope Decision 3 | The third decision: if to include the tool in the further review process based on exclusion criteria EC9 - EC11.
EC9. Tool is not intended for DWs.
EC10. Data processing location unknown.
EC11. Data processing in vendor’s cloud. | Yes, Yes*, No |
| Criteria | Exclusion or inclusion criteria applied to the tool. Inclusion criteria:
IC1. Automated DQ rule detection.
IC2. Anomaly detection with custom DQ rules. | One criterion of EC1 - EC11 or IC1 - IC2. |
#### 3.1.5 Data Synthesis
For the final step, DQ tools were reviewed and data synthesised. For reviewing the tool, it was planned to
- read the information on the official website,
- read the documentation,
- download a tool or try out a platform, and review it physically,
- view a demo, and/or
- watch the official video(s).
#### 3.2 Conducting the Review
In this section, the review process is described.
##### 3.2.1 Executing the Search and Applying the Criteria
The DQ tools were searched with two methods: searching the ranking lists by technology reviewers and searching academic papers including DQ tools.
Sixteen (16) ranking lists were found (as of 01.04.2023) by different technology reviewers like research and consulting firms, online technological publications, computer
Table 3. Lists of DQ tools compiled by reviewers found through a Google search.
| Reviewer | Title | Reference | Nbr of Tools |
|-------------------|--------------------------------------------|-----------|--------------|
| Datamation | "Best DQ Tools of 2023" | [Dat21] | 11 |
| Simplilearn | "Top DQ Tools of 2023" | [Sim23] | 12 |
| TechTarget | "7 top DQ management tools" | [Tec22b] | 7 |
| Solutions Review | "The 8 best DQ tools" | [Rev22] | 8 |
| TechRepublic | "Top DQ tools of 2022" | [Tec22a] | 8 |
| Geekflare | "The best DQ tools" | [Gee23] | 8 |
| TrustRadius | "DQ Software Overview" | [Tru23] | 24 |
| BIS (Grooper) | "The 9 Best DQ Tools 2023" | [(Gr23] | 10 |
| G2 | "Best DQ Tools" | [G223] | 15 |
| Slashdot | "Best DQ Software of 2023" | [Sla23] | 4 |
| SourceForge | "DQ Software" | [Sou23] | 4 |
| PeerSpot | "Best DQ Software" | [Pec23] | 10 |
| SoftwareReviews | "Top DQ Tools" | [Sof23] | 7 |
| WebinarCare | "10 Best DQ Software for February 2023" | [Web23] | 10 |
| HubSpot | "DQ: A Comprehensive Overview" | [Hub23] | 9 |
| Gartner | "DQ Solutions Reviews and Ratings" | [Gar23] | 83 |
magazines, etc. After applying the exclusion criteria (see Section 3.1.3) a total of one hundred twenty-eight (128) tools were retrieved from the lists listed in Table 3.
In addition, there were searched academic publications providing DQ tools with two keyword combinations (see Section 3.1.2). The first search returned fourteen (14) publications of which five (5) papers [EW22], [EGHW21], [AL20], [WOB14a], [PVA16] included thirty-five (35) DQ tools, and the second search resulted in twenty-one (21) publications of which one (1) publication [CDK+22] included three (3) DQ tools. The list of research papers found is in Appendix IIb.
It was found (2) more tools as a result of the discussion with DQ experts. As certain sets of tools were mentioned more than once then altogether the author retrieved one hundred fifty-one (151) distinct DQ tools. The list of retrieved tools with relevant sources is provided in Appendix IIa.
3.2.2 Conducting the Review
The review was divided into three parts and each part ended with excluding the inappropriate tools from further review. The structure of the review, the protocol and its features are described in Table 2.
Tools were reviewed based on the available information listed in Section 3.1.5. For these tools, when it was not possible to download and test them due to the lack of even a trial version, a brief overview was conducted based on the official information on websites and videos. Also, some tools were provided with a demo with the possibility to review the tool visually but without testing it physically.
**The first phase.** The main aim of this phase was to map the **sources of information** of tools. The first feature of the protocol, *Official Website*, stores the link to the official page of the tool. In case it was missing, the tool was not found, and a *Criterion* "EC1. The tool does not exist." was applied to this tool.
To another group of tools was applied a *Criterion* "EC2. Legacy or discontinued." The fact of being discontinued or legacy was mostly mentioned on the official websites, or the tools were not found on their provider’s official websites anymore but had any other evidence of earlier existence. It was also determined in the first phase whether the tool was a DQ tool or specialised to something else, mostly not even having any DQ features, i.e. marketing tool for handling marketing information. All non-DQ tools were applied a *Criterion* "EC3. Not a DQ tool."
While familiarising the one with the tools based on the information on their websites, it turned out that some provided tools were actually a specific functionality of another DQ tool under investigation. These tools were applied a *Criterion* "EC4. Part of another tool investigated."
The main expected information source was the tool itself if it was triable. Six levels of the tool’s *Trialability* were as follows: “Open source” for free tools, “Free trial available” and “Request a free trial” for testing the software for some time with own data, “Demo available” and “Request a demo” for looking into the tool, but not having the possibility to test it with own data sets, and “Not available” in case the software company or developer does not provide even the possibility to request it for try out or demo. Thereby, requests ended in not being contacted, thus, being also unavailable. Additionally, for the tools, which were excluded by criteria E1 - E4, the value was “Not interested”.
Another good source of the information, *Documentation* was observed if it was found or not. The documentation was searched from the official website and if not found, then there was additionally used Google search. The value list of *Documentation* consisted of “Yes” or “No” if documentation existed or not respectively, and “-” for the tools excluded by criteria E1 - E4.
The feature *Level of Information* was the author’s assessment of the information
sufficiency based on the information on the website, in videos, documentation, and trialability. There was assessed if any DQ features were described or not. This feature had 3 main values "Good", "Partial", "Low" and additionally "-" for tools which excluded before (EC1 - EC4). Having not enough information ("No") was also a stopper in the investigations and these tools were applied a Criterion "EC5. Not enough information."
The value of the last feature of the first phase, Decision 1, was "No" if the tool got one Criterion of EC1 - EC5. These tools were not included in the further review.
**The second phase.** In this phase, the reduced list of tools was mapped to thirteen (13) DQ management and five (5) other data management features and functionalities presented in Table 2. As mentioned before, the mapping was based on the provided sources of information. The best source of information was the downloaded tool or its trial version, but other tools which were not triable were mapped towards functionalities which were mentioned and/or described in any other information source: the official website, video, demo, or documentation.
**DQ management functionalities**, including automatic DQ rule detection, and **other data management features** were reviewed to gain an understanding of the DQ tools' abilities in general. These functionalities, defined in Table 2, were reviewed to answer the questions of the second research question: What are the functionalities of DQ tools? Is there any DQ tool that can detect DQ rules? How many tools have that ability?
Based on the review results, inappropriate tools were excluded. Firstly, DQ tools which checked only one data attribute, i.e. checking validity and correctes of phone number, address, e-mail, or else, were applied a Criterion "EC6. Checks only one data attribute." Secondly, as it was considered alternative DQ tools, which could detect anomalies and allow defining custom DQ rules, acting like semi-automated DQ rule detection, it was applied a Criterion "EC7. Not detecting DQ rules or anomalies." or a Criterion "EC8. Anomaly detection, but no DQ rules possible to define."
All DQ tools which were excluded with Criterion (EC6 - EC8) got a value "No" to the protocol field Decision 2. DQ tools with DQ rule detection capability got a value "Yes" and the alternative tools that were able to detect anomalies and allowed the users to define their own rules got a value "Yes*".
**The third phase.** For the last phase it was reviewed the environment solution and supported data sources as this thesis is aiming to look for DQ tools which fit DWs and its sources (databases, files, data lake, etc.), and which architecture is safe and compliant with General Data Protection Regulation (GDPR) [Uni16].
For this, there were reviewed the Tool Environment and Data Processing Environment. The tool was set up in the cloud, hybrid, or on-premises, or there were provided several possibilities. Data were processed on the provider’s cloud or on the organisation’s side (in the cloud or on-premises). Then it was reviewed the API Usage for connecting data
sources, and *Supported Data Sources*, including different files and database systems from relational databases to data lakes (mentioned in Table 2), and also if the data stack could be located in the cloud.
DQ tools which did not support a DW were applied a *Criterion* "EC9. The tool is not intended for DWs." Tools for which it was not possible to determine where the vendor processes the organisation’s data were excluded with *Criterion* "EC10. Data processing location unknown.", and tools that processed data on the vendor’s side were excluded with a *Criterion* "EC11. Data processing in vendor’s cloud."
All the tools which were applied any exclusion criterion of EC9 - EC11, got a value "No" in the protocol field *Decision 3*. The remaining tools got either value "Yes" or "Yes*" depending on the value of *Decision 2*. All criteria EC1 - EC11 of the tools were inserted into field *Criterion*.
**The list of included DQ tools.** Tools which were not applied any exclusion criteria were applied the following inclusion criteria:
**IC1.** Automated DQ rule detection.
**IC2.** Anomaly detection with custom DQ rules.
In addition to the automated DQ rule detection, it was considered an alternative solution with a combination of anomaly detection and the possibility to define custom DQ rules. This combination is equivalent to the semi-automated DQ rule generation where the machine provides data value anomalies and users can define their own rules based on these DQ issues raised.
4 Results and Analysis
In this section, the data synthesised during reviewing the DQ tools are presented by describing the results towards each established research question.
4.1 Research Question 1: The Data Quality Tools Landscape
The first research question was about the DQ tool proposals on the market. A question was raised if DQ tools still exist, whether these tools are dedicated to main DQ functionalities, and whether these are available to test or at least view.
In the first subsection, irrelevant tools are excluded from the formed list by applying the exclusion criteria shown in Table 2 in the definition of attribute "Decision 1". The second subsection presents the results of the availability to try out the tools. The third subsection it is shown statistics of available documentation and in the last section, the author gives the estimation of the level of the information on which the tools were mainly surveyed. Review results for this research question are in Appendix III.
4.1.1 Initial Tool Validation
Searching the DQ tools resulted in one hundred fifty-one (151) tools. However, the initial tool validation excludes the tools from that list (counts in Figure 2). During the review, it came out that four (4) of these tools do not exist as they were not found on the provider’s website or elsewhere. Two (2) missing tools, Data Preparator and DataMentors were mentioned in academic article [WOB14b] in 2016, one (1) tool, Synchronos by Innovative Systems was mentioned in the website of Solutions Review [Rev22] (visited 08.04.2023), and one (1), matchIT DQ Solutions was named in Gartner’s website [Gar23] (visited 08.04.2023).
Six (6) tools were marked legacy or discontinued by their providers. There were Dattiris Profiler, Experian Pandora, Talend Platform for Data Management, two (2) Melissa Data solutions and DataLever by RedPoint Global. The last one was not found on its provider’s website anymore but others had a comment on their websites.
Nine (9) DQ tools were excluded from further analysis because of being a part of another investigated tool. Rapid Data Profiling and Self-Service Data Preparation are solutions in DataRobot AI Platform and thus looked together. ChainSys dataZen is a solution for ChainSys Smart Data Platform, IBM InfoSphere Information Analyzer and IBM InfoSphere QualityStage are part of the platform IBM InfoSphere Information Server, Syniti Master Data Management and Syniti Data Matching are solutions on Syniti Knowledge Platform, and functionalities of Melissa Data Data Profiler, MatchUp, and Personator were reviewed as part of Melissa Data DQ Components for SSIS. These tools were admitted as duplicates.
Additionally, it was found twenty-seven (27) tools which are dedicated to other functionalities and DQ functionalities are just included to some extent. There were twelve (12) data integration tools, eight (8) tools for customer management, business analysis and marketing purposes also integrating data from different CRM systems, four (4) metadata tools without any DQ management functionalities, one (1) master data management tool without DQ management, one (1) data marketplace tool which was related to DQ only for informing purposes, showing the level of correctness of certain data field or element, and one (1) tool for visualising data of location services. All of these tools were noted "not a DQ tool".
After exclusions, there were left one hundred five (105) tools or platforms dedicated to DQ to a considerable extent. Further analysis is made only on these tools.
### 4.1.2 Tool Trialability
The tools were triable on different levels. There were thirteen (13) open-source tools, ten (10) available free trials and five (5) available demos. These tools were immediately triable or viewable. For twelve (12) tools were provided with a form for requesting a free trial, and forty-three (43) tools a form for requesting a demo. Thereby, requested demos were mostly calls from salespersons with a personal introduction to the tool. The requests were left without any answer, except for two (2) cases from which one (1) software provider called and one (1) free licence for a free trial was received. Twenty-two (22) DQ tools were not triable at all and could only be bought.
As requests resulted mostly in no answer, these could be treated also as not triable. In conclusion, altogether seventy-seven (77) tools were not available to test or even look into, which was 73.3% of the remaining one hundred five (105) DQ tools as shown in Table 4. None of these tools were excluded.
### 4.1.3 Documentation
Tools which were not triable were further reviewed based on their information on the descriptions on their official website, introductory videos, demos or documentation. Many software companies offer documentation regardless of the tool availability.
| | No Documentation | Documentation | All DQ Tools |
|----------------|------------------|---------------|--------------|
| Not triable | 45 | 32 | 77 |
| Triable | 8 | 20 | 28 |
| Total | 53 | 52 | 105 |
As Table 4 shows, ca half of the tools had documentation publicly available. However, forty-five (45) unavailable tools did not have documentation which is 42.9% out of the remaining DQ tools reviewed. These tools could be investigated only based on the information provided on their websites and other available web-based materials. Thirty-two (32) tools had documentation but also could not be tried out or viewed. Only twenty-eight (28) tools could be tested or viewed and twenty (20) of these had documentation.
### 4.1.4 Available Information
It was observed that many companies lacked specific details on their websites, having much text for marketing purposes instead. In protocol, it was added an additional attribute *Level of information* for the author’s estimation of whether the information was sufficient or not. Seventy-two (72) tools were well described, twenty-eight (28) were partially described, and five (5) tools lacked so much information that these tools were excluded from the scope as it was impossible to decide if the tool served the goal.
DQ functionalities of master data platform *Black Tiger Platform* were not clear. Only data profiling was mentioned on their website but nothing else. *DataStreams Platform* did not also cover the concrete DQ functionalities, except validation, reporting and some DQ diagnostic. It was not described if there was used DQ rules or statistics for validations and what was actually the DQ diagnosing. It was also hard to understand what DQ functionalities *OpenDQ* had. The other DQ tool *Deduplix Insight* mentioned only fuzzy matching models, but it was not clear what these even do. *Talend Open Data Studio* could be freely downloaded and it had documentation available but this program did not open after instalment and the documentation was very poor. In addition, this tool was not described on its provider’s website.
Altogether, in the first phase of the review, it was excluded fifty-one (51) tools which
counts are presented by exclusion criteria in Figure 2. Thus, a total of hundred (100) tools were further analysed.
4.2 Research Question 2: Features of Data Quality Tools
This section presents the observations from reviewing the remaining hundred (100) DQ tools. The second research question was about investigating which functionalities the tools have, whether there are tools that are able to automatically detect DQ rules, and how many tools are able to detect DQ rules. The review results for this research question are attached in Appendix IV.
4.2.1 Data Quality Functionalities
Each examined DQ tool was mapped to DQ functionalities which were selected for the protocol (Table 2). Out of the hundred (100) tools, there were only twelve (12) open-source tools and ten (10) available free trials which could be tested, then for the other seventy-eight (78) tools, the mapping was made if the functionality was clearly mentioned and described on the official website, documentation, demo or video.
Table 5. Relative frequencies of DQ features.
| Feature | Percentage |
|-------------------------------|------------|
| Data Cleansing | 75% |
| Data Profiling | 67% |
| Data Enrichment | 59% |
| Data Match Detection | 55% |
| Custom DQ Rules | 48% |
| Erroneous Records Shown | 47% |
| DQ Rules Repository | 41% |
| DQ Report Creation | 35% |
| DQ Dashboard | 35% |
| Anomaly Detection | 26% |
| DQ Dimensions Used | 26% |
| DQ Rule Detection | 12% |
| DQ Rule Definition in SQL | 6% |
Relative frequencies of DQ features are presented in Table 5. It is shown that 75% of all the remaining DQ tools had a data cleansing functionality, and 67% had a data
profiling functionality. On the other hand, only 12% of DQ tools had a DQ rule detection and recommendation ability. As the goal is to focus on the DQ tools for DWs in which users are skilled in SQL which in turn gives concreteness to the DQ rules, then the author was also interested in the possibility to define the DQ rule in SQL. It seemed to be the most unpopular feature, being a feature only for 6% of DQ tools.
4.2.2 Data Functionalities
All the remaining hundred (100) DQ tools were similarly mapped to other data management functionalities: master data management, data lineage, data catalogue, data semantic discovery, and data integration. Relative frequencies of these are presented in Table 6.
Some DQ tools named in the list were single DQ solutions, i.e., OpenRefine or Ataccama DQ Analyzer. Another part was multi-functional platforms including information management features in addition to DQ management, i.e., SAP Information Steward, Syniti Knowledge Platform or Ataccama ONE. If the tool was only DQ management solution, then it was possible that this tool had other information management functionalities as separate solutions, i.e., Experian Namesearch, but these other functionalities were not mapped to these DQ tools.
Table 6. Relative frequencies of other data management functionalities.
| Feature | Percentage |
|-------------------------------|------------|
| Master Data Management | 30% |
| Data Catalogue | 27% |
| Data Integration | 25% |
| Data Lineage | 23% |
| Data Semantics discovery | 20% |
4.2.3 Applying Exclusion Criteria
Eight (8) tools were checking only the DQ of a specific attribute, i.e., e-mail, phone, address, etc. For example Experian Email Validation validates e-mails online or cleanses the e-mail lists, and Informatica Address Verification is used to verify and validate international postal addresses in real-time in customer relationship management (CRM) systems, e-commerce sites, etc.
There were eight (8) tools, which were detecting anomalies but did not have the functionality to insert custom DQ rules by users based on anomalies discovered, i.e., Holodetect, Rapid Data Profiling and Talend Data Fabric. These tools are more used for
preparing the data for ML. Input data is profiled, anomalies detected and then the data will be cleansed and/or enriched.
Sixty-five (65) tools did not detect DQ rules or even anomalies. Fifty-four (54) tools of these had cleansing functionality, and thirty-one (31) of them in turn had no possibility to insert custom DQ rules. Such tools were purely cleansing tools, i.e., *Clean & Match Enterprise* by *WinPure*, *TIBCO Clarity*, *OpenRefine*, *Enlighten*, and others.
Exclusion criteria were applied to several tools. These counts are presented in Figure 3. Out of the remaining tools, twelve (12) DQ tools were able to detect rules and seven (7) tools were the alternative tools which could detect anomalies and allowed users to define their DQ rules. Thus, the list of DQ tools has been reduced to nineteen (19) DQ tools.
### 4.2.4 Clustering Data Quality Tools
To describe what DQ tools are provided in the market in the sense of what DQ and other data management functionalities these tools have, it was decided to cluster the tools by their DQ functionalities. All hundred (100) DQ tools were clustered with unsupervised ML methods *K-means* and *hierarchical clustering*.
The mappings of tools and DQ functionalities were given as input. This dataset consisted of hundred (100) rows, each for one tool, thirteen (13) columns for all DQ functionalities, and values of 1 and 0. Value 1 for the fact that the tool had the DQ functionality and value 0 for the fact that the tool did not have the DQ functionality.
The number of clusters was chosen with the *Elbow* method trying out two (2) to ten (10) clusters. The best number of clusters was $K = 2$ (Figure 4).
Clustering with methods *K-means* and *hierarchical clustering* resulted in almost the same distribution as tools were included and excluded in the second phase as shown in Figure 5. All nineteen (19) included DQ tools were clustered by K-means in one
group, and seventeen (17) included DQ tools by hierarchical clustering. Some excluded tools, twenty-six (26) and twenty-three (23) tools respectively were clustered under included tools (by Decision 2) but most of the excluded tools, fifty-five (55) and fifty-eight (58) tools respectively, were clustered separately matching excluded tools. In addition, clustering with $K$-means and hierarchical clustering differed only in five (5) tools as shown in the rightmost table in Figure 5.
**Figure 5.** Comparing pairwise the Decision 2 (excluded or included), $K$-means (Cluster_K2) and hierarchical clustering (Cluster_h2) for two clusters.
### 4.2.5 Included Data Quality Tools
The remaining nineteen (19) DQ tools conform to the main criterion (IC1) of this thesis or the alternative criterion (IC2).
**IC1.** Tools that can detect DQ rules.
**IC2.** Tools that can detect anomalies and allow users to define custom DQ rules.
**Functionalities** Relative frequencies of DQ features for tools that conform to IC1 and IC2 are shown in Table 7. It can be noticed that for IC1 defining custom rules appears for all tools. It means that a tool that is able to detect and recommend DQ rules, but also allows users to define their own rules. Rules repository is also a feature for most of the tools. Some tools might miss that functionality (or any other functionality) in the protocol because it was not mentioned on the website, documentation, etc.
Table 7. Relative frequencies of DQ features of the included tools by inclusion criteria IC1, IC2.
| Feature | IC1 | IC2 |
|-------------------------------|-------|-------|
| Custom DQ Rules | 100% | 100% |
| DQ Rules Repository | 91.7% | 100% |
| Anomaly Detection | 91.7% | 100% |
| Data Profiling | 100% | 85.7% |
| Erroneous Records Shown | 100% | 71.4% |
| DQ Report Creation | 91.7% | 71.4% |
| DQ Dashboard | 75% | 85.7% |
| DQ Dimensions Used | 75% | 57.1% |
| Data Match Detection | 75% | 42.9% |
| Data Cleansing | 75% | 42.9% |
| DQ Rule Detection | 100% | 0% |
| Data Enrichment | 50% | 28.6% |
| DQ Rule Definition in SQL | 8.3% | 57.1% |
For DQ tools which were applied IC1 the DQ rule definition in SQL is the least frequent. Yet, expressing DQ rules in SQL is inherent to many DWs. Also, SQL presents the DQ rules in concrete "sentences" that can be validated by executing them. Thus, DW users are commonly skilled in SQL and SQL is usually preferred in data warehousing.
Data enrichment and cleansing functions are mapped for statistical purposes but are not in the scope of this thesis as it aims to look for DQ tools for DWs where data cleansing and enrichment are not used locally. So, it is expected that these features appear only as suggestions, whereas data fixing in the warehouse system is allowed only by fixing the issues in source systems and then loading the correct data to the warehouse. However, 75% of DQ rule detectors have data cleansing functionality and half of them have enrichment functionality.
It can be noticed that most of the DQ features of DQ rule detectors (IC1), except "Anomaly Detection", "DQ Dashboard" and "DQ Rule in SQL", are more frequent
features than these are for tools of anomaly detectors (IC2). All other data features shown in Table 8 are also more frequent for IC1 than for IC2 which can mean that rule detectors (IC1) are more "multifunctional" than anomaly detectors (IC2).
Table 8. Relative frequencies of other data management functionalities by the inclusion criteria by IC1, IC2.
| Feature | IC1 | IC2 |
|--------------------------|-------|---------|
| Data Semantics discovery | 75% | 57.1% |
| Data Catalogue | 75% | 57.1% |
| Data Lineage | 75% | 42.9% |
| Master Data Management | 66.7% | 14.3% |
| Data Integration | 41.7% | 28.6% |
It can be said that both of the included tools by IC1 and IC2 are having more functions than the tools which were excluded as shown in Figure 6. It can be also noticed that excluded tools have data cleansing and data enrichment functionalities in more cases than included tools. It refers to the fact that this thesis looks for tools focusing on DQ issue finding, not on DQ issue fixing.
**Trialability and Documentation** Table 9 shows the distribution of the trialability and documentation by inclusion criteria IC1 and IC2. It can be noticed that 73.7% of the DQ tools were not triable and half of these did not have documentation either. These tools were reviewed based on less formal information found on their websites and videos.
Table 9. Triability and documentation of the DQ tools.
| | No Documentation | Documentation | Total |
|----------------|------------------|---------------|-------|
| **IC1** | | | |
| Not Triable | 6 | 3 | 9 |
| Triable | 2 | 1 | 3 |
| **Total** | 7 | 5 | 12 |
| **IC2** | | | |
| Not Triable | 1 | 4 | 5 |
| Triable | 1 | 1 | 2 |
| **Total** | 2 | 5 | 7 |
4.3 Research Question 3: The Environment and Connectivity
This section presents the results of environment solutions and supported connections of nineteen (19) DQ tools from which twelve (12) tools were able to detect DQ rules, and seven (7) tools were alternatives, being able to detect anomalies and letting users define their own DQ rules. Results that are presented in Appendix V serve as the input for the third research question.
4.3.1 Environment and Connection Related Features
Firstly, tools were mapped to data sources to which the connection was supported, and as the current thesis focuses on DWs, then it was excluded tools which did not support the connection to DWs. There was no tool to exclude as all of these tools were supporting DWs. Another question is to which warehouse systems these adapt, and if the DQ tool is able to connect with the existing DW in the organisation, i.e., Teradata Vantage, Snowflake, Amazon Redshift, etc.
Secondly, the tools were mapped to their environment location. Most of the tools were working on the cloud. There were thirteen (13) cloud-based tools, two (2) tools were working either in the cloud or on-premises, one (1) tool was on-premises, one (1) tool was hybrid, one (1) was in the cloud or hybrid, and one (1) remained open if it was
cloud-based. There were no exclusion rules for these values.
Thirdly, it was determined where tools process the data. Seven (7) tools processed the data regardless the location of it (on the vendor’s side or the organisation’s side), four (4) provided processing in the private cloud, one (1) on-premises, three (3) in the vendor’s cloud, and four (4) did not have information for the location. As one requirement of GDPR [Uni16] is to keep the personal data inside the organisations, then tools, which data processing location was unknown or in the vendor’s cloud, were excluded. The remaining list of tools was reduced to twelve (12) tools consisting of ten (10) tools that were able to detect DQ rules and two (2) additional tools which could detect anomalies and let users define custom rules.
### 4.3.2 Summary of Review Phases
All in all, the review process was divided into three phases where each phase exclusion criteria were applied to DQ tools as shown in Figure 7. The search process resulted in one hundred fifty-one (151) tools to which exclusion criteria EC1 - EC5 were applied. Hundred (100) tools remained. These tools were DQ tools in terms of this thesis. It is expected the DQ tool has DQ functionalities that have been brought out in the report presented in Table 2.
**Figure 7.** Review process consisted of three phases. In each phase a set of exclusion criteria were applied to DQ tools. In the final step, it is focused only on one type of included (IC1) DQ tools.
In the second phase were excluded DQ tools which did not meet the expectations of this thesis. Different types of inappropriate tools were distinguished by exclusion criteria EC6 - EC8. Applying these criteria resulted in nineteen (19) DQ tools which consisted of two (2) types of included tools, ones which could detect DQ rules and alternative tools which could detect anomalies and let users define custom DQ rules.
In the third phase, the environment solution and connectivity were reviewed for the DQ tools with desired functionalities. Tools which did not meet the expectations of this study were applied exclusion criteria E9 - E11 and there remained twelve (12) DQ tools, including ten (10) tools of the main goal and two (2) alternative solutions. Alternative tools were included in that phase for analysis but in the final step, only the main goal was reviewed because of the DQ rule detection.
4.3.3 Trialability and Documentation
58.3% of the remaining twelve (18) tools were not triable or it was not possible to look into them as shown in Table 10. Not triable tools consisted of three (3) tools totally unavailable to try out, four (4) tools for which it could be requested a demo, and one (1) tool for which was possible to request a free trial. For the last tool the licence key was provided for a trial, and it had documentation also*. Thus, it changed counts in Table 10.
Table 10. Distribution of trialability and documentation.
| | No Documentation | Documentation | Total |
|----------------|------------------|---------------|-------|
| Not Triable | 5 | 3(-1)* | 7 |
| Triable | 3 | 1(+1)* | 5 |
| Total | 8 | 4 | 12 |
Thus, triable tools consisted of one (1) trial which was requested and received (*LiTech* is also for Windows) which was the alternative solution, not being able to detect DQ rules. In addition, there were four (4) available demos. Two (2) demos were introductory videos of the tools (*Ataccama ONE, Anomaloo*), one (1) demo (*Informatica Master Data Management*) was interactive guidance in the tool, and one (1) demo (*Collibra*) was limited platform access without being possible to test it with own data. Nevertheless, it was possible to assess tools visually.
The heatmap in Figure 8 presents the counts of tools by selection criteria and trialability. It is shown that most of the open-source tools are excluded with different criteria: eleven (11) open-source tools were excluded in the second phase because of not detecting DQ rules or anomalies (EC7) or, in case detecting anomalies, not letting define DQ rules (EC8). All the tools with the available free trial were also excluded in the second phase because of not detecting DQ rules or anomalies.
The best option to view DQ tools which were able to detect or generate DQ rules (IC1) was a demo for three (3) tools: *Ataccama ONE, Informatica Master Data Management* and *Collibra*. Provided demos were a video, interactive guidance and a demo tool respectively. It was not possible to test this demo tool with its own data. Four (4) DQ tools provided a form for requesting a demo, which was not received, and three (3) tools did not provide anything.
4.3.4 Alternative Solutions
The alternative DQ tools can be taken as semi-automated DQ rule detection. It detects anomalies and lets users define their own DQ rules. Seven (7) such DQ tools were found, these all were cloud-based solutions but for four (4) tools it was not clear where the data is processed and for one (1) tool the data was processed on the vendor’s cloud. Thus, after excluding these inappropriate tools there remained only two (2) suitable solutions which solutions are shortly described as follows.
**Anomalo** uses ML, specifically unsupervised ML, to detect DQ issues without the need to create DQ rules or set thresholds in DWs\(^3\). Users are also able to modify the monitoring process without using a code. Anomalo claims that classical outlier detection and time series analysis does not work as well as their unsupervised ML methods.
**LiTech DQ Management** assembles data validations into place, consisting DQ rule
---
\(^3\)https://www.anomalo.com/post/unsupervised-data-monitoring
repository and DQ reports, and uses ML to create DQ validations on its own, including anomaly detection with alerting system\textsuperscript{4}.
Another half of the anomaly detectors, specifically eight (8) tools out of fifteen (15) DQ tools, are designed for data preparation for ML or business analytics, including also cleansing and enrichment functionalities but not using any DQ rules, i.e., \textit{Experian DataArc360}, \textit{Rapid Data Profiling}, and \textit{Talend Data Fabric}.
\subsection*{4.4 Research Question 4: Solutions supporting the Data Quality Rule Detection}
This section summarises how the automated DQ rule detection has been solved. Ten (10) DQ tools, which were able to detect DQ rules for DWs, are described based on available material and presented in Appendix VI. There is given (a) a general description presenting their features and the environment and connectivity solution, and (b) an overview of how the automated DQ rule detection has been solved.
It was observed that these DQ tools use four (4) main methods to discover DQ rules:
- using only metadata (\textit{DQLabs Platform}),
- using built-in rules and ML (\textit{Ataccama ONE Platform}, \textit{DvSum}),
- using metadata and ML (\textit{AbInitio Enterprise Data Platform}, \textit{Informatica products}), and
- using only ML (\textit{Collibra}, \textit{Syniti Knowledge Platform}).
Five (5) tools out of ten (10) directly emphasise that they discover rules based on metadata and six (6) tools claims to use ML for DQ rule detection. One of the tools, \textit{Global IDs DEEP Platform}, does not describe much about how they have solved their DQ rule detection but also includes metadata management and emphasises the importance of data lineage which is one type of metadata. Therefore, it can be admitted that metadata is one important basis for creating DQ rules by machine.
Based on the author’s experience analysing the root cause of DQ issues, it is needed to understand the format of data, data lineage, relationships between data objects, etc. The author had also a discussion with other data stewards who admitted that metadata is crucial for ensuring the quality of data. In addition, [AKT16] brings out in detail how and which metadata is used to create DQ rules of specific DQ dimensions, and proposes a DQ methodology, considering both content and database metadata.
\textsuperscript{4}https://litech.app/
On the other hand, we can see that there are some solutions which use ML for detecting DQ rules or checks, but still, there is a small number of solutions which could provide DQ rule detection for DWs and their source systems.
In addition, all reviewed ten (10) DQ tools are cloud-based tools, connecting to data sources via API to be able to connect almost every type of data source, and process customer’s data where ever it is: public cloud, private cloud, or virtual private cloud.
### 4.5 Research Question 5: Advantages and Disadvantages of Current Solutions
All the advantages and disadvantages of existing solutions can be turned into future work ideas. The main features of existing ten (10) DQ tools, which were able to detect DQ rules, are presented in Figure 9.
It is shown that all of these tools can also do data profiling, let define custom DQ rules and generate DQ reports, provide a DQ rule repository, and show erroneous records for DQ issues found. All of these process data on the organisation’s realm, use API for connecting data storage, support DWs and can connect data storage in the cloud. Thereby, mentioned features, including the main feature of detecting DQ rules, are also the features of the tool expectation in the scope of this thesis. These features have been listed as advantages in Table 11.
Existing solutions have also features which do not meet the expectations set by the goal. These are brought out in Table 11 as disadvantages. DQ tool providers did not mention detecting reconciliation rules. It also seemed that the DQ rules detected were not covered in a broad range of DQ dimensions and tagging the DQ dimension to rule was
Table 11. Advantages and disadvantages of current DQ tools that can automatically detect DQ rules.
| Advantages | Disadvantages |
|----------------------------------------------------------------------------|-------------------------------------------------------------------------------|
| Detecting DQ rules. | Not detecting reconciliation rules. |
| Processing data on the organisation’s cloud or on-premises. | Not designed for all data types (integer, float, boolean, string, date, etc.).|
| Using cloud computing. | Not defining DQ rules in SQL. |
| Using API to connect the data stack. | Option to accept, edit or reject suggested DQ rules. |
| Detected rules provided with erroneous data records. | Not detecting DQ rules towards different DQ dimensions, i.e., referential integrity or external consistency. |
| Possibility to define custom DQ rules. | Not tagging DQ rules with DQ dimension. |
| Proposed DQ rules can be edited, accepted and rejected. | |
| Tagging DQ rules with relevant data elements and business terms. | |
also not noticed in many cases. Defining DQ rules in SQL was a very rare feature, but definitely necessary for rule validation purposes. It remained also unclear whether the DQ rules were suggested for sufficient list of data types. It is also important that suggested DQ rules can be handled by a data (quality) steward before implementing it, being able to modify, accept and reject the recommended DQ rules. In addition to these, it is expected that the DQ tool is working efficiently, not wasting the organisation’s resources which can be solved using cloud computing benefits, like scalability and flexibility.
As seen in the Table 11, existing solutions have already many desired features but still there is much space for development.
5 Summary and Discussion
In this section, the primary findings are summarised, aiming to address the research questions. The encountered limitations are discussed, and suggestions for future work are presented.
RQ1. What are the current DQ tools proposals in the market? Technical reviewers, companies, magazines, and others provided one hundred fifty-one (151) tools as popular DQ tools for the year 2023. However, upon closer examination, it was discovered that several tools either did not exist, were outdated legacies, or had been discontinued. Additionally, certain tools overlapped with others, essentially constituting a part of another reviewed tool, resulting in duplication. After excluding these tools, a total of one hundred and five (105) DQ tools remained from the original one hundred fifty-one (151) tools obtained from diverse sources (detailed in Appendix IIa).
Additionally, there were excluded tools which lacked information being impossible to map any features of these. As a result, one hundred (100) DQ tools remained. In the next phase eight (8) additional DQ tools, which were checking only one data attribute using patterns and reference data, i.e., e-mail, phone number, address, etc., were also excluded. Thus, ninety-two (92) DQ tools were having a sufficient number of DQ features.
For comparison, another survey of DQ tools [EW22] found 667 tools from different sources, and after six (6) exclusion criteria there were left only seventeen (17) DQ tools. Half (50.82%) of the tools were excluded because these were either dedicated to specific types of data or built to measure the DQ of a proprietary tool. 16.67% of the tools focused on data cleansing without a proper DQ measurement strategy (i.e., measurements are used to modify the data, but no comprehensive reports are provided). Data profiling was provided to some extent, any of the tools had a sufficient list of DQ dimensions that have been mentioned in research papers.
The availability of free versions for testing purposes within the DQ tools market is quite limited. Out of the one hundred and five (105) DQ tools that passed the initial tool validation, only eighty-one (81) were accessible for testing. Regrettably, none of the ten (10) DQ tools encompassed by this thesis could be examined. These tools were not open-source and did not offer any free trial options, as depicted in Figure 8.
Besides, websites contain poor information, or the information there is useless, containing only exclamations for marketing purposes, i.e., emphasising how important is DQ and how big losses organisations have because of poor DQ. Only customers willing to buy the tool are contacted, and only for potential customers, the tools are presented.
RQ2. What functionalities do DQ tools have? Is there a DQ tool which can automatically detect and recommend DQ rules? After applying the first exclusion criteria (the tool does not exist, not a DQ tool, discontinued or legacy, not enough
information) there remained a list of hundred (100) tools out of one hundred fifty-one (151) tools, having a sufficient amount of DQ functionalities, and that can be called "DQ tools" as defined within this thesis. The second part of the review results is attached to Appendix III.
The most popular feature was the "Data Cleansing" functionality, appearing for 75% of all tools. It refers to the fact that most of the DQ tools are meant for fixing data issues. DQ monitoring, included in "Data Profiling", "DQ Rules (Custom or Detected)", "DQ Reports, "DQ Dashboard", is covered less. This refers to the limitation that most of the tools are not designed for DWs whereas the data is not fixed locally in the warehouses.
Furthermore, the DQ tools were found to lack other specific features of DWs. The tool designed for monitoring the DQ of the DW exhibited notable differences compared to other DQ tools, which primarily focus on data preparation for ML or business analysis. These tools predominantly address data cleansing, enrichment, and the detection of DQ issues, such as empty or irrelevant values, outliers, and inconsistent values, while the DQ tool for monitoring DQ in DWs, needs to cover only issue finding, often using DQ rules for different dimensions and based on business rules, and finally ensuring compliance of organisation to different regulations.
The focus of this thesis was the DQ rule detection in DWs. There were found only twelve (12) tools which were able to automatically detect DQ rules or checks. In addition, *Precisely Spectrum Quality* and *Information Steward* were excluded because of unknown data processing location and data processing on the vendor’s cloud respectively. That lead to ten (10) DQ tools which met all the expected criteria of this thesis. It is only 10% of all DQ tools in terms of this thesis and 6.6% out of all found tools.
**RQ3. Which data storages are supported? Where do the DQ tools process the organisation’s data?** DQ software which was in the scope of this thesis had to be able to connect to DWs and process the data in the organisation’s private cloud or on-premises due to the data privacy restrictions [Uni16]. Even if all the DQ tools in scope were able to connect to DWs, these did not involve all the features of warehouses, i.e., data reconciliation rules described in Section 2.1.4.
**RQ4. Which methods are employed for DQ rule detection? Do the DQ tools incorporate ML techniques?** There was no exact description of how the solutions were built for automated recognition by the seven (7) providers of ten (10) DQ tools which were able to detect DQ rules. However, the main ideas were published for the majority. DQ rules were automatically generated with the help of metadata and ML methods or based on built-in rules together with ML methods.
Thereby, academic articles mainly spoke about DQ rules as integrity constraints which are also metadata of the data storage [FHWX22], [LWL19]. In articles, there was also presented a solution using the combination of built-in rules and ML methods.
Moreover, [AKT16] shows how different DQ rules can be defined towards relevant metadata.
In conclusion, it refers to the fact that DQ management is strongly related to metadata management. On the other hand, metadata consists of data about data, including also the quality information of data [Hed16]. It could also be observed, that smart recommendation systems are built on statistical or ML methods.
All in all, there is no DQ tool which would perfectly match all requirements. It is not entirely clear whether the tools are designed especially for DWs. Software providers do not describe in detail how they have solved the automatic DQ rule detection, not to mention what is the basis for the recommendation. Nevertheless, a high-level understanding has been attained. Additionally, few tools provide DQ rule definitions in SQL and mapping to DQ dimensions. Also, it is not clear how efficient these tools are as these are not freely available for testing. Only requirements of showing erroneous records and cloud computation are fulfilled, and partly the option to define own DQ rules.
5.1 Limitations
The goal of this thesis was to research the DQ tools landscape and find out if there is any DQ tool that is able to automatically detect DQ rules. Regardless of the fact of tools’ commercial or non-commercial purpose, it was needed to use the information from software providers’ websites, videos and documentation if available. Even if there were used only official materials of the software providers, this kind of information is always biased and marketing-flavoured, being deficient and informal.
Another limitation was the tool’s trialability. It is commonly known that commercial tools are not always available for testing. Tools that were reviewed for this thesis were either open-source tools, had demos, provided free trials, or there was needed to request a demo or a free trial. All remaining tools were totally unavailable or had no information about trying out the tool. The tools which were not trialable were impossible to test and examine fully from the consumer’s perspective.
In spite of conducting a systematic search for systematic review, the risk of omitting one or another tool is always a limitation.
5.2 Future Work
Direction 1. The shortcomings identified with the existing tools and requirements defined in Section 4.5 lead to potential future work of building a DQ tool which automatically detects DQ rules and is suitable for DWs.
The reviewed tools were not purely created for DWs and these do not keep in mind the purpose of the DW and its properties. The main limitation is a missing reconciliation rule detection. Ensuring the DQ in warehouses is needed to detect both types of DQ issues in DWs as described in Section 2.1.4.
In addition, users of the DW are usually all SQL-skilled. DQ rule expression in SQL is essential for validating the rule and for later implementation. DQ rules expressed in SQL are concrete and unambiguous. On the other hand, it would be beneficial to also generate rule descriptions in natural language to involve business stakeholders in DQ work. This means involving and implementing the methods of natural language processing.
DQ rules should be detected for several data types (integer, float, boolean, string, date, character, etc.) and domains (finance, healthcare, education, etc.) to cover all data elements of a DW. In addition, a broad list of the most common DQ dimensions, as organisations tend to use different sets of DQ dimensions and some domains are even required to report DQ by DQ dimensions. For example, regulation [PC13] force financial institutions to report DQ by the specific set of DQ dimensions (completeness, accuracy, consistency, timeliness, uniqueness, validity, traceability) which were defined in Section 2.1.2.
Furthermore, [CR19] lists the frequently used DQ dimensions used by different DQ frameworks: accessibility, accuracy, an appropriate amount of data, believability, completeness, concise representation, consistency, consistent representation, currency, free-of-error, interpretability, objectivity, precision, relevancy, reputation, security, timeliness, understandability, validity, and value-added.
Current solutions were already providing recommended DQ rules with names of the related objects and fields, business terms, and potential erroneous rows. These attributes are also expected for the DQ tool of future work. The detected rules should be additionally complemented by responsible roles, like data (quality) stewards, business analysts, information owners, etc. Whereas the generation can result in an enormous amount of rules then all this information would help to filter the necessary rules by data attributes and responsible counterparties.
While using ML methods in recommendations and natural language processing for the descriptions in natural language for DQ rules, and also the metadata, then the computing can be exhaustive and it would benefit from being executed in the cloud. At the same time, the data processing should be carried out in the organisation’s data stack, meaning the data would not leave the organisation’s storage, to be compliant with GDPR [Uni16].
**Direction 2.** This thesis focused on reviewing DQ tools which can detect DQ rules. This approach holds many limitations as the software provided on the market is often not triable and the architecture and algorithms used are hidden because of the business secret. Nevertheless, this study gave some overview of the capabilities of the DQ tools.
To gain a better understanding of what methods are used for DQ rule detection than seen in Section 4.4, it would be beneficial to make the survey of solutions brought out in academic articles. The last paper about trends of DQ rules [IC15] was published in 2015.
After that, in the last eight (8) years, there have been published additional papers [TS17], [LWL19] and [FHWX22] about automated DQ rule detection which extends this theory to the big data level. However, it seems that these theories lack similar features expected in this thesis, and for this, these should be researched.
Conclusion
The objective of this thesis was to find the DQ tools or solutions and search for tools which are able to automatically detect DQ rules in DWs. Alongside the systematic review of the DQ tools, this thesis also presented background knowledge on DQ and provided an overview of related work.
After reviewing one hundred and fifty-one (151) DQ tools and applying eleven (11) exclusion criteria, only ten (10) tools were discovered that had the capability to detect and propose DQ rules. These tools supported connecting with the DW and processing the data within the organisation’s private cloud or on-premises, ensuring data confidentiality. However, it is unfortunate that certain DW-specific features were absent, such as reconciliation rules and consistency checks between attributes of different data objects.
One-third of all tools were excluded in the initial phase of the review, indicating that forty-six (46) out of the one hundred fifty-one (151) collected tools did not meet the criteria for DQ tools as defined in this thesis. Furthermore, among the remaining one hundred five (105) tools, a significant 73.3% of DQ tools were not available for trial, while 42.9% lacked both trial availability and proper documentation.
Nevertheless, a high-level understanding of how tools detect DQ rules was attained. There were mainly used metadata, built-in rules and ML methods in commercial tools. At the same time, the academic landscape, there were mainly described the usage of integrity constraints for the DQ rules, which are also a form of metadata. Regrettably, testing and experimentation of these functionalities were not feasible, and pertinent information in this regard remains unavailable.
In conclusion, the subject of automated DQ rule detection is insufficiently covered in the academic landscape and poorly represented in the market. Therefore, this thesis makes a call for action in this area. Specifically, this could involve developing a DQ tool capable of automatically detecting DQ rules in DWs and satisfying other predetermined requirements. Alternatively, further review could be conducted on the integrity constraints and other methods used for detecting DQ rules in academic literature.
Acknowledgements
I would like to express my sincere appreciation to my supervisor, Anastasija Nikiforova, for her professional guidance, supervision, and insightful responses to my inquiries. I have gained invaluable knowledge in the field of DQ, systematic (literature) review, and beyond through her mentorship.
I am grateful to all the DQ professionals who generously engaged in discussions with me and provided valuable advice and input for my thesis.
My heartfelt gratitude goes to my manager, team, and colleagues. Your unwavering support and understanding have been instrumental in keeping me motivated and determined. I am truly grateful for your invaluable assistance.
I would like to extend my deepest thanks to my family for their boundless love and support. A special acknowledgement goes to my son and daughter, who showed incredible resilience during my studies and the writing of this thesis. I love you dearly!
Lastly, I would like to express my profound gratitude to all the participants in my studies. Artjom, Dmitri, Kaja, Kertu, Mariam, Mart, Rasmus, Siim, Triin, and all others from lectures, seminars, and practical sessions with whom I engaged in discussions, collaborated in teamwork, and shared experiences. Your presence and contributions have been immensely motivating, and I am sincerely grateful for your involvement in my academic journey.
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[Tec22b] TechTarget. 7 top dq management tools, September 2022. https://www.techtarget.com/searchdatamanagement/tip/Top-data-quality-management-tools.
[TH10] T.T.P. Thi and M. Helfert. Discovering dynamic integrity rules with a rules-based tool for data quality analyzing. *ACM International Conference Proceeding Series*, 2010.
[Tru23] TrustRadius. Data quality software overview, 2023. https://www.trustradius.com/data-quality#overview.
[TS17] I. Taleb and M.A. Serhani. Big data pre-processing: Closing the data quality enforcement loop. *Proceedings - 2017 IEEE 6th International Congress on Big Data*, pages 498–501, September 2017.
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## Appendix
### I. List of Related Work
| | Relevant | Authors | Title | Year | Source title | Citation |
|---|----------|--------------------------|----------------------------------------------------------------------|------|--------------------------------------------------|----------|
| S0 | n | Woodall P., Oberhofer M., Borek A. | A classification of data quality assessment and improvement methods | 2014 | International Journal of Information Quality | - |
| S0 | Y | Ehrlinger L., Wöß W. | A Survey of Data Quality Measurement and Monitoring Tools | 2022 | Frontiers in Big Data | [EW22] |
| S0 | n | Georgieva P., Nikolova E., Orozova D. | Data cleaning techniques in detecting tendencies in software engineering | 2020 | 2020 43rd International Convention on Information, Communication and Electronic Technology, MIPRO 2020 - Proceedings | - |
| S0 | n | Abdullah N., Ismail S.A., Sophiayati S., Sam S.M. | Data quality in big data: A review | 2015 | International Journal of Advances in Soft Computing and its Applications | - |
| S0 | Y | Houston L., Probst Y., Yu P., Martin A. | Exploring data quality management within clinical trials | 2018 | Applied Clinical Informatics | [HPYM18] |
| S0 | n | Ademiluyi G., Rees C.E., Sheard C.E. | Quality of smoking cessation information on the Internet: A cross-sectional survey study | 2002 | Journal of Documentation | - |
| S0 | Y | Neely M.P., Lin S., Gao J., Koronios A. | The deficiencies of current data quality tools in the realm of engineering asset management | 2006 | Association for Information Systems - 12th Americas Conference On Information Systems, AMCIS 2006 | [NLGK06] |
S0, S1, S2, S3, S4 – search keywords presented in Section 2.2
Y – “yes”, n – “no”
| | Relevant | Authors | Title | Year | Source Title | Citation |
|---|----------|--------------------------|----------------------------------------------------------------------|------|------------------------------------------------------------------------------|----------|
| S0 | n | Barata J., da Cunha P.R., Costa C.C. | The foundations for an IS quality culture in the context of ISO 9001 | 2013 | Proceedings of the European, Mediterranean and Middle Eastern Conference on Information Systems, EMCIS 2013 | - |
| S1 | n | Borovina Josko J.M., Oikawa M.K., Ferreira J.E. | A formal taxonomy to improve data defect description | 2016 | Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics) | - |
| S1 | n | Hajian S., Domingo-Ferrer J. | A methodology for direct and indirect discrimination prevention in data mining | 2013 | IEEE Transactions on Knowledge and Data Engineering | - |
| S1 | n | Ehrlinger L., Wöß W. | A Survey of Data Quality Measurement and Monitoring Tools | 2022 | Frontiers in Big Data [EW22] | - |
| S1 | n | Kropp T., Bombeck A., Lennerts K. | An Approach to Data Driven Process Discovery in the Cost Estimation Process of a Construction Company | 2021 | Proceedings of the International Symposium on Automation and Robotics in Construction | - |
| S1 | n | Babu M.C., Pushpa S. | An efficient discrimination prevention and rule protection algorithms avoid direct and indirect data discrimination in web mining | 2018 | International Journal of Intelligent Engineering and Systems | - |
| S1 | n | Ardeti V.A., Kolluru V.R., Varghese G.T., Patjoshi R.K. | An Outlier Detection and Feature Ranking based Ensemble Learning for ECG Analysis | 2022 | International Journal of Advanced Computer Science and Applications | - |
S0, S1, S2, S3, S4 – search keywords presented in Section 2.2
Y – “yes”, n – “no”
| | Relevant | Authors | Title | Year | Source Title | Citation |
|---|----------|--------------------------|----------------------------------------------------------------------|------|------------------------------------------------------------------------------|----------|
| S1 | n | Alferes J., Vanrolleghem P.A. | Automated data quality assessment: Dealing with faulty on-line water quality sensors | 2014 | Proceedings - 7th International Congress on Environmental Modelling and Software: Bold Visions for Environmental Modeling, iEMs 2014 | - |
| S1 | Y | Heine F., Kleiner C., Oelsner T. | Automated Detection and Monitoring of Advanced Data Quality Rules | 2019 | Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics) | [HKO19] |
| S1 | n | Malik W.A., Unwin A. | Automated error detection using association rules | 2011 | Intelligent Data Analysis | - |
| S1 | n | Ataeyan M., Daneshpour N. | Automated Noise Detection in a Database Based on a Combined Method | 2021 | Statistics, Optimization and Information Computing | - |
| S1 | n | Redyuk S., Kaoudi Z., Markl V., Schelter S. | Automating data quality validation for dynamic data ingestion | 2021 | Advances in Database Technology - EDBT | - |
| S1 | n | Gawhade R., Bohara L.R., Mathew J., Bari P. | Computerized Data-Preprocessing to Improve Data Quality | 2022 | ICPC2T 2022 - 2nd International Conference on Power, Control and Computing Technologies, Proceedings | - |
| S1 | n | Freemon D.M., Lim K.-T., Becla J., Dubois-Felsman G.P., Kantor J. | Data management cyberinfrastructure for the Large Synoptic Survey Telescope | 2012 | Proceedings of SPIE - The International Society for Optical Engineering | - |
S0, S1, S2, S3, S4 - search keywords presented in Section 2.2
Y - "yes", n - "no"
| | Relevant | Authors | Title | Year | Source Title | Citation |
|---|----------|--------------------------------|----------------------------------------------------------------------|------|--------------------------------------------------|----------|
| S1 | n | Mejia F., Shyu M.-L., Nanni A. | Data quality enhancement and knowledge discovery from relevant signals in acoustic emission | 2015 | Mechanical Systems and Signal Processing | - |
| S1 | n | Zhang R., Albrecht A., Kausch J., Putzer H.J., Geipel T., Halady P. | DDE process: A requirements engineering approach for machine learning in automated driving | 2021 | Proceedings of the IEEE International Conference on Requirements Engineering | - |
| S1 | n | Fan W., Lu H., Madnick S.E., Cheung D. | Discovering and reconciling value conflicts for numerical data integration | 2001 | Information Systems | - |
| S1 | n | Rekatsinas T., Dong X.L., Getoor L., Srivastava D. | Finding quality in quantity: The challenge of discovering valuable sources for integration | 2015 | CIDR 2015 – 7th Biennial Conference on Innovative Data Systems Research | - |
| S1 | n | O’Neill P., Magoulas G.D., Liu X. | Improved processing of microarray data using image reconstruction techniques | 2003 | IEEE Transactions on Nanobioscience | - |
| S1 | n | Ryazantsev O., Khoroshun G., Ryazantsev A., Strelkova T. | Informational model of optical signals and images in machine vision systems | 2021 | Examining Optoelectronics in Machine Vision and Applications in Industry 4.0 | - |
| S1 | n | Teiken Y., Brüggemann S., Appelrath H.-J. | Interchangeable consistency constraints for public health care systems | 2010 | Proceedings of the ACM Symposium on Applied Computing | - |
| S1 | n | Ahmed M., Taconet C., Ould M., Chabridon S., Bouzeghoub A. | IoT data qualification for a logistic chain traceability smart contract | 2021 | Sensors | - |
S0, S1, S2, S3, S4 - search keywords presented in Section 2.2
Y = "yes", n = "no"
| | Relevant | Authors | Title | Year | Source Title | Citation |
|---|----------|--------------------------------|----------------------------------------------------------------------|------|--------------------------------------------------|----------|
| S1 | n | Zvara Z., Szabó P.G.N., Balázs B., Benczúr A. | Optimizing distributed data stream processing by tracing | 2019 | Future Generation Computer Systems | - |
| S1 | n | Silva-Ramírez E.-L., Pino-Mejías R., López-Coello M. | Single imputation with multilayer perceptron and multiple imputation combining multilayer perceptron and k-nearest neighbours for monotone patterns | 2015 | Applied Soft Computing | - |
| S1 | n | Mahajan P. | Textual Data Quality at Scale for High Dimensionality Data | 2022 | 2022 International Conference on Data Science, Agents and Artificial Intelligence, ICDSAAI 2022 | - |
| S1 | n | Rajan N.S., Gouripeddi R., Mo P., Madsen R.K., Facelli J.C. | Towards a content agnostic computable knowledge repository for data quality assessment | 2019 | Computer Methods and Programs in Biomedicine | - |
| S1 | n | Wang P., He Y. | Uni-DeTecT: A unified approach to automated error detection in tables | 2019 | Proceedings of the ACM SIGMOD International Conference on Management of Data | - |
| S1 | n | Poon L., Farshidi S., Li N., Zhao Z. | Unsupervised Anomaly Detection in Data Quality Control | 2021 | Proceedings - 2021 IEEE International Conference on Big Data, Big Data 2021 | - |
| S1 | n | Steiniger S., Taillandier P., Weibel R. | Utilising urban context recognition and machine learning to improve the generalisation of buildings | 2010 | International Journal of Geographical Information Science | - |
S0, S1, S2, S3, S4 – search keywords presented in Section 2.2
Y – “yes”, n – “no”
| | Relevant | Authors | Title | Year | Source Title | Citation |
|---|----------|--------------------------|----------------------------------------------------------------------|------|------------------------------------------------------------------------------|----------|
| S1 | n | Straždins G., Mednis A., Žviedris R., Kanonirs G., Selavo L. | Virtual ground truth in vehicular sensing experiments: How to mark it accurately | 2011 | SENSORCOMM 2011 - 5th International Conference on Sensor Technologies and Applications and WSNSCM 2011, 1st International Workshop on Sensor Networks for Supply Chain Management | - |
| S2 | Y | Yeh P.Z., Puri C.A., Wagman M., Easo A.K. | Accelerating the discovery of data quality rules: A case study | 2011 | Proceedings of the National Conference on Artificial Intelligence | [YPWE11] |
| S2 | Y | Heine F., Kleiner C., Oelsner T. | Automated Detection and Monitoring of Advanced Data Quality Rules | 2019 | Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics) | [HKO19] |
| S2 | Y | Taleb I., Serhani M.A. | Big Data Pre-Processing: Closing the Data Quality Enforcement Loop | 2017 | Proceedings - 2017 IEEE 6th International Congress on Big Data, BigData Congress 2017 | [TS17] |
| S2 | Y | Ma S., Duan L., Fan W., Hu C., Chen W. | Extending Conditional Dependencies with Built-in Predicates | 2015 | IEEE Transactions on Knowledge and Data Engineering | [MDF⁺15] |
| S2 | n | Dallachiesat M., Ebaid A., Eldawy A., Elmagarmid A., Ilyas I.F., Ouzzani M., Tang N. | NADEEF: A commodity data cleaning system | 2013 | Proceedings of the ACM SIGMOD International Conference on Management of Data | - |
S0, S1, S2, S3, S4 - search keywords presented in Section 2.2
Y - "yes", n - "no"
| | Relevant | Authors | Title | Year | Source Title | Citation |
|---|----------|----------------------------------|----------------------------------------------------------------------|------|--------------------------------------------------|----------|
| S2 | n | Abbouira A., Sahri S., Baba-Hamed L., Ouziri M., Benbernou S. | Quality-based online data reconciliation | 2016 | ACM Transactions on Internet Technology | - |
| S2 | Y | Chu X., Ilyas I.F., Papotti P., Ye Y. | RuleMiner: Data quality rules discovery | 2014 | Proceedings - International Conference on Data Engineering | [CIPY14] |
| S2 | Y | Ilyas I.F., Chu X. | Trends in cleaning relational data: Consistency and deduplication | 2015 | Foundations and Trends in Databases | [IC15] |
| S3 | n | Abdellaoui S., Bellatreche L., Nader F. | A Quality-Driven Approach for Building Heterogeneous Distributed Databases: The Case of Data Warehouses | 2016 | Proceedings - 2016 16th IEEE/ACM International Symposium on Cluster, Cloud, and Grid Computing, CCGGrid 2016 | - |
| S3 | n | Lettner C., Stumptner R., Bokesch K.-H. | An approach on ETL attached data quality management | 2014 | Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics) | - |
| S3 | Y | Heine F., Kleiner C., Oelsner T. | Automated Detection and Monitoring of Advanced Data Quality Rules | 2019 | Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics) | [HKO19] |
| S4 | n | Dimitoglou G., Rotenstreich S. | A system for association rule discovery in emergency response data | 2007 | Innovations and Advanced Techniques in Computer and Information Sciences and Engineering | - |
S0, S1, S2, S3, S4 - search keywords presented in Section 2.2
Y - "yes", n - "no"
| | Relevant | Authors | Title | Year | Source Title | Citation |
|---|----------|--------------------------|----------------------------------------------------------------------|-------|------------------------------------------------------------------------------|----------|
| S4 | Y | Goasdoué V., Nugier S., Duquennoy D., Laboisse B. | An evaluation framework for data quality tools | 2007 | Proceedings of the 2007 International Conference on Information Quality, ICIQ 2007 | [GNDL07] |
| S4 | n | Abu Ahmad H., Wang H. | Automatic weighted matching rectifying rule discovery for data repairing: Can we discover effective repairing rules automatically from dirty data? | 2020 | VLDB Journal | - |
| S4 | Y | Taleb I., Serhani M.A. | Big Data Pre-Processing: Closing the Data Quality Enforcement Loop | 2017 | Proceedings - 2017 IEEE 6th International Congress on Big Data, BigData Congress 2017 | [TS17] |
| S4 | Y | McClanahan C.J. | Cleaning a formulation database using rule discovery techniques | 2008 | Proceedings of the 2008 International Conference on Information Quality, ICIQ 2008 | [McC08] |
| S4 | n | van Cruchten R.M.E. | Data quality in process mining: A rule-based Approach | 2019 | CEUR Workshop Proceedings | - |
| S4 | n | Fan W. | Data quality: Theory and practice | 2012 | Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics) | - |
| S4 | Y | Thi T.T.P., Helfert M. | Discovering dynamic integrity rules with a rules-based tool for data quality analyzing | 2010 | ACM International Conference Proceeding Series | [TH10] |
S0, S1, S2, S3, S4 - search keywords presented in Section 2.2
Y - "yes", n - "no"
| | Relevant | Authors | Title | Year | Source Title | Citation |
|---|----------|--------------------------|----------------------------------------------------------------------|------|------------------------------------------------------------------------------|----------|
| S4 | Y | Sun J., Li J., Gao H., Liu X. | Discovery of field functional dependencies | 2016 | Proceedings - The 2015 10th International Conference on Intelligent Systems and Knowledge Engineering, ISKE 2015 | [SLGL16] |
| S4 | n | Gadish D.A. | Introducing elasticity for spatial knowledge management | 2008 | International Journal of Knowledge Management | - |
| S4 | Y | Li M., Wang H., Li J. | Mining conditional functional dependency rules on big data | 2020 | Big Data Mining and Analytics | [LWL19] |
| S4 | Y | Fan W., Han Z., Wang Y., Xie M. | Parallel Rule Discovery from Large Datasets by Sampling | 2022 | Proceedings of the ACM SIGMOD International Conference on Management of Data | [FHWX22] |
| S4 | Y | Chu X., Ilyas I.F., Papotti P., Ye Y. | RuleMiner: Data quality rules discovery | 2014 | Proceedings - International Conference on Data Engineering | [CIPY14] |
| S4 | n | Vo L.T.H., Cao J., Rahayu W., Nguyen H.-Q. | Structured content-aware discovery for improving XML data consistency | 2013 | Information Sciences | - |
S0, S1, S2, S3, S4 - search keywords presented in Section 2.2
Y - "yes", n - "no"
## IIa. DQ Tools: Sources
| ID | Tool | Academic papers | Dataamation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geckoflake | TrustRadius | BIS (Grooper) | G2 | Slashdot | SourceForge | PeerSpot | SoftwareReviews | WebinarCare | HubSpot | Gartner | DQ Experts |
|----|-------------------------------------------|-----------------|-------------|-------------|------------|---------------|--------------|------------|-------------|----------------|------------|----------|-------------|----------|----------------|-------------|---------|--------|------------|
| 1 | Data Preparator | n | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 2 | Holodetect | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 3 | MetricDoc | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 4 | DataMentors | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 5 | DQ-MeeRKat | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 6 | MobyDQ | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 7 | Great Expectations | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 8 | Ablinitio Enterprise Data Platform | n | n | n | n | n | Y | n | n | n | n | n | n | n | | n | n | n | n |
| 9 | Acceldata | n | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 10 | DQ*Plus Enterprise Suite | n | n | n | n | n | Y | n | n | n | n | n | n | n | | n | n | n | n |
| 11 | Amperity CDP | n | n | n | n | n | n | n | n | n | n | n | n | n | | Y | n | n | n |
| 12 | Anomalo | n | n | n | n | n | n | n | n | n | n | n | n | n | | Y | n | n | n |
| 13 | Apache Griffin | n | n | n | n | n | n | Y | n | n | n | n | n | n | | Y | n | n | n |
| 14 | Aggregate Profiler | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 15 | Attaccama DQ-Analyzer | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 16 | Ataccama ONE | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 17 | dspCompose | Y | n | n | Y | Y | Y | Y | Y | Y | Y | n | n | n | | Y | Y | n | n |
| 18 | CRM Cleaning | Y | n | n | n | n | n | n | n | n | n | n | n | n | | n | n | n | n |
| 19 | Black Tiger Platform | n | n | n | n | n | n | Y | n | n | n | n | n | n | | Y | n | n | n |
| 20 | ChainSys dataZen | n | n | n | n | n | n | n | n | n | n | n | n | n | | Y | n | n | n |
Y - "yes", n - "no"
| ID | Tool | Academic papers | Datumation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geekflare | TrustRadius | BIS (Grouper) | G2 | Slashdot | SourceForge | PeerSpot | SoftwareReviews | WebinarCare | Hubspot | Gartner | DQ Experts |
|----|-----------------------------|-----------------|------------|-------------|------------|---------------|--------------|-----------|-------------|---------------|-------------|----------|-------------|----------|----------------|-------------|---------|--------|------------|
| 21 | Smart Data Platform | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 22 | Claravine | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 23 | ClearAnalytics | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 24 | Cloudingo | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 25 | Collibra Platform | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 26 | Cribl Stream | n | n | n | n | n | n | Y | n | Y | n | n | n | n | Y | n | n | n | n |
| 27 | CuriumiDQM | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 28 | D&B Connect | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 29 | D&B Optimizer | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n |
| 30 | DataMatch Enterprise | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 31 | Datactics Self-Service Data Quality Platform | Y | Y | Y | n | n | Y | Y | n | n | n | n | n | n | n | n | n | Y | n |
| 32 | Dataedo | Y | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 33 | DataStreams Platform | n | n | n | n | Y | Y | n | n | n | n | n | n | n | n | n | n | n | n |
| 34 | Ultimate Data Export | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 35 | Datiris Profiler | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 36 | Dedupely | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 37 | MyDataQ | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 38 | DQE One | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 39 | DQLABS Platform | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n |
| 40 | Duco Platform | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 41 | DvSum | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
Y - "yes", n - "no"
| ID | Tool | Academic papers | Datamation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geekflare | TrustRadius | BIS (Grouper) | G2 | Slashdot | SourceForge | PeerSpot | SoftwareReviews | WebinarCare | Hubspot | Gartner | DQ Experts |
|----|-----------------------------|-----------------|------------|-------------|------------|---------------|--------------|-----------|-------------|---------------|-------------|----------|-------------|----------|----------------|-------------|---------|--------|------------|
| 42 | Edge Delta | n | n | n | n | n | n | n | n | n | Y | n | n | n | Y | n | n | n | n |
| 43 | Exmon | n | n | n | n | n | n | n | n | n | Y | n | n | n | Y | n | n | n | n |
| 44 | Experian Aperature Data Studio | n | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n |
| 45 | Experian DataArc360 | n | n | Y | n | n | n | Y | n | n | n | n | n | n | Y | n | n | n | n |
| 46 | Experian Email Validation | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 47 | Experian Name-search | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n |
| 48 | Experian Pandora (Legacy) | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 49 | Experian Phone Validation | Y | n | Y | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 50 | Experian Prospect IQ | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n |
| 51 | Flatfile | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 52 | Global IDs Data Quality Suites | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n |
| 53 | OpenRefine | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 54 | matchIT Data Quality Solutions | Y | Y | Y | n | n | Y | Y | n | n | n | n | n | n | Y | n | n | n | n |
| 55 | HERE Platform | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 56 | HubSpot Operations Hub | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 57 | DataCleaner | n | n | n | n | n | n | Y | n | n | n | n | n | n | Y | n | n | n | n |
| 58 | InfoZoom | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 59 | ibi Data Quality | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 60 | ibi Omni-Gen | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
Y - "yes", n - "no"
| ID | Tool | Academic papers | Datamation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geekflare | TrustRadius | BIS (Grouper) | G2 | Slashtot | SourceForge | PeerSpot | SoftwareReviews | WebinarCare | Hubspot | Gartner | DQ Experts |
|----|-------------------------------------------|-----------------|------------|-------------|------------|---------------|--------------|-----------|-------------|---------------|-------------|----------|-------------|----------|----------------|-------------|---------|--------|------------|
| 61 | iWay | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n |
| 62 | IBM InfoSphere Information Analyzer | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 63 | IBM InfoSphere Information Server for Data Quality | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n |
| 64 | IBM InfoSphere QualityStage | Y | n | Y | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | Y |
| 65 | IBM Watson Knowledge Catalog | n | Y | Y | n | n | n | n | Y | Y | n | n | n | n | n | n | n | n | Y |
| 66 | Informatica Address Verification | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n |
| 67 | Informatica Axon | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 68 | Informatica Cloud Data Quality | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 69 | Informatica Data as a Service | Y | Y | n | Y | n | Y | Y | n | n | n | n | n | Y | Y | Y | Y | n | Y |
| 70 | Informatica Data Engineering Quality | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n |
| 71 | Informatica Enterprise Data Catalog | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n |
| 72 | Informatica Master Data Management | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 73 | ClearCore | n | Y | n | n | Y | Y | n | n | n | n | n | n | n | n | n | n | n | n |
| 74 | OpenDQ | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n |
Y - "yes", n - "no"
| ID | Tool | Academic papers | Datamation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geekflare | TrustRadius | BIS (Grouper) | G2 | Slashdot | SourceForge | PeerSpot | SoftwareReviews | WebinarCare | Hubspot | Gartner | DQ Experts |
|----|-----------------------------|-----------------|------------|-------------|------------|---------------|--------------|-----------|-------------|---------------|-------------|----------|-------------|----------|----------------|-------------|---------|--------|------------|
| 75 | Enlighten | n | n | n | n | n | n | n | n | Y | Y | Y | n | n | n | n | n | n | n |
| 76 | FinScan | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n |
| 77 | Synchronos | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 78 | Insycle | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 79 | IQ Office | n | n | n | n | n | Y | n | n | Y | n | n | n | n | n | n | n | n | n |
| 80 | Introhive | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 81 | Irion EDM | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n |
| 82 | Data Quality Solution | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 83 | Deduplix | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 84 | Scrubbix | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 85 | LiTech Data Quality Management | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 86 | Loqate | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 87 | Melissa Data Data Profiler | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 88 | Melissa Data Data Quality | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 89 | Melissa Data Data Quality Components for SSIS | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 90 | Melissa Data Global Data Quality Suite | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 91 | Melissa Data MatchUp | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n | n |
| 92 | Melissa Data Personator | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
Y - "yes", n - "no"
| ID | Tool | Academic papers | Datamation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geekflare | TrustRadius | PeerSpot | BIS (Grouper) | G2 | Slashdot | SourceForge | SoftwareReviews | WebinarCare | Hubspot | Gartner | DQ Experts |
|-----|-------------------------------------------|-----------------|------------|-------------|------------|---------------|--------------|-----------|-------------|----------|---------------|-------------|-----------|-------------|----------------|-------------|---------|--------|------------|
| 93 | Melissa Data Web APIs by Melissa | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 94 | Microsoft Data Quality | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n |
| 95 | MIOvantage | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 96 | Monte Carlo Data Observability Platform | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 97 | Nintex | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 98 | Datamartist | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n |
| 99 | RevOps Data Automation Cloud | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 100 | Oracle Cloud Infrastructure Data Catalog | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n |
| 101 | Oracle Enterprise Data Quality | n | n | Y | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 102 | OvalEdge | Y | n | Y | n | n | n | n | Y | Y | n | Y | n | n | Y | n | n | n | n |
| 103 | Rapid Data Profiling | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n |
| 104 | Self-Service Data Preparation | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 105 | Intelligent Data Quality Management | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 106 | Spectrum Technology Platform | n | n | n | n | n | n | n | n | n | n | Y | n | n | Y | n | n | n | n |
| 107 | Duplicate Check for Salesforce | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
*Y* - "yes", *n* - "no"
| ID | Tool | Academic papers | Datumation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geekflare | TrustRadius | BIS (Grouper) | G2 | Slashtot | SourceForge | PeerSpot | SoftwareReviews | WebinarCare | Hubspot | Gartner | DQ Experts |
|-----|----------------------------------------------------------------------|-----------------|------------|-------------|------------|---------------|--------------|-----------|-------------|---------------|-------------|----------|-------------|----------|----------------|-------------|---------|--------|------------|
| 108 | PostGrid Address Verification | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n |
| 109 | Precisely Data360 | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n |
| 110 | Precisely Spectrum Quality | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 111 | Precisely Trillion Quality | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n |
| 112 | Entity Resolution and Data Intelligence Tools | Y | Y | n | Y | Y | n | n | n | n | n | n | n | n | n | Y | n | n | n |
| 113 | rgOne | n | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n |
| 114 | DataLever | n | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n |
| 115 | SAP Address and Geocoding Directories | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 116 | SAP Data Intelligence | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n |
| 117 | SAP Data Quality Management, microservices for location data | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 118 | SAP Data Services | n | n | n | n | n | n | Y | n | n | n | Y | n | Y | n | Y | n | n | n |
| 119 | SAP Information Steward | n | n | n | n | n | n | Y | Y | n | n | n | Y | Y | n | Y | n | n | n |
| 120 | SAP Master Data Governance | Y | n | n | n | n | n | n | n | n | n | Y | n | n | Y | n | n | n | n |
| 121 | SAS Data Loader for Hadoop | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 122 | SAS Data Management | n | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n |
Y - "yes", n - "no"
| ID | Tool | Academic papers | Datumation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geekflare | TrustRadius | BIS (Grouper) | G2 | Slashdot | SourceForge | PeerSpot | SoftwareReviews | WebinarCare | Hubspot | Gartner | DQ Experts |
|-----|-------------------------------------------|-----------------|------------|-------------|------------|---------------|--------------|-----------|-------------|---------------|-------------|----------|-------------|----------|----------------|-------------|---------|--------|------------|
| 123 | SAS Data Quality | n | Y | Y | n | n | n | n | n | Y | n | n | n | Y | n | Y | Y | Y | n |
| 124 | SAS Data Quality Accelerator for Teradata | Y | n | Y | Y | n | n | n | n | Y | n | n | n | n | Y | Y | Y | Y | n |
| 125 | SAS Dataflax | n | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n |
| 126 | Semarchy xDM | Y | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n |
| 127 | Pentaho Kettle | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n | n | n |
| 128 | Masterpiece -> SpheraCloud Platform | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 129 | SQL Power Architect | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 130 | SQL Power DQguru | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 131 | Stratio Augmented Data Fabric Platform | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 132 | Syncari | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 133 | Syniti Knowledge Platform | n | n | n | n | n | n | n | Y | n | n | n | n | n | Y | n | n | n | n |
| 134 | Syniti Master Data Management | n | n | n | n | n | n | n | Y | n | n | n | n | n | Y | n | n | n | n |
| 135 | Syniti Match | n | n | Y | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 136 | RingLead Platform | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 137 | ZoomInfo OperationsOS | n | n | n | n | n | n | n | Y | n | n | n | n | n | Y | n | Y | n | n |
| 138 | Tale Of Data | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n |
Y = "yes", n = "no"
| ID | Tool | Academic papers | Datamation | Simplilearn | TechTarget | Solutions Review | TechRepublic | Geekflare | TrustRadius | BIS (Grouper) | G2 | Slashdot | SourceForge | PeerSpot | SoftwareReviews | WebinarCare | Hubspot | Gartner | DQ Experts |
|-----|-------------------------------------------|-----------------|------------|-------------|------------|---------------|--------------|-----------|-------------|---------------|-------------|----------|-------------|----------|----------------|-------------|---------|--------|------------|
| 139 | Talend Data Fabric | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 140 | Talend Data Preparation | n | Y | Y | Y | Y | Y | n | n | n | n | n | n | n | Y | n | n | n | n |
| 141 | Talend Data Stewardship | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 142 | Talend Open Studio for Data Quality | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 143 | Talend Platform for Data Management (Legacy) | Y | n | n | n | n | n | Y | Y | n | n | Y | Y | n | Y | Y | n | n | n |
| 144 | TIBCO Clarity | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 145 | TIBCO (Cloud) EBX | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 146 | iCEDQ | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 147 | Alteryx Designer Cloud | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 148 | Uniserv | n | n | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n |
| 149 | DataFuse | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 150 | DemandTools | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n |
| 151 | Clean & Match Enterprise | n | Y | n | n | n | n | Y | n | Y | n | n | n | n | Y | n | n | n | n |
Y - "yes", n - "no"
## IIb. DQ Tools: Publications as Sources
| | Authors | Title | Year | Source title | DQ Tools | Citation |
|---|------------------|----------------------------------------------------------------------|------|--------------------|--------------------------------------------------------------------------|---------|
| K1| Ehrlinger L., Wöß W. | A Survey of Data Quality Measurement and Monitoring Tools | 2022 | Frontiers in Big Data | Aggregate Profiler
Apache Griffin
Ataccama ONE
DataCleaner by Human Inference
Datamartist by nModal Solutions Inc.
Experian Pandora
Informatica Data Quality
IBM InfoSphere Information Server for Data Quality
InfoZoom by humanIT Software GmbH
MobyDQ
OpenRefine and MetricDoc
Oracle Enterprise Data Quality
Talen Open Studio for Data Quality
SAS Data Quality
SAP Information Steward
Data Quality Solution by ISO Professional Services
dspCompose by BackOffice Associates GmbH | [EW22] |
K1 - keyword combination 1: "data quality tool" OR "data quality software"
K2 - keyword combination 2: ( "information quality" OR "data quality" ) AND ( "software" OR "tool" OR "application" ) AND "data quality rule"
| | Authors | Title | Year | Source title | DQ Tools | Citation |
|---|--------------------------------|----------------------------------------------------------------------|------|--------------------------------------------------|---------------------------|--------------|
| K1 | Ehrlinger L., Gindlhumer A., Huber J.-M., Wöß W. | DQ-MeeRKat: Automating data quality monitoring with a reference-data-profile-annotated knowledge graph | 2021 | Proceedings of the 10th International Conference on Data Science, Technology and Applications, DATA 2021 | Oracle EDQ, SAS, Talend, Informatica, DQ-MeeRKat, Holodetect | [EGHW21] |
| K1 | Georgieva P., Nikolova E., Orozova D. | Data cleaning techniques in detecting tendencies in software engineering | 2020 | 43rd International Convention on Information, Communication and Electronic Technology, MIPRO 2020 - Proceedings | - | |
| K1 | Azeroual O., Lewoniewski W. | How to inspect and measure data quality about scientific publications: Use case of Wikipedia and CRIS databases | 2020 | Algorithms | DataCleaner (https://datacleaner.org/) | [AL20] |
| K1 | Masó J., Julia N., Zabala A., Prat E., Kwast J.V.D., Domingo-Marimon C. | Assess citizen science based land cover maps with remote sensing products: The Ground Truth 2.0 data quality tool | 2020 | Proceedings of SPIE - The International Society for Optical Engineering | - | |
| K1 | Houston L., Probst Y., Yu P., Martin A. | Exploring data quality management within clinical trials | 2018 | Applied Clinical Informatics | - | |
K1 - keyword combination 1: "data quality tool" OR "data quality software"
K2 - keyword combination 2: ("information quality" OR "data quality") AND ("software" OR "tool" OR "application") AND "data quality rule"
| | Authors | Title | Year | Source title | DQ Tools | Citation |
|---|--------------------------|----------------------------------------------------------------------|------|--------------------------------------------------|---------------------------------|----------|
| K1| Brennan R. | Challenges for value-driven semantic data quality management | 2017 | ICEIS 2017 - Proceedings of the 19th International Conference on Enterprise Information Systems | - | |
| K1| Božić B., Brennan R., Feeney K.C., Mendel-Gleason G. | Describing reasoning results with RVO, the reasoning violations ontology | 2016 | CEUR Workshop Proceedings | - | |
| K1| Venkatesh Pulla V.S., Varo C., Al M. | Open source data quality tools: Revisited | 2016 | Advances in Intelligent Systems and Computing | Talend Open Studio
DataCleaner
WinPure
Data Preparator
Data Match
DataMartist
Pentaho Kettle
SQL Power Architect
SQL Power
DQguru
DQAnalyzer | [PVA16] |
| K1| Abdullah N., Ismail S.A., Sophiayati S., Sam S.M. | Data quality in big data: A review | 2015 | International Journal of Advances in Soft Computing and its Applications | - | |
K1 - keyword combination 1: "data quality tool" OR "data quality software"
K2 - keyword combination 2: ( "information quality" OR "data quality" ) AND ( "software" OR "tool" OR "application" ) AND "data quality rule"
| | Authors | Title | Year | Source title | DQ Tools | Citation |
|---|--------------------------|----------------------------------------------------------------------|------|----------------------------|--------------------------------------------------------------------------|--------------|
| K1| Woodall P., Oberhofer M., Borek A. | A classification of data quality assessment and improvement methods | 2014 | International Journal of Information Quality | SAS dataflux
Informatica
Trillium software
SAP
IBM
Pitney Bowes Software
Oracle
Datactics
DataMentors
RedPoint-DataLever
Uniserv
Innovative Systems
Human Inference
Talend
Information Builders/iWay
Ataccama | [WOB14a] |
| K1| Chiang Wang Y. F., | Repairing integrity rules for improved data quality | 2014 | International Journal of Information Quality | - | |
| K1| Guerra-Garcia C., Caballero I., Piattini M. | Capturing data quality requirements for web applications by means of DQ-WebRE | 2013 | Information Systems Frontiers | - | |
| K1| Capirossi J., Rabier P. | An enterprise architecture and data quality framework | 2013 | Advances in Intelligent Systems and Computing | - | |
K1 - keyword combination 1: "data quality tool" OR "data quality software"
K2 - keyword combination 2: ( "information quality" OR "data quality" ) AND ( "software" OR "tool" OR "application" ) AND "data quality rule"
| | Authors | Title | Year | Source title | DQ Tools | Citation |
|---|---------------------------------|----------------------------------------------------------------------|------|------------------------------------------------------------------------------|---------------------------|----------|
| K2 | Song S., Gao F., Huang R., Wang C. | Data Dependencies Extended for Variety and Veracity: A Family Tree | 2022 | IEEE Transactions on Knowledge and Data Engineering | - | |
| K2 | Bronselaer A., Boeckling T., Pattyn F. | Dynamic repair of categorical data with edit rules | 2022 | Expert Systems with Applications | - | |
| K2 | Nulhusna R., Taufiq N.F., Ruldeviyani Y. | Strategy to Improve Data Quality Management: A Case Study of Master Data at Government Organization in Indonesia | 2022 | Proceeding – 2022 International Symposium on Information Technology and Digital Innovation: Technology Innovation During Pandemic, ISITDI 2022 | - | |
| K2 | Hasan F.F., Hameed S.J. | The Perspective of Data Quality Rules in Google Forms | 2022 | ISMSIT 2022 - 6th International Symposium on Multidisciplinary Studies and Innovative Technologies, Proceedings | - | |
| K2 | Chaudhary K., D'Spain K., Khanal S., Nguyen K., Pham L., Lall G., Trieu T., Kadityala K., Wei B. | Toyota Financial Services Data Portal | 2022 | IST 2022 - IEEE International Conference on Imaging Systems and Techniques, Proceedings | Informatica Axon, Informatica DQ, Informatica EDC | [CDK+22] |
K1 - keyword combination 1: "data quality tool" OR "data quality software"
K2 - keyword combination 2: ( "information quality" OR "data quality" ) AND ( "software" OR "tool" OR "application" ) AND "data quality rule"
| | Authors | Title | Year | Source title | DQ Tools | Citation |
|---|--------------------------|----------------------------------------------------------------------|------|--------------------------------------------------|----------|----------|
| K2 | Valencia-Parra A., Parody L., Varela-Vaca A.J., Caballero I., Gómez-López M.T. | DMN4DQ: When data quality meets DMN | 2021 | Decision Support Systems | - | |
| K2 | Lettner C., Stumptner R., Fragner W., Rauchenzauner F., Ehrlinger L. | DaQL 2.0: Measure Data Quality based on Entity Models | 2021 | Procedia Computer Science | - | |
| K2 | Loetpipatwanich S., Vichithamaros P. | Sakdas: A Python Package for Data Profiling and Data Quality Auditing | 2020 | 2020 1st International Conference on Big Data Analytics and Practices, IBDAP 2020 | - | |
| K2 | Heine F., Kleiner C., Oelsner T. | A dsl for automated data quality monitoring | 2020 | Lecture Notes in Computer Science (including subseries Lecture Notes in Artificial Intelligence and Lecture Notes in Bioinformatics) | - | |
K1 - keyword combination 1: "data quality tool" OR "data quality software"
K2 - keyword combination 2: ("information quality" OR "data quality") AND ("software" OR "tool" OR "application") AND "data quality rule"
| | Authors | Title | Year | Source title | DQ Tools | Citation |
|---|--------------------------------|----------------------------------------------------------------------|------|------------------------------------------------------------------------------|----------|----------|
| K2 | Boeckling T., Bronselaer A., de Tré G. | Mining data quality rules based on T-dependence | 2020 | Proceedings of the 11th Conference of the European Society for Fuzzy Logic and Technology, EUSFLAT 2019 | - | |
| K2 | Liu H., Wang X., Lei S., Zhang X., Liu W., Qin M. | A rule based data quality assessment architecture and application for electrical data | 2019 | ACM International Conference Proceeding Series | - | |
| K2 | van Cruchten R.M.E. | Data quality in process mining: A rule-based Approach | 2019 | CEUR Workshop Proceedings | - | |
| K2 | Sun J., Li J. | Discovery of MicroDependencies | 2019 | IEEE Access | - | |
| K2 | Juddoo S. | Overview of data quality challenges in the context of Big Data | 2016 | 2015 International Conference on Computing, Communication and Security, ICCS 2015 | - | |
| K2 | Hoel E., Bakalov P., Kim S., Brown T. | Moving beyond transportation: Utility network management | 2015 | GIS: Proceedings of the ACM International Symposium on Advances in Geographic Information Systems | - | |
| K2 | Abdo A.S., Salem R.K., Abdul-Kader H.M. | Efficient Dependable Rules Generation Approach for Data Quality Enhancement | 2015 | 25th International Conference on Computer Theory and Applications, ICCTA 2015 - Proceedings | - | |
K1 - keyword combination 1: "data quality tool" OR "data quality software"
K2 - keyword combination 2: ("information quality" OR "data quality") AND ("software" OR "tool" OR "application") AND "data quality rule"
| | Authors | Title | Year | Source title | DQ Tools | Citation |
|---|--------------------------|----------------------------------------------------------------------|------|------------------------------------------------------------------------------|----------|----------|
| K2 | Chu X., Ilyas I.F., Papotti P., Ye Y. | RuleMiner: Data quality rules discovery | 2014 | Proceedings - International Conference on Data Engineering | - | |
| K2 | Zanzi A., Trombetta A. | Data quality evaluation of scientific datasets a case study in a policy support context | 2013 | DATA 2013 - Proceedings of the 2nd International Conference on Data Technologies and Applications | - | |
| K2 | Valeva V., Roach P.A. | A proposed methodology for automated product data quality rule generation | 2013 | 28th International Conference on Computers and Their Applications 2013, CATA 2013 | - | |
| K2 | Dallachiesat M., Ebaid A., Eldawy A., Elmagarmid A., Ilyas I.F., Ouzzani M., Tang N. | NADEEF: A commodity data cleaning system | 2013 | Proceedings of the ACM SIGMOD International Conference on Management of Data | - | |
| K2 | Gao J., Woodall P., Koronios A., Parlikad A.K. | Data profiling challenges in engineering asset management data – Conceptual design for next generation data profiling software | 2013 | Proceedings of the 18th International Conference on Information Quality, ICIQ 2013 | - | |
K1 - keyword combination 1: "data quality tool" OR "data quality software"
K2 - keyword combination 2: ( "information quality" OR "data quality" ) AND ( "software" OR "tool" OR "application" ) AND "data quality rule"
### III. DQ Tools: Source of the Information
| ID | Tool | Official Website | Video | Additional Information | Trialability | Documentation | Level of Information | Selection 1 |
|----|-------------------------------------------|------------------|-------|------------------------|--------------------|---------------|----------------------|-------------|
| 1 | Data Preparator | | | | Not interested | - | - | n |
| 2 | Holodetect | Link | | Link | Open source | Y | Good | Y |
| 3 | MetricDoc | Link | | | Open source | Y | Good | Y |
| 4 | DataMentors | | | | Not interested | - | - | n |
| 5 | DQ-MeeRKat | Link | | Link | Open source | Y | Good | Y |
| 6 | MobyDQ | Link | | | Open source | Y | Good | Y |
| 7 | Great Expectations | Link | | Link | Open source | Y | Good | Y |
| 8 | AbInitio Enterprise Data Platform | Link | | | Not available | n | Good | Y |
| 9 | Acceldata | Link | Link | Link | Request a free trial | Y | Good | Y |
| 10 | DQ*Plus Enterprise Suite | Link | | | Not available | n | Partial | Y |
| 11 | Amperity CDP | Link | Link | | Not interested | - | - | n |
| 12 | Anomalo | Link | Link | | Demo available | n | Good | Y |
| 13 | Apache Griffin | Link | | Link | Open source | Y | Good | Y |
| 14 | Aggregate Profiler | Link | | | Open source | Y | Good | Y |
| 15 | Attaccama DQ-Analyzer | Link | | | Open source | Y | Good | Y |
| 16 | Attaccama ONE | Link | Link | Link | Demo available | n | Good | Y |
| 17 | dspCompose | Link | | | Not available | Y | Good | Y |
| 18 | CRM Cleaning | Link | | Link | Request a demo | n | Good | Y |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Trialability | Documentation | Level of Information | Selection 1 |
|----|-------------------------------------|------------------|-------|------------------------|-------------------------------|---------------|----------------------|-------------|
| 19 | Black Tiger Platform | Link | | | Not available | n | Low | n |
| 20 | ChainSys dataZen | Link | Link | | Not interested | - | - | n |
| 21 | Smart Data Platform | Link | Link | Link | Request a free trial | n | Good | Y |
| 22 | Claravine | Link | | | Not interested | - | - | n |
| 23 | ClearAnalytics | Link | | Link | Not interested | - | - | n |
| 24 | Cloudingo | Link | | | Free trial available | n | Good | Y |
| 25 | Collibra Platform | Link | Link | Link | Demo available | Y | Good | Y |
| 26 | Cribl Stream | Link | | | Not interested | - | - | n |
| 27 | CuriumDQM | Link | | | Not available | n | Partial | Y |
| 28 | D&B Connect | Link | | | Request a demo | n | Partial | Y |
| 29 | D&B Optimizer | Link | | | Request a demo | n | Partial | Y |
| 30 | DataMatch Enterprise | Link | | | Free trial available | Y | Good | Y |
| 31 | Datactics Self-Service Data Quality Platform | Link | | Link | Request a demo | n | Partial | Y |
| 32 | Dataedo | Link | | | Request a free trial | Y | Good | Y |
| 33 | DataStreams Platform | Link | | | Request a demo | n | Low | n |
| 34 | Ultimate Data Export | Link | | | Not interested | - | - | n |
| 35 | Datiris Profiler | Link | | | Not available | - | - | n |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Traceability | Documentation | Level of Information | Selection 1 |
|----|-----------------------------|------------------|-------|------------------------|--------------|---------------|----------------------|-------------|
| 36 | Dedupely | Link | | | Free trial available | n | Good | Y |
| 37 | MyDataQ | Link | | | Request a demo | n | Partial | Y |
| 38 | DQE One | Link | | | Request a demo | n | Partial | Y |
| 39 | DQLABS Platform | Link | Link | | Request a demo | n | Good | Y |
| 40 | Duco Platform | Link | | | Request a demo | n | Good | Y |
| 41 | DxSum | Link | Link | | Request a demo | n | Good | Y |
| 42 | Edge Delta | Link | | | Not interested | - | - | n |
| 43 | Exmon | Link | | | Request a demo | n | Good | Y |
| 44 | Experian Aperature Data Studio | Link | Link | Link | Request a free trial | Y | Good | Y |
| 45 | Experian DataArc360 | Link | | | Not available | n | Good | Y |
| 46 | Experian Email Validation | Link | | | Not available | n | Good | Y |
| 47 | Experian Name-search | Link | Link | | Not available | n | Good | Y |
| 48 | Experian Pandora (Legacy) | Link | | | Not available | - | - | n |
| 49 | Experian Phone Validation | Link | | | Not available | n | Good | Y |
| 50 | Experian Prospect IQ | Link | | | Not available | Y | Good | Y |
| 51 | Flatfile | Link | Link | | Request a demo | Y | Good | Y |
| 52 | Global IDs Data Quality Suites | Link | | | Request a demo | n | Good | Y |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Traceability | Documentation | Level of Information | Selection 1 |
|----|-------------------------------------------|------------------|-------|------------------------|--------------|---------------|----------------------|-------------|
| 53 | OpenRefine | Link | | | Open source | Y | Good | Y |
| 54 | matchIT Data Quality Solutions | | | | Not interested | - | - | n |
| 55 | HERE Platform | Link | | | Not interested | - | - | n |
| 56 | HubSpot Operations Hub | Link | | | Not interested | - | - | n |
| 57 | DataCleaner | Link | | Link | Open source | Y | Good | Y |
| 58 | InfoZoom | Link | Link | Link | Request a free trial | Y | Partial | Y |
| 59 | ibi Data Quality | Link | Link | Link | Not available | n | Good | Y |
| 60 | ibi Omni-Gen | Link | | | Not interested | - | - | n |
| 61 | iWay | Link | | | Not interested | - | - | n |
| 62 | IBM InfoSphere Information Analyzer | Link | | | Not interested | - | - | n |
| 63 | IBM InfoSphere Information Server for Data Quality | Link | | Link | Not available | Y | Good | Y |
| 64 | IBM InfoSphere QualityStage | Link | | Link | Not interested | - | - | n |
| 65 | IBM Watson Knowledge Catalog | Link | Link | Link | Not interested | - | - | n |
| 66 | Informatica Address Verification | Link | | | Not available | Y | Good | Y |
| 67 | Informatica Axon | Link | Link | | Not interested | - | - | n |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Trialability | Documentation | Level of Information | Selection 1 |
|----|-------------------------------------------|------------------|-------|------------------------|--------------------|---------------|----------------------|-------------|
| 68 | Informatica Cloud Data Quality | Link | Link | Link | Not available | n | Good | Y |
| 69 | Informatica Data as a Service | Link | | | Not available | Y | Good | Y |
| 70 | Informatica Data Engineering Quality | Link | | Link | Not available | Y | Good | Y |
| 71 | Informatica Enterprise Data Catalog | Link | | | Not interested | - | - | n |
| 72 | Informatica Master Data Management | Link | Link | Link | Demo available | n | Good | Y |
| 73 | ClearCore | Link | | Link | Request a demo | n | Partial | Y |
| 74 | OpenDQ | Link | | | Request a demo | n | Low | n |
| 75 | Enlighten | Link | | Link | Request a demo | n | Partial | Y |
| 76 | FinScan | Link | | | Not interested | - | - | n |
| 77 | Synchronos | | | | Not interested | - | - | n |
| 78 | Insycle | Link | | | Free trial available | n | Good | Y |
| 79 | IQ Office | Link | | | Request a free trial | n | Partial | Y |
| 80 | Introhive | Link | | | Not interested | - | - | n |
| 81 | Irion EDM | Link | Link | | Not interested | - | - | n |
| 82 | Data Quality Solution | Link | | | Request a demo | n | Partial | Y |
| 83 | Deduplix | Link | | | Request a demo | n | Low | n |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Trialability | Documentation | Level of Information | Selection 1 |
|-----|-------------------------------------------|------------------|-------|------------------------|-------------------------------|---------------|----------------------|-------------|
| 84 | Scrubbix | Link | | | Request a demo | n | Partial | Y |
| 85 | LiTech Data Quality Management | Link | Link | | Request a free trial | Y | Good | Y |
| 86 | Loqate | Link | | | Free trial available | Y | Good | Y |
| 87 | Melissa Data Data Profiler | Link | | | Not interested | - | - | n |
| 88 | Melissa Data Data Quality | Link | | | Not available | - | - | n |
| 89 | Melissa Data Data Quality Components for SSIS | Link | | | Request a demo | Y | Good | Y |
| 90 | Melissa Data Global Data Quality Suite | Link | | | Not available | - | - | n |
| 91 | Melissa Data MatchUp | Link | | | Not interested | - | - | n |
| 92 | Melissa Data Personator | Link | | | Not interested | - | - | n |
| 93 | Melissa Data Web APIs by Melissa | Link | Link | | Request a demo | Y | Good | Y |
| 94 | Microsoft Data Quality | Link | Link | | Free trial available | Y | Good | Y |
| 95 | MIOvantage | Link | Link | | Request a demo | Y | Good | Y |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Trialability | Documentation | Level of Information | Selection 1 |
|-----|-------------------------------------------|------------------|-------|------------------------|-----------------------|---------------|----------------------|-------------|
| 96 | Monte Carlo Data Observability Platform | Link | | Link | Request a demo | Y | Good | Y |
| 97 | Nintex | Link | | | Not interested | - | - | n |
| 98 | Datamartist | Link | | | Free trial available | Y | Good | Y |
| 99 | RevOps Data Automation Cloud | Link | | | Not interested | - | - | n |
| 100 | Oracle Cloud Infrastructure Data Catalog | Link | Link | | Not interested | - | - | n |
| 101 | Oracle Enterprise Data Quality | Link | | | Free trial available | Y | Partial | Y |
| 102 | OvalEdge | Link | | | Request a demo | n | Good | Y |
| 103 | Rapid Data Profiling | Link | | | Request a demo | Y | Partial | Y |
| 104 | Self-Service Data Preparation | Link | | | Not interested | - | - | n |
| 105 | Intelligent Data Quality Management | Link | | | Not available | n | Partial | Y |
| 106 | Spectrum Technology Platform | Link | Link | | Not available | n | Partial | Y |
| 107 | Duplicate Check for Salesforce | Link | | | Free trial available | n | Good | Y |
| 108 | PostGrid Address Verification | Link | | | Request a demo | Y | Good | Y |
| 109 | Precisely Data360 | Link | | | Request a demo | Y | Good | Y |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Trialability | Documentation | Level of Information | Selection 1 |
|-----|-------------------------------------------|------------------|-------|------------------------|-----------------------|---------------|----------------------|-------------|
| 110 | Precisely Spectrum Quality | Link | | | Request a demo | n | Partial | Y |
| 111 | Precisely Trillion Quality | Link | | Link | Request a demo | Y | Good | Y |
| 112 | Entity Resolution and Data Intelligence Tools | Link | | | Not interested | - | - | n |
| 113 | rgOne | Link | Link | | Request a demo | n | Partial | Y |
| 114 | DataLever | | | | Not available | - | - | n |
| 115 | SAP Address and Geocoding Directories | Link | Link | | Not available | Y | Good | Y |
| 116 | SAP Data Intelligence | Link | | | Not interested | - | - | n |
| 117 | SAP Data Quality Management, microservices for location data | Link | | Link | Request a demo | Y | Good | Y |
| 118 | SAP Data Services | Link | | Link | Request a demo | Y | Partial | Y |
| 119 | SAP Information Steward | Link | Link | Link | Not available | Y | Good | Y |
| 120 | SAP Master Data Governance | Link | Link | Link | Demo available | Y | Partial | Y |
| 121 | SAS Data Loader for Hadoop | Link | | Link | Request a demo | Y | Good | Y |
| 122 | SAS Data Management | Link | | Link | Request a demo | Y | Good | Y |
| 123 | SAS Data Quality | Link | | Link | Request a demo | Y | Good | Y |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Trialability | Documentation | Level of Information | Selection 1 |
|-----|-------------------------------------------|------------------|-------|------------------------|-----------------------|---------------|----------------------|-------------|
| 124 | SAS Data Quality Accelerator for Teradata | Link | Link | Link | Not available | Y | Good | Y |
| 125 | SAS Dataflux | Link | | Link | Request a demo | Y | Good | Y |
| 126 | Semarchy xDM | Link | | | Request a demo | n | Good | Y |
| 127 | Pentaho Kettle | Link | | | Not interested | - | - | n |
| 128 | Masterpiece -> SpheratCloud Platform | Link | | | Not interested | - | - | n |
| 129 | SQL Power Architect | Link | | | Not interested | - | - | n |
| 130 | SQL Power DQguru | Link | | | Open source | Y | Good | Y |
| 131 | Stratio Augmented Data Fabric Platform | Link | | | Request a demo | n | Partial | Y |
| 132 | Syncari | Link | | | Not interested | - | - | n |
| 133 | Syniti Knowledge Platform | Link | Link | Link | Request a demo | Y | Good | Y |
| 134 | Syniti Master Data Management | Link | | Link | Not interested | - | - | n |
| 135 | Syniti Match | Link | | Link | Not interested | - | - | n |
| 136 | RingLead Platform | Link | | | Open source | Y | Good | Y |
| 137 | ZoomInfo OperationsOS | Link | | | Request a demo | n | Partial | Y |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
| ID | Tool | Official Website | Video | Additional Information | Trialability | Documentation | Level of Information | Selection 1 |
|-----|-------------------------------------------|------------------|-------|------------------------|-------------------------------|---------------|----------------------|-------------|
| 138 | Tale Of Data | Link | | | Request a free trial | n | Good | Y |
| 139 | Talend Data Fabric | Link | Link | | Request a free trial | n | Partial | Y |
| 140 | Talend Data Preparation | Link | | | Request a free trial | n | Partial | Y |
| 141 | Talend Data Stewardship | Link | | Link | Request a demo | Y | Partial | Y |
| 142 | Talend Open Studio for Data Quality | Link | | | Open source | Y | Low | n |
| 143 | Talend Platform for Data Management (Legacy) | Link | | | Not available | - | - | n |
| 144 | TIBCO Clarity | Link | | Link | Request a demo | Y | Good | Y |
| 145 | TIBCO (Cloud) EBX | Link | Link | | Not interested | - | - | n |
| 146 | iCEDQ | Link | Link | | Request a demo | n | Good | Y |
| 147 | Alteryx Designer Cloud | Link | | | Not interested | - | - | n |
| 148 | Uniserv | Link | | | Request a free trial | n | Good | Y |
| 149 | DataFuse | Link | | | Not available | n | Partial | Y |
| 150 | DemandTools | Link | | | Request a free trial | n | Partial | Y |
| 151 | Clean & Match Enterprise | Link | | | Free trial available | n | Good | Y |
Y - "yes", n - "no"
Selection 1: Y - "included", n - "excluded"
## IV. DQ Tools: DQ and Other Features
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|-----|-----------------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|---------------------|--------------|----------------------|------------------|------------------|----------------|----------------|-----------------------------|--------------|---------------|--------------------------------|----------------|------------|
| 2 | Holodetect | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 3 | MetricDoc | n | Y | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 5 | DQ-MeeRKat | Y | n | n | Y | n | n | Y | n | n | Y | n | n | n | n | n | n | n | n | n |
| 6 | MobyDQ | n | Y | Y | Y | Y | Y | Y | n | Y | n | n | n | n | n | n | n | n | Y* | n |
| 7 | Great Expectations | Y | Y | n | n | Y | Y | Y | n | n | n | n | n | n | n | n | n | n | n | n |
| 8 | AbInitio Enterprise Data Platform | Y | Y | n | Y | Y | Y | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 9 | Acceldata | Y | n | n | n | n | n | Y | n | Y | n | n | n | n | n | Y | n | n | n | n |
| 10 | DQ*Plus Enterprise Suite | n | n | n | n | n | n | Y | n | n | Y | Y | n | n | n | n | n | n | n | n |
| 12 | Anomalo | Y | Y | Y | Y | Y | Y | Y | n | Y | n | n | n | n | n | n | n | n | Y* | n |
| 13 | Apache Griffin | Y | Y | n | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 14 | Aggregate Profiler | Y | Y | n | n | Y | n | Y | n | n | Y | Y | n | n | n | n | n | n | n | n |
| 15 | Attaccama DQAnalyzer | Y | Y | n | n | Y | Y | n | n | Y | n | n | n | n | n | n | n | n | n | n |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|----|-----------------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|---------------|----------------|-----------------------------|--------------|--------------|--------------------------------|----------------|------------|
| 16 | Ataccama ONE | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | n | Y | Y |
| 17 | dspCompose | n | n | n | n | n | n | n | n | n | n | Y | Y | Y | n | n | n | n | n | n |
| 18 | CRM Cleaning | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n | n |
| 21 | Smart Data Platform | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y* | Y |
| 24 | Cloudingo | Y | n | n | n | n | n | n | n | Y | n | Y | Y | Y | n | n | n | n | n | n |
| 25 | Collibra Platform | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | n | n | n | Y | Y | Y | Y | Y | Y |
| 27 | CuriumDQM | Y | Y | n | n | Y | Y | n | n | n | Y | n | Y | n | n | n | n | n | n | n |
| 28 | D&B Connect | Y | n | n | n | n | Y | Y | Y | Y | n | Y | Y | Y | n | n | n | n | Y | n |
| 29 | D&B Optimizer | Y | n | n | n | n | n | Y | n | n | Y | Y | Y | Y | n | n | n | n | n | n |
| 30 | DataMatch Enterprise | Y | Y | n | n | Y | Y | n | n | Y | n | Y | Y | n | n | n | n | n | n | n |
| 31 | Datactics Self-Service Data Quality Platform | Y | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | n | n | n | n |
| 32 | Dataedo | Y | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|----|-----------------------|----------------|-----------------|---------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|----------------|---------------|-----------------------------|--------------|--------------|--------------------------------|----------------|------------|
| 36 | Dedupely | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n | n | n | n | n |
| 37 | MyDataQ | n | n | n | n | n | n | Y | n | n | n | Y | Y | n | n | n | n | n | n | n |
| 38 | DQE One | n | n | n | n | n | n | Y | n | n | n | Y | Y | n | n | n | n | n | n | n |
| 39 | DQLABS Platform | Y | Y | n | Y | Y | Y | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 40 | Duco Platform | n | Y | n | n | n | n | Y | n | n | n | Y | Y | n | n | n | n | n | n | n |
| 41 | DvSum | Y | Y | n | Y | Y | Y | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 43 | Exmon | n | Y | n | Y | Y | Y | n | n | n | n | Y | n | n | n | Y | n | n | n | n |
| 44 | Experian Aperture Data Studio | Y | Y | n | n | Y | n | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 45 | Experian DataArc360 | Y | n | n | Y | n | Y | Y | Y | n | n | Y | Y | n | n | n | n | n | Y | n |
| 46 | Experian Email Validation | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 47 | Experian Namesearch | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n | n |
| 49 | Experian Phone Validation | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|-----|-------------------------------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|----------------|----------------|-----------------------------|--------------|---------------|--------------------------------|----------------|------------|
| 50 | Experian Prospect IQ | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n |
| 51 | Flatfile | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n | n |
| 52 | Global IDs Data Quality Suites | Y | Y | n | n | Y | Y | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 53 | OpenRefine | n | n | n | n | Y | n | n | n | Y | Y | Y | n | n | n | n | n | n | n | n |
| 57 | DataCleaner | Y | Y | n | n | n | n | Y | n | n | Y | Y | n | n | n | n | n | n | n | n |
| 58 | InfoZoom | Y | Y | n | n | Y | Y | n | n | n | Y | n | n | n | n | n | n | n | n | n |
| 59 | ibi Data Quality | Y | Y | n | n | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 63 | IBM InfoSphere Information Server for Data Quality | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | n | n | n | n |
| 66 | Informatica Address Verification | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 68 | Informatica Cloud Data Quality | Y | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | n | n | n | n | n | Y | n | Y |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|-----|-------------------------------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|----------------|----------------|-----------------------------|--------------|---------------|--------------------------------|----------------|------------|
| 69 | Informatica Data as a Service | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n | n | n | n |
| 70 | Informatica Data Engineering Quality | Y | Y | n | Y | Y | Y | Y | n | Y | Y | Y | Y | Y | n | n | n | Y | n | Y |
| 72 | Informatica Master Data Management | Y | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 73 | ClearCore | Y | n | n | Y | n | Y | Y | n | n | Y | Y | Y | Y | n | n | n | n | n | n |
| 75 | Enlighten | Y | n | n | n | n | Y | n | n | n | Y | Y | Y | n | n | n | n | n | n | n |
| 78 | Insycle | Y | n | n | n | n | n | n | n | Y | n | n | Y | n | n | n | n | n | n | n |
| 79 | IQ Office | Y | n | n | n | n | n | n | n | Y | n | n | Y | Y | n | n | n | n | n | n |
| 82 | Data Quality Solution | n | n | n | n | n | n | n | n | n | n | n | Y | n | n | n | n | Y | n | n |
| 84 | Scrubbix | Y | n | n | n | n | n | n | n | n | Y | Y | Y | n | n | n | n | n | n | n |
| 85 | LiTech Data Quality Management | Y | Y | Y | n | Y | Y | Y | n | Y | n | n | n | n | n | n | n | Y* | n | Y |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|-----|-------------------------------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|----------------|----------------|-----------------------------|--------------|---------------|--------------------------------|----------------|------------|
| 86 | Logate | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | Y | n |
| 89 | Melissa Data Data Quality Components for SSIS | Y | n | n | n | n | n | n | n | n | Y | Y | Y | n | n | n | n | n | n | n |
| 93 | Melissa Data Web APIs by Melissa | Y | n | n | n | n | n | n | n | n | Y | Y | Y | n | n | n | n | n | n | n |
| 94 | Microsoft Data Quality | Y | Y | n | Y | Y | Y | n | n | Y | Y | Y | Y | n | n | n | n | n | n | n |
| 95 | MIOvantage | Y | Y | n | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | n | Y | Y | Y | Y | n |
| 96 | Monte Carlo Data Observability Platform | Y | Y | Y | Y | Y | Y | Y | Y | Y | n | n | n | n | n | Y | Y | Y | Y* | n |
| 98 | Datamartist | Y | n | n | n | n | n | n | n | Y | n | n | Y | n | n | n | n | n | n | n |
| 101 | Oracle Enterprise Data Quality | Y | n | n | n | n | n | n | n | Y | n | n | Y | Y | n | n | n | n | n | n |
| 102 | OvalEdge | Y | Y | Y | n | Y | Y | Y | Y | n | n | n | n | n | n | Y | Y | Y | Y | n |
| 103 | Rapid Data Profiling | Y | n | n | n | Y | n | n | n | Y | n | Y | Y | n | n | n | n | n | n | n |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|-----|-------------------------------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|----------------|---------------|-----------------------------|--------------|---------------|--------------------------------|----------------|------------|
| 105 | Intelligent Data Quality Management | Y | n | n | n | Y | n | n | n | n | n | Y | Y | Y | Y | n | n | n | n | n |
| 106 | Spectrum Technology Platform | Y | Y | n | n | Y | n | Y | Y | n | n | Y | Y | Y | n | n | n | n | n | n |
| 107 | Duplicate Check for Salesforce | n | n | n | n | n | n | Y | n | n | n | Y | n | n | n | n | n | n | n | n |
| 108 | PostGrid Address Verification | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 109 | Precisely Data360 | Y | Y | n | Y | Y | n | Y | n | Y | n | Y | Y | Y | n | Y | n | Y | Y* | n |
| 110 | Precisely Spectrum Quality | Y | Y | n | n | Y | n | Y | Y | Y | Y | Y | Y | Y | n | n | n | n | n | Y |
| 111 | Precisely Trillium Quality | Y | Y | n | n | Y | Y | n | n | Y | n | Y | Y | n | n | n | n | n | n | n |
| 113 | rgOne | Y | n | n | n | n | n | Y | n | n | n | Y | Y | Y | n | n | n | n | n | n |
| 115 | SAP Address and Geocoding Directories | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|-----|----------------------------------------------------------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|----------------|----------------|-----------------------------|--------------|---------------|--------------------------------|----------------|------------|
| 117 | SAP Data Quality Management, microservices for location data | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n | n |
| 118 | SAP Data Services | Y | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n | n |
| 119 | SAP Information Steward | Y | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | n | Y | Y | n | n | Y | n |
| 120 | SAP Master Data Governance | n | Y | n | n | Y | n | n | n | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 121 | SAS Data Loader for Hadoop | Y | n | n | n | n | n | Y | n | n | Y | Y | Y | n | n | n | n | n | Y | n |
| 122 | SAS Data Management | Y | Y | n | n | Y | Y | Y | Y | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 123 | SAS Data Quality | Y | Y | n | Y | Y | Y | Y | Y | Y | n | Y | Y | Y | Y | Y | n | n | Y | n |
| 124 | SAS Data Quality Accelerator for Teradata | n | n | n | n | n | n | Y | n | n | Y | Y | Y | n | n | n | n | n | n | n |
| 125 | SAS Dataflux | Y | Y | n | Y | Y | n | Y | Y | Y | n | Y | Y | Y | n | Y | n | n | Y | n |
| 126 | Semarchy xDM | Y | Y | n | n | Y | Y | n | n | Y | Y | Y | Y | Y | Y | Y | n | n | n | n |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|-----|-------------------------------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|----------------|----------------|-----------------------------|--------------|---------------|-----------------------------|----------------|------------|
| 130 | SQL Power DQguru | n | Y | n | n | n | n | Y | n | n | n | Y | Y | Y | n | n | n | n | n | n |
| 131 | Stratio Augmented Data Fabric Platform | n | Y | n | n | Y | n | Y | n | n | Y | Y | Y | Y | n | Y | Y | Y | Y | n |
| 133 | Syniti Knowledge Platform | Y | Y | n | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 136 | RingLead Platform | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 137 | ZoomInfo OperationsOS | n | n | n | n | n | n | Y | n | n | Y | Y | Y | Y | n | n | n | n | n | n |
| 138 | Tale Of Data | Y | n | n | Y | Y | Y | Y | Y | n | Y | Y | n | n | n | Y | n | n | n | n |
| 139 | Talend Data Fabric | Y | n | n | Y | n | n | Y | Y | n | Y | Y | n | Y | Y | Y | Y | Y | Y | n |
| 140 | Talend Data Preparation | Y | Y | n | Y | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n |
| 141 | Talend Data Stewardship | Y | Y | n | Y | Y | Y | Y | n | n | n | n | n | n | n | n | n | n | n | n |
| 144 | TIBCO Clarity | Y | n | n | Y | n | n | Y | n | n | Y | Y | Y | Y | n | n | n | n | n | n |
| 146 | iCEDQ | n | Y | n | n | Y | Y | n | n | n | n | n | n | n | n | n | n | n | n | n |
| 148 | Uniserv | n | n | n | n | n | n | Y | n | n | Y | n | n | n | n | n | n | n | n | n |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Data Profiling | Custom DQ Rules | DQ Rule Definition in SQL | DQ Dimensions Used | DQ Rules Repository | Erroneous Records Shown | DQ Report Creation | DQ Dashboard | Data Match Detection | Anomaly Detection | DQ Rule Detection | Data Cleansing | Data Enrichment | Master Data Management | Data Lineage | Data Catalogue | Data Semantics discovery | Data Integration | Selection 2 |
|-----|-----------------------|----------------|-----------------|----------------------------|--------------------|---------------------|------------------------|-------------------|--------------|----------------------|------------------|------------------|---------------|----------------|-----------------------------|--------------|--------------|--------------------------------|----------------|------------|
| 149 | DataFuse | n | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n |
| 150 | DemandTools | Y | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n |
| 151 | Clean & Match Enterprise | Y | n | n | n | n | n | n | n | n | n | n | Y | Y | n | n | n | n | n | n |
Y - "yes", n - "no"
Selection 2: Y - "included", Y* - "included as alternative", n - "excluded"
| ID | Tool | Tool Environment | Data Processing Environment | API Used | Flat file (.txt, .csv, .lsx) | API Used | Spreadsheet | JSON | Relational Database | Non-Relational Database | DW | Data Lake | Also in Cloud | Selection 3 |
|-----|-------------------------------------------|------------------|-----------------------------|----------|-------------------------------|----------|-------------|------|---------------------|-------------------------|-----|-----------|---------------|------------|
| 6 | MobyDQ | Cloud | | n | | | | | | | | | | |
| 8 | Ablinitio Enterprise Data Platform | Cloud/Hybrid/Both| | Y | Y | Y | Y | Y | Y | Y | Y | Y | n | Y |
| 12 | Anomalo | Cloud | Both | n | n | n | Y | n | Y | Y | Y | Y | n | Y* |
| 16 | Ataccama ONE | Cloud | Both | Y | Y | Y | Y | Y | Y | Y | Y | Y | n | Y |
| 21 | Smart Data Platform | Cloud | | n | n | n | Y | Y | Y | Y | Y | Y | n | Y |
| 25 | Collibra Platform | Hybrid | Private Cloud | Y | Y | n | Y | Y | n | Y | Y | Y | Y | Y |
| 39 | DQLABS Platform | Cloud | Private Cloud | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 41 | DxSum | Cloud | Both | Y | Y | Y | n | Y | Y | Y | Y | Y | n | Y |
| 44 | Experian Aperture Data Studio | Cloud | | n | Y | Y | Y | Y | Y | Y | Y | Y | n | Y |
| 52 | Global IDs Data Quality Suites | Cloud/On-prem | Both | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 68 | Informatica Cloud Data Quality | Cloud | Private Cloud | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 70 | Informatica Data Engineering Quality | Cloud/On-prem | Both | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
| 72 | Informatica Master Data Management | Cloud | Private Cloud | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y | Y |
Y - "yes", n - "no"
Selection 3: Y - "included", Y* - "alternative included", n - "excluded"
| ID | Tool | Tool Environment | Data Processing Environment | API Used | Flat file (.txt, .csv, .tsv) | API Used | Spreadsheet | JSON | Relational Database | Non-Relational Database | DW | Data Lake | Also in Cloud | Selection 3 |
|-----|-------------------------------------------|------------------|-----------------------------|----------|-------------------------------|----------|-------------|------|---------------------|-------------------------|----|-----------|---------------|------------|
| 85 | LiTech Data Quality Management | On-prem | On-prem | Y | Y | n | n | Y | n | Y | Y | Y | Y | Y* |
| 96 | Monte Carlo Data Observability Platform | Cloud | Vendor Cloud | n | n | n | n | Y | n | Y | Y | Y | Y | n |
| 109 | Precisely Data360 | Cloud | Vendor Cloud | Y | Y | Y | Y | Y | n | Y | Y | Y | Y | Y |
| 110 | Precisely Spectrum Quality | | | Y | Y | Y | Y | Y | n | Y | n | Y | n | n |
| 119 | SAP Information Steward | Cloud | Vendor Cloud | Y | Y | Y | n | Y | n | Y | n | Y | Y | n |
| 133 | Syniti Knowledge Platform | Cloud | Both | Y | n | n | n | Y | n | Y | n | Y | Y | Y |
Y - "yes", n - "no"
Selection 3: Y - "included", Y* - "alternative included", n - "excluded"
| ID | Tool | Description |
|----|-----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 8 | AbInitio Enterprise Data Platform | AbInitio includes a wide range of capabilities as it is listed on their website\(^5\). It claims to have almost all functionalities presented in the review report in Table 2, except DQ rules expression in SQL and DQ dashboard. It also supports all data sources reviewed, including DWs, and provides data processing wherever the data is, e.g. on-premises, virtual private cloud.
AbInitio has the main feature of the goal of this thesis, automated DQ rule detection. It generates and applies DQ rules based on metadata that have also been automatically detected. Specifically, there are used data fields’ types and expected relationships in the data to generate the DQ rules.
If the rules are based on data field types, i.e., text, integer, date, etc., then it may recognise the data format to some extent, but may not detect rules for detailed patterns. The relationship, like the “start date” and “end date” of something, may give input for rules of the consistency dimension. It is not clear if there is detected external consistency, the relationship between the attributes of different data objects. There is also no information if data lineage as one type of metadata is used for generating reconciliation rules for checking the DQ of transformation and loading processes.
AbInitio has plenty of well-described capabilities and is able to provide the customer with quite individual products. However, the descriptions on websites include much marketing-flavoured text, the platform is not possible to try out, and there is also no publicly available documentation. |
\(^5\)https://www.abinitio.com/en/
| ID | Tool | Description |
|----|-----------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 16 | Ataccama ONE Platform | ONE Platform is the second most popular DQ tool, being brought out by eight (8) sources (see Appendix IIa). It is a combination of DQ, master data, data catalogue, reference data, etc. solutions, and designed for different roles of data specialists. It has all the features reviewed, except DQ rules representation in SQL. It supports almost every data source reviewed, except non-relational databases. It is claimed to be designed for big data management\(^6\).
Ataccama ONE platform’s DQ component is clearly a rule-based DQ solution, having automated DQ rules detection and an option for self-defined rules. Rules are complemented with dimension and the result can be seen on the business term, data element, and report level. In the demo video\(^7\) it is shown how all the automated and self-defined rules can be configured and published.
Automated DQ rules are created from a library of built-in rules, data domains and business terms detected using a self-learning machine learning method as said on Ataccama’s webpage\(^8\). It is supplemented by anomaly detection which is basically a self-learning outlier detection. Based on the anomalies DQ rules can also be added manually.
Unfortunately, the Ataccama ONE platform is not trialable. Instead, the data profiling tool Ataccama DQ Analyzer is only provided. It does not detect DQ rules or anomalies. Also, automated DQ rule generation of Ataccama ONE is not introduced in the demo video and there is no available documentation, but the author finds the user interface simple and logical. Visualising the data lineage looks also clear and understandable which is helpful for responsible roles for reporting the DQ of critical data elements in DWs. |
---
\(^6\)https://www.ataccama.com/platform
\(^7\)https://www.youtube.com/watch?v=XG6n2CMGJ-4&t=10s
\(^8\)https://www.ataccama.com/platform/data-quality
| ID | Tool | Description |
|----|-------------------------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 25 | Collibra Data Intelligence Cloud | Collibra is a full-service data platform, including services, like DQ, data catalogue, data governance, data lineage, etc. It has an available demo, a platform where can be signed in. There can be taken a guided tour which introduces connecting to some data sources, detecting anomalies with automatically generated rules, building custom rules, and monitoring the DQ. This DQ product is mapped to all DQ features in scope. It profiles data, detects anomalies, generates automatic DQ rules, and allows to define own DQ rules. It is possible to define DQ rule expressions in SQL. Collibra has metadata functionalities, works hybrid and can process data in the private cloud. It uses associative, unsupervised machine learning to auto-generate SQL-based, explainable and adaptive DQ rules. It creates snapshots and baselines to benchmark past data, constantly learns from new data and makes predictions for typos, formatting issues, outliers, relationships and more [Col]. In addition, Collibra has publicly available documentation\(^9\) with many detailed guides and screenshots, and a short introductory video\(^10\). Overall, the author finds that the website, documentation and demo are well-described and visually easy to look at. |
| 39 | DQLabs Platform | DQLabs assembles DQ, metadata, and data governance functionalities, trying to bridge the gap between technical and business users as DQLabs has claimed on their website\(^11\). Their lead sentence is “Observe, Measure and Discover all in one platform”. DQLabs uses machine learning for discovering and extracting semantics or business terms from a customer’s data stack, identifying the data type and its sensitivity level (e.g., PII), and detecting anomalies in data. It is said that discovered metadata is used for the automated generation of DQ rules. There are supported all data sources which were determined in the review protocol: different files, relational and non-relational databases, DWs, and data lakes, and they provide also API. DQLabs does not provide immediately a demo or a free trial. It does not have any introductory or even marketing purposes video, and there is no publicly available documentation. The author requested a demo and was contacted by phone, but there was not given any additional information. It was called only for selling purposes, requesting more information from the author. |
\(^9\)https://productresources.collibra.com/docs/collibra/latest/Content/Home.htm
\(^10\)https://www.youtube.com/watch?v=gsUM8lX8DMA
\(^11\)https://www.dqlabs.ai/platform/
| ID | Tool | Description |
|----|-----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 41 | DvSum | DvSum aggregates DQ, data catalogue and data governance functionalities for several data sources, including data lake or data warehouse. It additionally provides a chatbot functionality where users can chat with data asking questions about the data. An example question provided on their webpage\(^{12}\), "How many of our therapy patients use Android vs iPhone?" The Chatbot is able to return a bar chart with respective counts of Android users, iPhone users and other users of therapy patients. On a high level, DvSum claims to have automated DQ checks, which is in the interest of this thesis, DQ monitoring and integration to pipelines, a self-service root-cause analysis of data issues, and the impact analysis of data model changes. DvSum suggests automatically AI-driven DQ checks that are combinations of statistical anomaly detection and rule-based algorithms. These checks are able to validate data types, empty values, volume, and shifts in data distribution\(^{13}\). DvSum has no publicly available documentation and the DQ solution is not immediately triable. The data catalogue function can be tried out with a demo, but for the DQ solution, there has to be scheduled a call. |
| 52 | Global IDs Data Quality Suites | Global IDs DQ Suites is a part of Global IDs DEEP Platform\(^{14}\) which comprises a set of core functions: automated discovery and profiling, data classification, data lineage, DQ, etc. Additionally, Global IDs can automatically generate the DQ controls for critical data elements. These controls function like rules that continuously monitor the data elements they are linked to. Its architecture is designed for integration from the ground up with all platform functionality accessible via APIs and claims to be able to automate data management for enterprises of any size or data ecosystem. They provide deployment on-premises or in the cloud and have a big library of connectors to several structured databases, applications, file types, NoSQL, Big Data, and the cloud. There is no immediately available demo or a free trial, and publicly available documentation. Nevertheless, they have a very interesting podcast\(^{15}\) about the importance of data lineage. There is told that data lineage is important not only for regulative purposes but also for checking DQ and tracing issues. It is essential to know the lineage when making data reconciliation to be sure that data flows correctly through the pipelines. Global IDs do not reveal how their DQ controls generation work. |
\(^{12}\)https://dvsum.ai/
\(^{13}\)https://dvsum.ai/solutions/data-quality/
\(^{14}\)https://www.globalids.com/platform-features/
\(^{15}\)https://share.transistor.fm/s/16467431
| ID | Tool | Description |
|----|-------------------------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | **Informatica cloud-based products** | use the CLAIRE engine that delivers metadata-driven artificial intelligence to Informatica’s cloud services, enabling intelligent recommendations of DQ rules that are based on how similar data has been managed prior [Infα] [Infβ] [Infε] which may mean that CLAIRE learns from the previous “experience” of the specific user or rather actions of the community. All cloud-based Informatica services have connectors to a lot of data sources brought out in their website\(^{16}\). There are connectors for files, special applications, DWs, data lakes, databases, and even to social media platforms, like Facebook and LinkedIn. Informatica does not share its documentation in public for all the services, but these can be found on the website\(^{17}\). Informatica provides an interactive demo for the Master Data Management product, but the author finds it uninformative and inconvenient. |
| 68 | Informatica Cloud DQ | Informatica Cloud DQ is an AI-based DQ solution for small companies to big enterprises [Infα]. It is mapped to almost all DQ functionalities in the report, except defining DQ rules in SQL and data enrichment. |
| 70 | Informatica Data Engineering Quality | Informatica DEQ is a DQ solution for large enterprises, and for all of its business applications on-premises, in the cloud, or big data, including Hadoop, NoSQL, and other environments. It has features for all stakeholders, like line-of-business managers, business analysts, data stewards, and IT personnel [Infβ]. |
| 72 | Informatica Master Data Management | Informatica MDM is the SaaS solution with all-in-one capabilities for master data management\(^{18}\), e.g. metadata management, DQ management, data governance, data modelling, data integration, etc. |
\(^{16}\)https://www.informatica.com/products/cloud-integration/connectivity/connectors.html
\(^{17}\)https://docs.informatica.com/
\(^{18}\)https://www.informatica.com/products/master-data-management.html
| ID | Tool | Description |
|----|-----------------------------|---------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 133| Syniti Knowledge Platform | SKP is an AI-powered cloud data platform uniting DQ, data catalogue and data governance functionalities. Its key capabilities include automated metadata scanning and profiling, automatic data catalogue creation, rule recommendation engine, AI-driven data matching and deduplication solution, validation, cleansing and enriching capabilities, DQ reports, and executive-level business outcome dashboards [Syna]. Syniti does not publish how exactly their rule engine works. It is said only that it is using AI for different data management functionalities, but it does not mention if it uses automatically scanned metadata and data catalogue or something else, like built-in rules.
Syniti Knowledge Platform connects to the following data sources: relative databases, DWs and applications listed in their website\(^{19}\). Syniti Knowledge Platform works in the cloud but processes the data on the customer side where Syniti Connector is set up for communication. Knowledge Platform sends out commands and gets back metadata and metrics [Synb]. |
\(^{19}\)https://www.syniti.com/solutions/data-replication/data-replication-supported-databases/
VII. Licence
Non-exclusive licence to reproduce thesis and make thesis public
1. Heidi Carolina Martinsaari,
(author’s name)
1. herewith grant the University of Tartu a free permit (non-exclusive licence) to reproduce, for the purpose of preservation, including for adding to the DSpace digital archives until the expiry of the term of copyright,
Toward an Automated DQ Rule Detection in DWs,
(title of thesis)
supervised by Anastasija Nikiforova.
(supervisor’s name)
2. I grant the University of Tartu a permit to make the work specified in p. 1 available to the public via the web environment of the University of Tartu, including via the DSpace digital archives, under the Creative Commons licence CC BY NC ND 3.0, which allows, by giving appropriate credit to the author, to reproduce, distribute the work and communicate it to the public, and prohibits the creation of derivative works and any commercial use of the work until the expiry of the term of copyright.
3. I am aware of the fact that the author retains the rights specified in p. 1 and 2.
4. I certify that granting the non-exclusive licence does not infringe other persons’ intellectual property rights or rights arising from the personal data protection legislation.
Heidi Carolina Martinsaari
09/05/2023
|
b48ed715-6d93-4d53-985b-f7a5972fba19
|
CC-MAIN-2023-50
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https://comserv.cs.ut.ee/home/files/Martinsaari_Andmeteadus_2023.pdf?study=ATILoputoo&reference=FDF5152A439B0B7E25E2EA2B45D2978D039CB4C5
|
2023-12-11T08:34:00+00:00
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] |
Bull born before 01.01.2021
1 st Southfield Uproar
3 entered,1 forward
Bull born in 2021
1 st Southfield Viper
4 entered/3 forward
2
Briar Mead Versace
Great Yorkshire Show Society National Show
11 July 2023
Judge: Danny Wyllie
Mr & Mrs D&A Blockley
Mr & Mrs D&A Blockley
Messrs J Emsley & M Cleasby
Mrs V Hopkinson nd
3 rd Raincliffe John
Bull born on or after 01.01.2022
1 st Blackbrook Ghost Rider
Mr & Mrs JW & PA Stanley
2 nd Longbridge Whistler
Ms J Grant & Ms P McDonnell
3 rd Southfield Warrior ET
Mr & Mrs D&A Blockley
4 th Wheatlands Warrior
Mr T Mills
5
th
Willowtree Wrecker
Ms A Lack
5 entered, 5 forward
Cow
1 st Blackbrook Bluebell
16 entered, 8 forward
2 nd Melbourne Park Griselda
4 th Briar Mead Ultimate Wish
3 rd Herbertsherd Honey
5 th Southfield Peach
7 th Treverton Promise
Mr & Mrs JW & PA Stanley
Master B Stanley
Mr & Mrs B&T Stanley
Mrs V Hopkinson
Miss A Lack
Mr & Mrs D&A Blockley
Ms J Grant & Ms P McDonnell
6 th Longbridge U-turn
8 th Fishwick Tamarisk
J Close & So Ltd
Senior heifer
13 entered, 12 forward
1 st Blackbrook Forget Me Not Mr & Mrs JW & PA Stanley
2 nd Melbourne Park Juliet 3 rd Southfield Voodoo ET
Mr Ben Stanley
Mr & Mrs D&A Blockley
4 th Newton Forget Me Not
Mr D Walker
5 th Raincliffe Spirit
Masters A&H Emsley
6 th Southfield Velvet
Mr & Mrs D&A Blockley
7 th Longbridge Velvet
Ms J Grant & Ms P McDonnell
8 th Raincliffe Sarah III
Masters A&H Emsley
9 th Wheatlands Vandella
Mr T Mills
10 th Berrydown Victoria
Mr M Horne
11 th Toftgate Violet
Mr C Prince
12 th Toftgate Vanilla
Mr C Prince
Junior heifer born between 01.01.22 & 30.04.22
1 st Blackbrook Grace
Mr & Mrs JW & PA Stanley
2 nd Longbridge Wendy rd
Ms J Grant & Ms T McDonnell
3 Harford Whoopi
Miss A Lack
4 th Newton Good Girl Gone Bad Mr D Walker
5 th Wheatlands Wendy
Mr T Mills
6 th Southfield Whisper
Mr C Blockley
7 th Berrydown Wren
Mr M Horne
11 entered, 7 forward
Junior heifer born 01.05.22 & 31.12.22
1 st Longbridge Wiggle
Ms J Grant & Ms T McDonnell
2 nd Longbridge Windsor Rose Ms J Grant & Ms T McDonnell
3 rd Toftgate Wilma
Mr C Prince
2 entered, 3 forward
Group of Three st
2
Mr & Mrs JW & PA Stanley
1
Mr & Mrs D&A Blockley nd
3
Ms J Grant & Ms T McDonnell rd
4 th Mr C Prince
Pairs
2 nd Mr & Mrs D&A Blockley
1 st Mr & Mrs B&T Stanley
3 rd Mrs V Hopkinson th
5 th Masters A&H Emsley
4
Mr & Mrs JW & PA Stanley
6 th Mr C Prince
8 th Ms J Grant & Ms T McDonnell
7 th Mr D Walker
Breed Champion (Morgan Trophy)
Reserve Interbreed Senior Team of 4
Blackbrook Bluebell
Southfield Uproar
Longbridge Velvet
Herbertsherd Honey Blackbrook Forget Me Not
Newark & Notts Show
13 May 2023 Judge: Mrs Lynda Burditt
Senior bull, 3 entered/ 2 forward
st
2
Blackbrook Flintlock
Mr & Mrs JW & PA Stanley nd
1
Briar Mead Versace
Mrs V Hopkinson
Junior bull, 2 entered/ 2 forward st
2
Blackbrook Grand Slam Mr & Mrs JW & PA Stanley nd
1
Longbridge Whistler
Cow, 5 entered/ 4 forward
JM Grant & PA McDonnell st
2
nd
1
Blackbrook Blue Bell
Mr & Mrs JW & PA Stanley
3
rd
Mrs V Hopkinson
Briar Mead Ultimate Wish
4
Longbridge U-turn
Miss A Lack th
Treverton Truffle
JM Grant & PA Mcdonnell
Senior heifer born in 2021,
Blackbrook Forget Me Not
2
nd
Arlebrook Valentina Mrs J Mycock
3
rd
Treverton Vogue Ms RE Heard
4
th
Newton Forget Me Not Mr D Walker
1
Mr & Mrs JW & PA Stanley st
8 entered/4 forward
Junior heifer born in 2022, 5 entered/ 3 forward
st
2
nd
1
Longbridge Wendy
JM Grant & PA McDonnell
3
Bollin Wylma rd
Mr D Walker
Newton Good Girl Gone Bad
Breed Champion
Male Champion
Mrs J Mycock
Longbridge Whistler
Longbridge Whistler
Reserve Breed Champion Blackbrook Forget Me Not
Reserve Male Champion Briar Mead Versace
Reserve Female Champion Blackbrook Bluebell
Female Champion
Blackbrook Forget Me Not
Best Junior bull
Best Junior heifer
Longbridge Wendy
Longbridge Whistler
Junior Native Beef Champion Longbridge Whistler
Native Beef Res Champion Longbridge Whistler
Shropshire County Show
Judge: Mr George Woollatt
27 May 2023
2
Seifton William (not reg) Mr & Mrs A&J Mear nd
Bull any age 1 st
Seifton Winston (not reg) Mr & Mrs A&J Mear
Cow
1
Nobut Unique
Mr & Mrs A&J Mear st
Senior heifer born in 2021
1
Arlebrook Valentina
Mrs J Mycock st
Junior heifer born in 2022
1
Bollin Wylma
Mrs J Mycock st
Pairs
1
st
Sycamore Pair (Valentina & Wylma)
Mrs J Mycock
2
nd
Seifton Pair (Unique & Winston)
Mr & Mrs A&J Mear
Breed Champion
Arlebrook Valentina
Northumberland County Show 27 May 2023
Judge: Mr Bernard Llewellyn MBE
Junior Bull, 1 entered/1 forward
1
st
Longbridge Whistler
JM Grant & T McDonnell
Cow, 5 entered/4 forward
st
2
Fishwick Tamarisk
1
Longbridge U-Turn
Ms A Lack nd
3
Treverton Truffle
JM Grant & T McDonnell rd
4
th
Harold Siren
J Close & Sons Ltd
Mr H Hodgson
Senior heifer,
3 entered, 2 forward st
2
nd
Newton Forget Me Not Mr D Walker
1
Longbridge Velvet
JM Grant & T McDonnell
Junior heifer, 6 entered, 3 forward st
2
Harford Whoopi
Ms A Lack
1
Longbridge Wendy
JM Grant & T McDonnell nd
3
rd
Newton Good Girl Gone Bad
Mr D Walker
Breed Champion
Longbridge U-Turn
Reserve Breed Champion Longbridge Wendy
Best Junior Bull
Longbridge Whistler
Best Junior Heifer
Longbridge Wendy
Royal Bath & West Show 1 June 2023
Judge: Mr Graham Towers
Senior Bull, no entries
Junior Bull
Cow
1
st
Berrydown Unice
Mr & Mrs M Horne
Senior heifer born in 2021
1
st
Berrydown Victoria
Mr & Mrs M Horne
Junior heifer born in 2022
Group of Three
1
st
Carreg group
Mr & Mrs B&M Llewellyn
Pairs st
Breed Champion
Carreg Warrior
Reserve Interbreed Junior Native Beef bull
Carreg Warrior
Royal Three Counties Show 16 June 2023 Judge: Graham Walker
Senior bull,
2 entries, 0 forward
Junior bull,5 entries, 4 forward
Cow, 8 entries, 5 forward
st
2
nd
1
Blackbrook Bluebell
Mr & Mrs JW & PA Stanley
3
rd
Etheridge Quartz Beauty
4
th
Gorse Yester
5
Dinedor Una
Mr E Greenow
Mr D Phillips
Mr M Horne
Mr E Greenow th
Berrydown Unice
Senior heifer,
1
st
Blackbrook Forget Me NotMr & Mrs JW & PA Stanley
2
nd
Treverton Vogue
Ms RE Heard
3
rd
Berrydown Victoria Mr M Horne
4
th
Arlebrook Valentina Mrs J Mycock
5 entries, 4 forward
Junior heifer, 11 entries, 10 forward st
2
Blackbrook Galatea
Mr & Mrs JW & PA Stanley
4
nd
1
Carreg Wishful
Mr & Mrs B&M Llewellyn
3
5
7
rd th
Blackbrook Grace th
Carreg Waverlea th
th
6
8
th
Gupworthy Wilma
Bollin Wylma
Mr & Mrs JW & PA Stanley
Mr & Mrs G&J Woollatt
Mr & Mrs B&M Llewellyn
Mr M Horne
Mr D Phillips th
Berrydown Wren
Etheridge Winterrose
10
Mr E Greenow
Dinedor Wisteria th
Mrs J Mycock
9
Mr D Phillips
Etheridge Win Dow
Pairs, 5 entries, 3 forward 1 st Mr & Mrs B&M Llewellyn
nd
3
Mr & Mrs G&J Woollatt rd
2
Mr D Phillips
Breed Champion Blackbrook Forget Me Not
National Rare & Minority Breeds Show Sunday 18 June 2023 Judge: Brian Wragg
Senior bull, 2 entered, 0 forward
Junior bull, 5 entered, 3 forward
1
st
Gupworthy Wiseman Mr & Mrs G&J Woollatt
2
nd
Etheridge Winston Mr D Phillips
3
rd
Carreg Warrior
Mr & Mrs B&M Llewellyn
Cow, st
6 entered, 2 forward
2
nd
Etheridge Quartz Beauty
Mr D Phillips
1
Blackbrook Bluebell
Mr & Mrs JW & PA Stanley
Senior heifer, 4 entered, 2 forward
st
2
Arlebrook Valentina
Mrs J Mycock nd
1
Treverton Vogue
Ms RE Heard
Junior heifer, 9 entered, 7 forward
Pairs, 5 entered, 3 forward st
1 Carreg pair
Mr & Mrs B&M Llewellyn
2
nd
Etheridge pair
Mr D Phillips
3
rd
Arlebrook/Bollin pair Mrs J Mycock
Breed Champion
Treverton Vogue
Best junior bull
Gupworthy Wiseman
Reserve Breed Champion Blackbrook Bluebell
Best junior heifer
Blackbrook Grace
Reserve interbreed champion
Treverton Vogue
Royal Cheshire County Show
Judge: Peter Guest
20 June 2023
Senior bull,
0 entered
Junior bull
,0 entered
Cow,
1
Gentons Una
Mr R Pilkington st
1 entry, 1 forward
Senior heifer, 3 entries, 2 forward st
2
Arlebrook Valentina
Mrs J Mycock nd
1
Gentons Valentine
Mr R Pilkington
Junior heifer, 1 entry, 1 forward
1
Bollin Wylma st
Pairs, st
2 entries, 2 forward
2
Mrs J Mycock nd
1
Mr R Pilkington
Breed Champion
Best junior heifer
Reserve Breed Champion Arlebrook Valentina
Rare Breed Day
2
Gentons Una nd
Cow,
3 forward
Senior heifer, 6 forward
nd
5
2
Arlebrook Valentina th
Gentons Valentine
Junior Heifer,
2
nd
4 forward
Bollin Wylma
Mrs J Mycock
Gentons Valentine
Bollin Wylma
Mr R Pilkington
Mrs J Mycock
Mr R Pilkington
Mrs J Mycock
Lincolnshire County Show
Judge: Graham Towers
21 June 2023
Judge's comments: A real pleasure to judge Lincolnshire Show with classes full of quality animals.
Senior Bull
Three powerful bulls on parade with good length and locomotion, full of meat.
Junior Bull
Two superb correct young bulls with very little to choose between them, both have a great future ahead of them.
Cow of Heifer in calf or with calf at foot
Five very correct cows with calves at foot having great udders and locomotion doing a good job rearing their calves.
Senior Heifer
Five heifers forward, again having excellent locomotion and toplines with very little separating them.
Junior Heifer
Seven sweet feminine heifers forward with all the attributes I like to see in females of this age, showing great potential for the future.
Breed Champion
My Champion came from the Senior Bull class. He filled the eye when on show, congratulations to the Southfield team. The reserve champion was the Junior Bull full of breed character with a great future ahead, well done Highline Livestock. I would also like to mention the Female Champion a sweet correct heifer who caught my eye on entering the ring, well done to the Blackbrook team.
A big thank you to all the exhibitors for bringing out such good quality animals and all the 'back room' helpers -the animals forward were a credit to the breed. Graham Towers
Senior bull, 5 entered, 3 forward st
1 Southfield Uproar Mr & Mrs D&A Blockley
2
nd
Southfield Viper
Mr & Mrs D&A Blockley
3
rd
Briar Mead Versace Mrs V Hopkinson
Breed Champion
Southfield Uproar
Junior bull,4 entered, 2 forward
st
2
1
Highline Wingman
Mr & Mrs W&H Brooks nd
Longbridge Whistler
JM Grant & T McDonnell
Cow, 7 entered, 5 forward
1 st Blackbrook Bluebell Mr & Mrs JW & PA Stanley
2 nd Briar Mead Ultimate WishMrs V Hopkinson
3 rd Longbridge U-turn Miss A Lack
4 th Southfield Peach
Mr & Mrs D&A Blockley
5
th
Carreg Surprise
JM Grant & T McDonnell
Senior heifer, 8 entered, 5 forward
st
2 nd Longbridge Velvet JM Grant & T McDonnell
3 rd Southfield Voodoo Mr & Mrs D&A Blockley
4
th
Newton Forget Me Not Mr D Walker
5
th
Southfield Velvet
Mr & Mrs D&A Blockley
1
Blackbrook Forget Me Not
Mr & Mrs JW & PA Stanley
Junior heifer, 8 entered, 7 forward
1 st Blackbrook Grace 2 nd Harford Whoopi
Mr & Mrs JW & PA Stanley
Miss A Lack
3 rd Southfield Wren
Mr & Mrs D&A Blockley
4
th
Blackbrook Galatea Mr & Mrs JW & PA Stanley
5 th Newton Good Girl Gone Bad Mr D Walker
6 th Longbridge Wendy 7 th Highline Woohoo
JM Grant & T McDonnell
Mr & Mrs W&H Brooks
Pairs, 4 entered, 3 forward
1
st
Briar Mead pair
Mrs V Hopkinson
2 nd Blackbrook pair
Mr & Mrs JW & PA Stanley
3 rd Southfield pair
Mr & Mrs D&A Blockley
Native Interbreed Teams of Three
Blackbrook Galatea
Southfield Uproar, Blackbrook Forget Me Not,
Derbyshire County Show 25 June 2023
Judge: Graham Walker
1 entered, 1 forward
1 st Wheatlands Warrior Mr T Mills
Bull any age,
Cow, st
1
Herbertsherd Honey
Mr Bertie Stanley
2 entered, 1 forward
Senior heifer,
3 entered, 3 forward
2
nd
1 st Wheatlands Vandella Mr T Mills
3
rd
Mrs J Mycock
Arlebrook Valentina
Melbourne Park Juliet Mr Ben Stanley
Junior heifer, st
2 entered, 2 forward
2
nd
Bollin Wylma
Mrs J Mycock
1
Wheatlands Wendy
Mr T Mills
Breed champion
Reserve breed champion Wheatlands Wendy
Junior champion
Wheatlands Wendy
Best Junior heifer
Wheatlands Wendy
Best junior bull
Wheatlands Warrior
Herbertsherd Honey
Royal Lancashire County Show
Judge: Brian Wragg
22 July 2023
2 entered/2 forward
1 st Longbridge Whistler 2 nd Willowtree Wrecker
J Grant & T McDonnell
Miss A Lack
Bull any age,
Cow, in milk or in calf, 6 entered/ 6 forward
1 st Lonbridge U-turn
Miss A Lack
2 nd Gale Farm Uist
Mr S Horrocks
3 rd Gale Farm Tonga Mr S Horrocks
4 th Gale Farm Rona Mr S Horrocks
5 th Gale Farm Ullinish Mr S Horrocks
6
th
Gale Farm Ulsta
Mr & Mrs M&C Noble
Senior Heifer, 8 entered/8 forward
st
2
J Grant & T McDonnell
Longbridge Velvet nd
1
Newton Forget Me Not Mr D Walker
3 rd Fullwood Verity
Mr P & Miss C Wild
5 th Fullwood Violet
4 th Fullwood Venus
6 th Fullwood Verona
Mr P & Miss C Wild
Mr P & Miss C Wild
7 th Gale Farm Vaila
Mr S Horrocks
8 th Bankwood Voodoo
Mr & Mrs M&C Noble
Mr S Horrocks
Junior heifer born between 01.01.22 & 30.04.22
1
st
Longbridge Wendy J Grant & T McDonnell
2 nd Newton Good Girl Gone Bad Mr D Walker
3 rd Fullwood Wren
Mr P & Miss C Wild
4 th Fullwood Wilma
Mr P & Miss C Wild
5 th Gale Farm Wee HeiskerMr S Horrocks
6
th
Bankwood Winnie The CowMr & Mrs M&C Noble
6 entered/6 forward
Junior Heifer born after 01.05.22 3 entered/3 forward 1 st Gale Farm Wee Kimba Mr S Horrocks
nd
3
Gale Farm Wee Jessica Olivia
Mr S Horrocks rd
J Grant & T McDonnell
2
Longbridge Windsor Rose
Pairs 5 entered/5 forward
2 nd Mr S Horrocks
1 st Mr P & Miss C Wild
3 rd Mr S Horrocks
5 th Mr D Walker
4 th Ms J Grant & Ms T McDonnell
Breed Champion
Newton Forget Me Not
Reserve Native Interbreed Champion Newton Forget Me Not
Royal Welsh Show
Judge: Dan Bull
24 July 2023
3 forward st
Bull any age,
2
nd
1
Gupworthy Wiseman
Mr & Mrs G&J Woollatt
3
rd
Carreg Warrior
Carreg Warlord
Cow, in milk or in calf
Mr & Mrs B&M Llewellyn
Mr & Mrs B&M Llewellyn
1 forward
1
st
Carreg Rhonda
Senior Heifer,
1 forward
1
Carreg Victoria st
Junior Heifer , st
Mr & Mrs B&M Llewellyn
Mr & Mrs B&M Llewellyn
3 forward
2
nd
1
Carreg Wishful
3
Carreg Wisteria rd
Gupworthy Wilma
Breed Champion
Male Champion
Mr & Mrs B&M Llewellyn
Mr & Mrs B&M Llewellyn
Mr & Mrs G&J Woollatt
Carreg Victoria
Reserve Breed Champion Gupworthy Wiseman
Female Champion
Carreg Victoria
Gupworthy Wiseman
Best Junior Bull
Best Junior Heifer
Carreg Wishful
Gupworthy Wiseman
Reserve Interbreed Cattle Young Handlers Rhiannon Davies & William Edwards
Heckington Show
Judge: George Young
30 July 2023
1
Briar Mead Versace
Mrs V Hopkinson st
Bull any age,
1 entered/ 1 forward
Cow, in milk or in calf, 1 entered/ 1 forward
1
Briar Mead Ultimate Wish st
Senior Heifer,
1
Mrs V Hopkinson
1 entered/ 1 forward
Treverton Vogue st
Junior Heifer,
1
Ms RE Heard
3 entered/ 1 forward
Treverton Wisteria
Ms RE Heard st
Pairs,
1
st
Mrs V Hopkinson
2 nd Ms RE Heard
3 entered/ 2 forward
Breed Champion
Briar Mead Ultimate Wish
Male Champion
Reserve Breed Champion Briar Mead Versace
Female Champion
Briar Mead Versace
Best Junior Heifer
Treverton Wisteria
Interbreed Champion
Briar Mead Ultimate Wish
Briar Mead Ultimate Wish
Cartmel Show 2 August 2023
Judge: George Young
Bull any age, No entries
Cow, in milk or in calf, 3 forward
1 st Gale Farm Tonga Mr S Horrocks
2
nd
Gale Farm Rona Mr S Horrocks
3
rd
Gale Farm Ulsta
Mr & Mrs M&C Noble
Senior Heifer, 4 forward
1
st
Fullwood Venus
Mr P & Miss C Wild
2
nd
Fullwood Verity
Mr P & Miss C Wild
3 rd Newton Fandabedosie Mr & Mrs M&C Noble th
4 Bankwood Voodoo Mr & Mrs M&C Noble
Junior heifer born between 01.01.22 & 30.04.22 3 forward
3
Mr & Mrs M&C Noble
Bankwood Winnie The Cow
1
st
Fullwood Wren
Mr P & Miss C Wild
2
nd
Gale Farm Wee HeiskerMr S Horrocks
rd
Junior Heifer born after 01.05.22, 2 forward
st
2
Gale Farm Wee Kimba Mr S Horrocks nd
1
Gale Farm Wee Jessica Olivia
Breed Champion
Mr S Horrocks
Gale Farm Tonga
Best Junior Heifer
Gale Farm Jessica Olivia
Reserve Breed Champion Fullwood Venus
Garstang Show 5 August 2023
Judge: Ben Stanley
Junior Bull,
1
Longbridge Whistler
J Grant & T McDonnell st
1 entered/1 forward
Junior heifer, 5 entered/5 forward
st
2 nd Newton Good Girl Gone Bad Mr D Walker rd
1
3
Longbridge Wendy
J Grant & T McDonnell
4
th
Gale Farm Wee Heisker Mr S Horrocks
5
Mr S Horrocks
Gale Farm Wee Jessica Olivia th
Gale Farm Wee Kimba Mr S Horrocks
Senior heifer, 4 entered/3 forward
1
st
Longbridge Velvet J Grant & T McDonnell
2
nd
Fullwood Verona Mr S Horrocks
3 rd Newton Forget Me Not Mr D Walker
Cow, 5 entered/3 forward
1 Treverton Promise J Grant & T McDonnell
2
nd
Gale Farm Tonga Mr S Horrocks
3
rd
Gale Farm Rona Mr S Horrocks
st
Breed Champion
Longbridge Velvet
Best Junior Bull
Longbridge Wendy
Reserve Champion
Best Junior Heifer
Longbridge Wendy
Longbridge Whistler
Joint Interbreed Reserve Champion Longbridge Velvet
(tied on points with British Blue)
Joint Interbreed Exhibitor Bred Champion
Longbridge Velvet
Halifax Show 12 August 2023
Judge: Giles Green
Junior Bull, 2 forward st
2
Wilowtree Wrecker nd
1
Longbridge Whistler
J Grant & T McDonnell
Cow, 1 forward
1
Treverton Promise st
Senior heifer, 3 forward st
3
rd
1
Longbridge Velvet
2 nd Fullwood Verity
Ms A Lack
J Grant & T McDonnell
J Grant & T McDonnell
Mr P Wild & Ms C Wild
Newton Forget Me Not Mr D Walker
Junior heifer, 3 forward
2 nd Longbridge Wendy J Grant & T McDonnell
3
rd
Fullwood Wren
Mr P Wild & Ms C Wild
1 st Newton Good Girl Gone Bad Mr D Walker
Breed Champion
Reserve Champion Newton Good Girl Gone Bad Best Junior Bull Longbridge Whistler
Best Junior Heifer Newton Good Girl Gone Bad
Treverton Promise
Gillingham & Shaftesbury Show 16 August 2023 Judge: Ben Bellew
Bull any age, 3 forward
1 st Warns Romeo
Mr N Glover
2
nd
Gupworthy Wiseman Mr & Mrs G&J Woollatt
3
rd
Etheridge Winston Mr D Phillips
Cow, in milk or in calf, 2 forward
st
2
1
Etheridge Quartz Beauty Mr D Phillips nd
Warns Olive
Mr N Glover
Senior Heifer, 0 forward
Junior Heifer, 4 forward
1 st Etheridge Win Dow Mr D Phillips
2
nd
Etheridge Winterrose Mr D Phillips
3
rd
Maudlin Wakami Mr N Glover
4 th Maudlin Whisper
Mr N Glover
Pairs, 2 forward st
2 nd Mr D Phillips
1
Mr N Glover
Breed Champion
r
t
i
i
s
Etheridge Quartz Beauty
B
Pembrokeshire County Show 16 August 2023 Judge: Peter Guest
Bull born on or after 01.01.22,1 entry/ 1 forward
1 st Carreg Warrior
Mr & Mrs B&M Llewellyn
Cow, in milk or in calf,2 entries/ 2 forward
1
st
Carreg Rhonda
Mr & Mrs B&M Llewellyn
2
nd
Rhyfel Uhu
Mr TA Williams
Senior Heifer,3 entries/ 2 forward
1
st
Rhyfel VIP
Mr TA Williams
2
nd
Rhyfel Vimto
Mr TA Williams
Junior Heifer born 01.01.22 – 31.08.22 3 entries/ 3 forward
1
st
Rhyfel Wilma
Mr TA Williams
2
nd
Carreg Wisteria
Mr & Mrs B&M Llewellyn
3
rd
Carreg Wishful
Mr & Mrs B&M Llewellyn
Junior Heifer born after 01.09.22
1 entry/ 1 forward
1 Carreg Xena
Mr & Mrs B&M Llewellyn
Pair of heifers2 entries /2 forward
1
st
Carreg pair
Mr & Mrs B&M Llewellyn
2
nd
Rhyfel pair
Mr TA Williams
Group of three,2 entries/ 2 forward
1
st
Rhyfel group
Mr TA Williams
2
nd
Carreg group
Mr & Mrs B&M Llewellyn
Breed Champion
Carreg Warrior
Reserve Breed Champion Carreg Rhonda
Best Junior Bull
Carreg Warrior
Best Junior Heifer
Rhyfel Wilma
Ashbourne Show
19 August 2023
Judge: Peter Close
Bull any age,1 forward
1
st
Wheatlands Warrior Mr T Mills
Cow, in milk or in calf,0 forward
Senior Heifer,1 forward
1
st
Wheatlands Vandella Mr T Mills
Junior Heifer, 3 forward
1
st
Melbourne Park KatherineMr & Mrs B&T Stanley
2
nd
Mr & Mrs B&T Stanley
3
rd W
heatlands Wendy Mr T Mills
Breed Champion Melbourne Park Katherine
1
st
Hope Show
Judge: Ben Bellew
28 August 2023
Bull any age forward
st
2
nd
Briar Mead Versace
Mrs V Hopkinson
1
Wheatlands Warrior
Mr T Mills
Cow or heifer, in milk or in calf, forward
st
2
nd
Wheatlands Vandella Mr T Mills
1
Briar Mead Ultimate Wish Mrs V Hopkinson
Junior Heifer, 2 forward st
2
nd
Wheatlands Xena
1
Wheatlands Wendy
Mr T Mills
Breed Champion
Mr T Mills
Briar Mead Ultimate Wish
Best Junior Heifer
Wheatlands Wendy
Reserve Breed Champion Wheatlands Warrior
Interbreed Supreme Champion
Briar Mead Ultimate Wish
Dorset County Show
Judge: Ben Stanley
3 September 2023
3 forward
Bull any age,
2
nd
Warns Romeo
Mr N Glover
3
rd
Stoke Valiant
Etheridge Winston
Cow, in milk or in calf, st
2
Warns Olive
Natural England
Mr D Phillips
2 forward
Mr N Glover
1
Etheridge Quartz Beauty Mr D Phillips nd
Senior Heifer,
0 forward
Junior Heifer,4 forward
st
2
nd
1
Maudlin Wakami
3
rd
Etheridge Winterrose Mr D Phillips
4
th
Maudlin Whisper
Mr N Glover
Mr D Phillips
Etheridge Quartz Beauty
Etheridge Win Dow
Mr N Glover
Pairs, st
2 forward
2
nd
Mr N Glover
1
Mr D Phillips
Breed Champion
Best Junior Heifer
Reserve Breed Champion Warns Romeo
Best Junior Bull
Etheridge Winston
Maudlin Wakami
Moreton in Marsh Show
Judge: Clive Roads
2 September 2023
Bull any age, 0 forward
Cow, in milk or in calf,0 forward
Senior Heifer,
1 forward
1 st Blackbrook Forget Me Not Mr & Mrs JW & PA Stanley
Junior Heifer,
1 forward
1
st
Blackbrook Grace
Mr & Mrs JW & PA Stanley
Breed Champion Blackbrook Forget-Me-Not
Best Junior Heifer
Reserve Breed Champion Blackbrook Grace
Blackbrook Grace
Interbreed Reserve Champion
Blackbrook Forget-Me-Not
Westmorland Show 13 September 2023 Judge: Brian Wragg
Bull any age, 1 forward 1 st Burton Meadow Worzel Mr & Mrs A&E Carr
Cow, in milk or in calf, 3 forward
st
2
Gale Farm Rona
Mr S Horrocks
1
Gale Farm Tonga
Mr S Horrocks nd
3
rd
Wellhead Kir Royale
Senior Heifer, 4 forward
st
2
Blackbrook Fig
Mr & Mrs A&E Carr
1
Fullwood Verona nd
3
rd
Fishwick Viola
Mr S Horrocks
Mr S Horrocks
Mr & Mrs A&E Carr
Junior heifer ,, 3 forward
st
2
Gale Farm Wee Kimba
Mr S Horrocks
1
Gale Farm Wee Jessica Olivia nd
3
Mr S Horrocks rd
Gale Farm Wee Heisker
Mr S Horrocks
Pairs
1 Gale Farm Rona/Wellhead Kir Royale
Mr S Horrocks
2
nd
Gale Farm Tonga/Wee Kimba
Mr S Horrocks
st
Breed Champion
Burton Meadow Worzel
Best Junior Heifer
Reserve Breed Champion Fullwood Verona
Best Junior Bull
Burton Meadow Worzel
Gale Farm Jessica Olivia
Stokesley Show 24 September 2023 Judge: Peter Close
Senior bull, 1 entered/1 forward 1 st Briar Mead Versace Mrs V Hopkinson
Junior bull, 2 entered/2 forward
st
2
1
Longbridge Whistler
J Grant & T McDonnell nd
Willowtree Wrecker
Miss A Lack
Cow, in milk or in calf, 1 entered/1 forward 1 st Briar Mead Ultimate Wish Mrs V Hopkinson
Senior Heifer, 4 entered/ 2 forward 1 st Longbridge Velvet J Grant & T McDonnell 2 nd Newton Forget Me Not Mr D Walker
Junior Heifer, 2 entered/2 forward 1 st Longbridge Wendy J Grant & T McDonnell 2 nd Newton Good Girl Gone Bad Mr D Walker
Breed Champion
Longbridge Velvet
Best junior heifer
Reserve Champion
Best junior bull
Briar Mead Ultimate Wish Longbridge Wendy Longbridge Whistler
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CM2000
Side access bathing lift with 181 kg capacity
THE CM2000 BATHTUB HOIST OFFERS MORE SPACE AND COMFORT FOR RESIDENT UP TO 181 KG (400 POUNDS)
Made in Canada by ComfortMedic, the CM2000 bathtub hoist is made of stainless steel and aluminum for easy disinfection and maximum durability. The seat and backrest are molded in a closed-cell resin, resistant, easy to disinfect and soft to the skin. They can be easily removed for cleaning or replacement.
A ROBUST AND COMFORTABLE LIFT
The CM2000 bathing lift is made for side access to the tub and is designed to offer more space and comfort. With its optimal frame conception and increased clearance between the column and the backrest, the CM2000 offers maximum compatibility with all types of height adjustable tubs on the Canadia market. It has an ultra-robust structure, resistant and reliable over time. It is equipped with a manual emergency lowering system, a multifonction remote control with battery level display, 2 removable and rechargeable batteries, a wall charging unit and 1 safety belt. Several options are also available, such a built-in digital scale, a bed pan with lid and removable support under the seat, and an electric central brake system. The CM2000 bathing lift meets the highest requirements of modern healthcare facilities. Whatever your project, do not hesitate to contact us and it will be our pleasure to propose a solution adapted to your needs.
BENEFITS OF THE CM2000 LIFT
- Chair made of stainless steel and aluminum
- Ultra robust structure and mechanism
- Base covered with resistant and easy to clean plastic
- Swivel and removable armrests
- Durable silicone-covered handles and armrests, easy to disinfect
- Easy to maneuver with sealed double castors
- Closed-cell injected resin seat and backrest for soft, comfortable and easy-to-disinfect surfaces
- Two wheels with directional lock
- Two wheels with total lock
- Lifting stroke: 444 mm to 1 054 mm (17.5 in - 41.5 in)
- Maximum capacity: 181 kg (400 pounds)
- 24 V soft and very quiet electric actuator
- Multifunction remote control
- Safety belt at hip position
- Preventive maintenance warning light
- Easy to repair thanks to the standard components
- 100% designed and manufactured in Quebec
OPTIONAL FEATURES AVAILABLE
ELECTRICAL BRAKE SYSTEM
The electric brake system allows the attendant to easily lock the 2 rear wheels of the chair using the remote control. The chair is quickly secured for transfers, without any foot action of the caregiver. In addition, the wheels can be manually locked or unlocked if required.
STAINLESS STEEL BED PAN WITH LID
Particularly necessary when moving out of the bathroom, the stainless steel bed pan offered by ComfortMedic slides easily under the seat thanks to the supplied removable support. A bed pan lid allows the caregivers to move it safely for cleaning.
DIGITAL SCALE
In order to avoid additional transfers of the residents and to increase the efficiency of the caregivers, it is possible to add a scale with digital display of the resident's weight. The scale can be configured in kg or in pounds.
WIDER FRAME BASE
To ensure the compatibility of the CM2000 chair with some older bath models (tubs with long legs) or for some very specific uses, it is possible to opt for a wider base structure.
BENEFITS OF THE CM1000 CHAIR
BENEFITS FOR CAREGIVERS
- Very robust and easy to move chair
- Smooth and quiet operation
- Remote control with battery level display
- Removable battery and external charging station
- Several options to optimize working conditions
BENEFITS FOR MANAGERS
- Lift mainly made of stainless steel and aluminum
- Parts and components available directly in Canada
- Low acquisition cost and high performance
- Affordable spare parts and low cost maintenance
BENEFITS FOR RESIDENTS
- Seat and backrest comfortable and easy to disinfect
- 2 positions safety belt
- Easy transfer from the side of the chair
BENEFITS FOR TECHNICAL SERVICES
- Structure and mechanism of great robustness
- Remote control with fault display
- Easily available spare parts
- Designed for an institutional environment
- Free technical support by phone at ComfortMedic
Linak control box with removable batteries.
Digital scale with patient weight display.
Multifunction remote control included.
## TECHNICAL DATA
| Feature | Specification |
|----------------------------------------------|--------------------------------------|
| Dimensions (Length x Width x Height) | 1089 x 636 x 1379 mm |
| Lifting stroke | 444 - 1054 mm |
| Maximum patient weight | 180 kg / 400 lbs |
| Seat and backrest | Polyurethane injected |
| 2 front wheels with directional brake | Included |
| 2 rear wheels with total brake | Included |
| Lifting Actuator | Linak 24 V |
| Removable battery and charging station | Linak 24 V |
| Remote control with battery level display | Included |
| Emergency stop and emergency descent | Included |
| Closed armrests at the front | Included |
## OPTIONS
| Option | Description |
|---------------------------------------------|-----------------------------------------------------------------------------|
| Digital patient scale (kg or pounds) | |
| Electric brake system on remote control | |
| Stainless steel bed pan with lid and removable support frame under the seat | |
| Wider frame base (only required for some older bathtub models) | |
| Removable and rechargeable battery (Lithium-Ion version also available) | |
| Wall Charging unit | |
---
1 Ambulatory, but may need some support (i.e. cane).
2 Can support himself to some degree (with walking frame).
3 Usually sits in wheelchair, but is able to bear some weight on its legs.
4 Sits in wheelchair and has almost no capacity to support himself.
5 Passive resident, almost completely bed ridden.
www.orcahealthcare.com
1-855-566-6722
1140 Neveu, Saint-Cesaire, Quebec, Canada J0L 1T0
Phone: 1 800 442-2246
Fax: 450 469-0368
[email protected]
WWW.COMFORT MEDIC .CA
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Building Spelling Skills Grade 1
Getting the books building spelling skills grade 1 now is not type of challenging means. You could not isolated going with book increase or library or borrowing from your contacts to gain access to them. This is an utterly simple means to specifically acquire lead by on-line. This online revelation building spelling skills grade 1 can be one of the options to accompany you taking into consideration having supplementary time.
It will not waste your time. recognize me, the e-book will unquestionably reveal you additional situation to read. Just invest little times to get into this on-line statement building spelling skills grade 1 as skillfully as review them wherever you are now.
Building Spelling Skills | Evan Moor Building Spelling Skills Grade 1 Week 1 (1) Curriculum Walk-through Building Spelling Skills Building Spelling Skills Grade 1 Week 1(1) Building Spelling Skills Grade 1 Week 1 (3) Building Spelling Skills Grade 1 Evan-Moor E-Books *** Building Spelling Skills \u0026 Daily Phonics *** Building Spelling Skills Grade 1 Week 1 (4) Evan Moor Building Spelling Grade 1 homeschool curriculum 2020-2021 Building Spelling Skills Grade 1 Week 1 (4) HOW I TEACH SPELLING | HOMESCHOOL SPELLING CURRICULUM | HOMESCHOOL SPELLING REVIEW 3RD-4TH GRADE How to Teach Spelling | 10 Creative and Fun Ways I Teach Spelling in Our Homeschool Spectrum Spelling Workbooks || Homeschool Curriculum Review Learn 1st Grade English Sight Words ~ You Tube ~ Spectrum Workbooks | Homeschool Curriculum | Writing Grade 1 Preview Teach Spellings To Your Child | Grade 1 | Learn To Spell Spelling Comparison \u0026 Review. what's our fave? | Spelling Workout, BJU Spelling, Spelling You SEE 2nd Grade Spelling Unit 1 Lesson 1 HOW TO TEACH SPELLING TO CHILDREN | ALL ABOUT SPELLING REVIEW | DOES IT WORK \u0026 MY THOUGHTS! Spectrum vs. Evan Moor Spelling {Review} Guess What the word based on the Spelling (Grade 1) Building Spelling Skills Grade 1 Week 1 (2) Building Spelling Skills Grade 1 Week 7 (1) Building Spelling Skills Grade 1 week 24 Building Spelling Skills Week 15 (visual memory/find the mistakes)
MOOR BUILDING SPELLING SKILLS
Building Spelling Skills Grade 1 Week 30 3 Different Spelling Curriculum ComparisonsHOW WE WILL DO SPELLING 2020-21 // EVAN
In Building Spelling Skills Daily Practice, Grade 1, students will learn five spelling words per week in lists 1-14; then eight words per week in
Building Spelling Skills Grade 3 Week 1 Building Spelling Skills Grade 1
lists 15-30 (198 total). One or two sentences for dictation are provided for each list.
Building Spelling Skills Grade 1: Amazon.co.uk: Evan-Moor ...
In Building Spelling Skills Daily Practice, Grade 1, students will learn five spelling words per week in lists 1–14; then eight words per week in lists 15–30 (198 total). One or two sentences for dictation are provided for each list. Spelling lists include the following: short and long vowel words
Building Spelling Skills, Grade 1 - Teacher's Edition, Print
In Building Spelling Skills Daily Practice, Grade 1, students will learn five spelling words per week in lists 1-14; then eight words per week in lists 15-30 (198 total). One or two sentences for dictation are provided for each list.
Building Spelling Skills Grade 1 : Evan-Moor Educational ...
Building Spelling Skills, Grade 1 - Student Workbook. Give your students their own Building Spelling Skills practice book, ideal for daily classwork or homework. The student book corresponds to the teacher's edition, and includes spelling lists and practice pages. (No answer key.)
Building Spelling Skills, Grade 1 - Student Workbook
Product Description: Grade 1 focuses on words with short and long vowels, blends, digraphs, contractions, and variant vowels. The word lists also include plural nouns and past-tense verbs. The reproducible grade level Teacher Book includes an answer key. Category Description for Building Spelling Skills (Evan-Moor):
Building Spelling Skills Grade 1 | Evan-Moor | 9781557998392
Aug 31, 2020 building spelling skills grade 1 Posted By Debbie MacomberPublishing TEXT ID 4325f7f5 Online PDF Ebook Epub Library Building Spelling Skills Week 1 Page 23 building spelling skills grade 4 week 10 duration 356 melanie sasaki 236 views 356 building spelling skills grade 5 week 14 duration 624 melanie sasaki 13 views 624 building
10+ Building Spelling Skills Grade 1 [PDF]
In Building Spelling Skills, Grade 1, students will learn five spelling words per week in lists 1-14; then eight words per week in lists 15-30 (198 total). One or two sentences for dictation are provided for each list. Spelling lists include the following: * short and long vowel words * adding s and es * words with sh, nt, nd * sounds of ow, ar, aw, oa * present and past tense words The practice pages include the following: * the spelling list with spaces to read, write, and spell each word ...
Building Spelling Skills: Grade 1 | Wurst Doug. | download
Aug 29, 2020 building spelling skills grade 1 Posted By EL JamesMedia TEXT ID 4325f7f5 Online PDF Ebook Epub Library First Grade Language Arts Skills Spelling 1st grade skill builders language arts activities advertisement spelling ccss l12 links verified on 11 18 19 1 abc and 123 magnets click image to enlarge this game allows the children to create words on the
building spelling skills grade 1 - tolodom.mosaici.org.uk
Springfield Public Schools
Springfield Public Schools
This answer key accompanies Christian Liberty Press' sold-separately Building Spelling Skills Book 1, 2nd Edition. Answers are arranged by unit and lesson, with page numbers for each unit given. Test word bank is included in the back. Stapled binding. Grade 1.
Building Spelling Skills Homeschool Curriculum ...
Sep 01, 2020 building spelling skills grade 1 Posted By Ian FlemingPublic Library TEXT ID 4325f7f5 Online PDF Ebook Epub Library First Grade Language Arts Skills Spelling 1st grade skill builders language arts activities advertisement spelling ccss l12 links verified on 11 18 19 1 abc and 123 magnets click image to enlarge this game allows the children to create words on the
Page 1/2
Copyright : jobs.newsok.com
building spelling skills grade 1
First graders will have fun while they learn nearly 200 spelling words in the Evan-Moor Building Spelling Skills, Grade 1 Teacher's Edition. Our 160-page teaching resource workbook includes multiple activities aimed at helping gr. 1 students learn how to spell words on the weekly spelling list.
Amazon.com: Building Spelling Skills: Grade 1 ...
Displaying top 8 worksheets found for - Building Spelling Skills Week 10. Some of the worksheets for this concept are Em 6th grade spelling, Building spelling skills grade 5 pdf, Building spelling skills grade 2 pdf, , Grade 3 readingkey vocabulary building activity work, Ab3 sp pe tpcpy 193636, Vocabulary builder grade 4, Building spelling skills daily practice grade 5 2709e 1.
Building Spelling Skills Week 10 Worksheets - Learny Kids
Copy and Spell. This video is unavailable. Watch Queue Queue
Building Spelling Skills Grade 1 Week 1 (1)
Building Spelling Skills provides spelling and phonics practice through copying the new words, visual memory exercises, puzzles, and sentence completion activities. Students will learn vocabulary definitions as well as phonics skills such as short and long vowels, adding s and es, words with sh, nt,, nd, ow, ar, aw, oa, and more.
Building Spelling Skills, Grade 1, Teacher's Edition ...
©2002 by Evan-Moor Corp. 26 Building Spelling Skills, Grade 3 • EMC 2707 Building Spelling Skills Name: 1. An octopus uses its tentacles to catch its . 2. It a long time to my dog to give him a bath. 3.
Building Spelling Skills - MRS. CYR'S GRADE 3 CLASS
The spelling words are very appropriate for first grade. (There's also editions for the other grades.) For example the first spelling unit is the words: a, an, and, am, and at. My class is doing very well with this program, and it's easy for me, too.
Building Spelling Skills, Grade 1: Amazon.ca: Evan-Moor ...
Building Spelling Skills, Grade 1 Individual Student Practice Book: Amazon.co.uk: Author: Books
Contains 30 spelling units with lists from commonly used, commonly misspelled English words and words with common phonetic or structural elements, sentences for dictation, and student practice pages for each unit.
Contains 30 spelling units with lists from commonly used, commonly misspelled English words and words with common phonetic or structural elements, sentences for dictation, and student practice pages for each unit.
Spelling helps including: 30 spelling units, strategies and teaching ideas.
Provide students with frequent, focused skills practice with this Reproducible Teacher's Edition. The reproducible format and additional teacher resources provide everything needed to help students master and retain basic skills. In Building Spelling Skills Daily Practice, Grade 6+, students will learn 18 spelling words per week (540 total). Three sentences for dictation are provided for each list.
The spelling concepts presented in this workbook instruct children how to spell words with short and long vowel sounds, double consonants, special blends, digraphs oo and or, diphthongs, word endings, prefixes, suffixes, and compound words.
In Building Spelling Skills Daily Practice, Grade 1, students will learn five spelling words per week in lists 1-14; then eight words per week in lists 15-30 (198 total). One or two sentences for dictation are provided for each list. This title includes spelling lists, practice pages, and reproducible forms.
Build essential skills while having fun with Home Workbooks! Now updated with fun, colorful pages and engaging art, each book measures 7" x 9.25" and is filled with 64 pages of age-appropriate activities, puzzles, and games. These teacher-approved books are perfect for home, school, summer breaks, and road trips! Skills covered include secret codes, word searches, word scrambles, crossword puzzles, and more! An incentive chart and 140 full-color stickers are also included to help parents or teachers track student progress. Home Workbooks are available for prekindergarten through grade 3 students, and feature titles in a wide variety of skill areas to suit any need.
Building Spelling Skills presents students with strategies and practice for up to 540 grade-level spelling words. Word lists are selected from the 600 most commonly used words in the English language, as well as commonly misspelled words and words with common elements. The set contains 5 Student Books.
Contains 30 spelling units with lists from commonly used, commonly misspelled English words and words with common phonetic or structural elements, sentences for dictation, and student practice pages for each unit.
In Building Spelling Skills Daily Practice, Grade 3, students will learn 15 spelling words per week (450 total). Three sentences for dictation are provided for each list. This title includes spelling lists, practice pages, and reproducible forms.
Copyright code : 3b881a574da5a79cd4eae5dbb660315f
Page 2/2
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(Neb.)-State College Board Of Trustees Approves Bonding For CSC Rangeland Project
By: Chris Fankhauser Posted at: 09/09/2013 12:23 PM
(Chadron)-The Nebraska State College System Board of Trustees met in Chadron Friday and approved bonding which will finance Phase II of the Chadron State College Rangeland Complex. The bonds will be issued in late November and will be paid off by the State of Nebraska over eight years.
In late May, the Nebraska legislature forwarded the appropriation bill for funding of the project to Governor Heineman who signed the bill, paving the way for the bond action.
The Chadron State College Rangeland Phase II will be located northwest of the Coffee Agriculture Pavilion currently under construction. It will house soil labs, an animal lab and the college's herbarium.
Dale Grant, vice president of administration and finance, said the complex project started in 2002 with a program statement and he is very appreciative to everyone whose time and effort allowed the project to move forward CSC, the Nebraska State College System, the Nebraska Legislature and Governor Heineman
Funding for Phase II will be available in January 2014. Sampson Construction is the general contractor for the entire project and Bahr Vermeer Haecker is the architect.
The Coffee Agriculture Pavilion in Phase I of the complex is nearing completion. It is scheduled to open for use by late October.
A parking lot on the north side of the complex will serve students and the public while the gravel parking lot on the south side of the complex will serve vehicles with livestock trailers for shows, classes or competitions in the future.
Water and sewer utilities, which have been extended from the city lines at Cedar and 10th streets, will serve both the Rangeland Complex and three Eagle Ridge housing units east of Burkhiser. Each unit will house 24 students and they should be ready for occupancy in the fall of 2014.
—Tena L. Cook, Interim Marketing Coordinator
Copyright © 2016 KCSR, a Division of Chadrad Communications, Inc. - all rights reserved.
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