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January 16, 2007
Via Facsimile
Mr. Robert H. Herz
Chairman, Financial Accounting Standards Board
401 Merritt 7
P.O. Box 5116
Norwalk, CT 06856-5116
Dear Chairman Herz:
On behalf of Coca-Cola Enterprises Inc., I strongly urge the Financial Accounting Standards Board to delay the effective date of FIN 48 on Accounting for Uncertainty in Income Taxes to allow companies sufficient time to address the substantive, procedural, and documentation challenges posed by the new interpretation. Specifically, I recommend that the effective date of FIN 48 be deferred to fiscal years beginning after December 15, 2007.
Coca-Cola Enterprises Inc. is the world's largest marketer, distributor, and producer of bottle and can liquid nonalcoholic refreshment. The Company operates in 46 states and the District of Columbia in the United States, Western Europe and Canada.
The challenges of implementing FIN 48 were articulated by Tax Executives Institute in a letter it sent to you on December 12, 2006. We are currently faced with many of these challenges as we work diligently to complete the massive amount of analysis, documentation and measurement required to comply with the interpretation. Some examples of the practical challenges we are dealing with include the following:
- the extensive analysis required of numerous tax positions taken in foreign jurisdictions where we operate, necessitating that our US staff closely collaborate with tax experts in foreign countries who are not knowledgeable of US GAAP accounting principles or concepts,
- the need for our analysis to encompass over 10-15 years of tax history in some jurisdictions due to the fact that we have net operating loss carryovers which effectively extend the normal statutes of limitation.
These are but two examples of the practical hurdles we are encountering as we work to complete a very time consuming analysis in the compressed time frame allowed. We are also faced with the same technical issues and questions concerning the application of FIN 48 that you have heard about from other organizations.
In summary, extending the deadline for implementing FIN 48 will permit companies and their independent auditors to resolve unanswered questions and provide us with sufficient time to thoroughly analyze all relevant tax positions and establish adequate controls. This will help insure that compliance with the new interpretation is consistent, complete and adequately integrated into the control environment.
Yours truly,
H. Lynn Oliver
Vice President, Tax
Coca-Cola Enterprises Inc.
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Introduction
Toronto Municipal Elections Activities
This compilation of activities is designed as a supplementary curriculum resource for Grade 10 Civics teachers to utilize in anticipation of the Toronto municipal elections scheduled for October, 2014. The goal of the resource is to provide teachers with a variety of material to support student learning and understanding of municipal government and election processes. The activities can be utilized individually, as an augmentation to the teaching of municipal government, and/or as a part of a unit on elections, for example.
i
Subject and topic areas have been selected to cover aspects of municipal government that are important for furthering the development of students as responsible citizens. The activities offer many relevant and personal connections to the lives of students in the City of Toronto ranging from examining controversial urban issues to exploring local community needs to understanding their role in the shaping of city budgets, planning and politics.
Students are introduced to and given an opportunity to practice and apply the skills of political inquiry research, detecting and presenting points of view in written and role-playing activities, engaging in oral, written and visual presentations, as well as in argumentative, persuasive and reflective writing. Problem-based literacy and learning strategies are infused throughout the resource to help strengthen the skill-sets of diverse learners.
Overall, the focus of the resource is to excite and engage students in activities fundamental to municipal government and democratic citizenship. By inviting students to critically think about and consider civic responsibilities from personal, conceptual and diverse perspectives through a range of activities, students are able to move progressively towards a deeper understanding of citizenship and the processes through which they can effect positive change in their city.
3
4
Activity Chart
Resources
Toronto Elections. (2010). Ready, Set, Learn to Vote. Toronto: City of Toronto. Retrieved May 23, 2010 from www.toronto.ca/elections/education
Bird, C. (2010, March 18). Torontoist vs. Torontoist in…The Province of Toronto. Retrieved May 3, 2010, from Torontoist: http://torontoist. com/2010/03/torontoist_vs_torontoist_new_format. php
City of Toronto. (2010). 2010 Executive Committee Operating Budget. Toronto. Retreived May 26, 2010, from http://www.toronto.ca/budget2010/pdf/ op2010_presentation_council_april15.pdf
City of Toronto. (2010). City of Toronto Act. Retrieved May 20, 2010, from City of Toronto: http://www.toronto.ca/mayor_miller/torontoact.htm
City Of Toronto. (2007, Jan. 1). City of Toronto Act 2006 Proclaimed Ontario's Capital City Begins New Era. Retrieved May 19, 2010, from City of Toronto: http://wx.toronto.ca/inter/it/newsrel. nsf/7017df2f20edbe2885256619004e428e/ febb72eaedcdddaa85257257004fecb5?
City of Toronto. (2010). City of Toronto Budget Summary 2009. Toronto: City of Toronto. Retrieved May 05, 2010 from http://www.toronto.ca/ budget2009/pdf/bb09_full.pdf
City of Toronto. City of Toronto Bylaws. Retrieved May 25, 2010, from http://www.toronto.ca/legdocs/ bylaws/2010/law0291.pdf
City of Toronto. (2010). Demographics. Toronto, Ontario, Canada. Retreived from http://www. toronto.ca/invest-in-toronto/demographics.htm.
City of Toronto. (n.d.). Learning material: Decisionmaking. Retrieved May 23, 2010, from http://www. toronto.ca/civic-engagement/learning-material/ decision-making.htm
City of Toronto. (n.d.). Toronto's Racial Diversity. Retrieved May 06, 2010, from http://www.toronto. ca/toronto_facts/diversity.htm
City of Toronto. (n.d.). Toronto Votes 2010. Retrieved May 23, 2010, from City of Toronto: www.toronto.ca/elections/voters
Donohue, L. (2008). Independent Reading Inside the Box. Markham, On: Pembroke Publishers Limited.
Miller, D. (2005, June 05). City of Toronto. Retrieved May 1, 2010, from Addressing the City of Toronto's flawed funding structure: http://www. toronto.ca/mayor_miller/speeches/jointogether_ speech.htm
Minister of Public Works and Government Services Canada. (2009). Discover Canada. Citizenship and Immigration Canada. Retreived May 15, 2010, from http://www.cic.gc.ca/EnGLish/pdf/pub/ discover.pdf
Ministry of Education. (2006). Pupil Accommodation Review Process. Ministry of Education. Retrieved May 20, 20010, from http://www.edu.gov.on.ca/eng/policyfunding/ reviewGuide.pdf
Ontario Ministry of Education. (2005). Think Literacy: Cross-Curricular Approaches, Grades 7-12. Government of Ontario.
The Ridgetown Independent News. Administration Gives Recommendations to Trustees Concerning Area Schools. 5 May 2010. Volume 16 (#22), pp. 1 & 12.
Toronto District School Board. (n.d.). General Information about ARCs. Retrieved May 15, 2010, from Toronto District School Board: http://www. tdsb.on.ca/_site/ViewItem.asp?siteid=10267&men uid=26280&pageid=22660#General
Wilhelm, J. D., Wilhelm, P. J., & Boas, E. (2009). Inquiring Minds Learn to Read and Write. Markham, On: Rubicon Publishing Inc.
5
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Item Return
Please use this form when returning your product for a replacement or refund. Please note, you have have 14 days after the ship date to return your item for a full refund. For international customers, you have 21 days after shipment to allow extra time for transit. NO EXCEPTIONS will be made. Also, please note, we are not responsible for any lost or damaged packages. It is your responsibility to make sure everything is properly packaged. It is strongly recommended that you ship with tracking and insurance.
We also ask that you contact us first to see if we can troubleshoot the issue. In most cases we can determine the problem and get it fixed immediately or send replacement parts.
Please ship to:
Attn: Jake Jones Maxx UAV LLC 6319 Rod Court Indianapolis, IN 46237
Are you sending this for a Replacement [ ] or a Refund [ ]
__________________
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E-Mail Address
Please explain why you're returning your item:
_____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________
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Provisional Certificate of Analysis
Standard Sample 120a
Phosphate Rock
(Florida)
| Element | Percent |
|---------|---------|
| P₂O₅ | 34.4 |
| Fe₂O₃ | 1.00 |
| Al₂O₃ | .94 |
| CaO | 50.3 |
| MgO | .26 |
| F | 3.92 |
| MnO | .02 |
| Na₂O | .41 |
| K₂O | .10 |
| TiO₂ | .12 |
| CO₂ | 3.18 |
Values are based on a sample dried for two hours at 110°C. A value for silica is not included at present due to poor agreement by different methods and analysts.
(Signed) Harry C. Allen, Jr.
Acting Chief,
Analytical & Inorganic Chemistry Division
July 25, 1961
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Tell City Pool League 2021-2022 TCC2E3 TELL CITY SUPER COMBO WINTER 22
#
1
2
3
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5
** Please check your schedule, not playing at home bar this date
p. 1
12/04/2022 10:45:48 PM
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ViennaNGS: A toolbox for building efficient next-generation sequencing analysis pipelines
Michael T. Wolfinger 1 , 2 , 3 ∗ , J¨org Fallmann 1 , Florian Eggenhofer 1 , Fabian Amman 1 , 4
1
Institute for Theoretical Chemistry, University of
Vienna,W¨ahringerstraße 17, 1090 Vienna, Austria
2
Center for Integrative Bioinformatics Vienna, Max F. Perutz
Laboratories, University of Vienna, Medical University of Vienna,
Dr. Bohr-Gasse 9, A-1030 Vienna, Austria
3
Department of Biochemistry and Molecular Cell Biology, Max F.
Perutz Laboratories, University of Vienna, Dr. Bohr-Gasse 9, 1030
Vienna, Austria
4Department of Chromosome Biology, Max F. Perutz Laboratories, University of Vienna, Medical University of Vienna, Dr. Bohr-Gasse 9, A-1030 Vienna, Austria
February 12, 2015
Abstract
Recent achievements in next-generation sequencing (NGS) technologies lead to a high demand for reuseable software components to easily compile customized analysis workflows for big genomics data. We present ViennaNGS, an integrated collection of Perl modules focused on building efficient pipelines for NGS data processing. It comes with functionality for extracting and converting features from common NGS file formats, computation and evaluation of read mapping statistics, as well as normalization of RNA abundance. Moreover, ViennaNGS provides software components for identification and characterization of splice junctions from RNA-seq data, parsing and condensing sequence motif data, automated construction of Assembly and Track Hubs for the UCSC genome browser, as well as wrapper routines for a set of commonly used NGS command line tools.
∗ to whom correspondence should be addressed: michael.wolfi[email protected]
Introduction
Next-generation sequencing (NGS) technologies have influenced both our understanding of genomic landscapes as well as our attitude towards handling big biological data. Emerging functional genomics methods based on high-throughput sequencing allow investigation of highly specialized and complex scientific questions, which continuously poses challenges in the design of analysis strategies. Moreover, the demand for efficient data analysis methods has dramatically increased. While a typical NGS analysis workflow is built on a cascade of routine tasks, individual steps are often specific for a certain assay, e.g. depend on a particular sequencing protocol.
A set of NGS analysis pipelines are available for general [4, 3], and specialized assays such as de-novo motif discovery [6]. While these tools mostly cover the elementary steps of an analysis workflow, they often represent custom-tailored solutions that lack flexibility. Web-based approaches like Galaxy [5] cover a wide portfolio of available applications, however they do not offer enough room for power users who are used to the benefits of the command line.
The recently published HTSeq framework [2] as well as the biotoolbox 1 package provide library modules for processing high-throughput data. While both packages implement NGS analysis functionality in a coherent manner, we encountered use cases that were not covered by these tools.
Motivation
The motivation for this contribution emerged in the course of the research consortium "RNA regulation of the transcriptome" (Austrian Science Fund project F43), which brings together more than a dozen experimental groups with various thematic backgrounds. In the line of this project it turned out that complex tasks in NGS analysis could easily be automated, whereas linking individual steps was very labour-intensive. As such, it became apparent that there is a strong need for modular and reusable software components that can efficiently be assembled into different full-fledged NGS analysis pipelines.
We present ViennaNGS, a Perl distribution that integrates high-level routines and wrapper functions for common NGS processing tasks. ViennaNGS is not an established pipeline per se, it rather provides tools and functionality for the development of NGS pipelines. It comes with a set of utility scripts that serve as reference implementation for most library functions and can readily be applied for specific tasks or integrated as-is into custom pipelines. Moreover, we provide extensive documentation, including a dedicated tutorial that showcases core features of the software and discusses common application scenarios.
Development of the ViennaNGS suite was triggered by two driving forces. On the one hand we wanted to return to the open source community our own contribution, which itself is heavily based and dependent on open source software. On the other hand, beside "open science" we advocate for the concept of "reproducible science" [16]. Unfortunately, and to some extent surprising, bioinformatics analyses are often not fully reproducible due to inaccessibility of tools (keyword "in-house script") or software versions used. It is therefore
1 https://code.google.com/p/biotoolbox
Figure 1: Schematic overview of ViennaNGS components. Core modules can be combined in a flexible manner to address individual analysis objectives and experimental setup.
essential to ensure the entire chain of reproducibility from data generation to interpretation in the analysis of biological data.
Methods
The major design consideration for the ViennaNGS toolbox was to make available modular and reuseable code for NGS processing in a popular scripting language. We therefore implemented thematically related functionality in different Perl modules under the Bio namespace (Figure 1), partly building on BioPerl [15] and the Moose 2 object framework. Our focus is on consistent versioning, facilitated through Github hosting. In addition, ViennaNGS releases are available via the Comprehensive Perl Architecture Network (CPAN), thereby enabling users to get back to previous versions at any time in order to reenact conclusions drawn from shared biological data.
ViennaNGS has been designed to close gaps in established analysis workflows by covering a wide range of processing steps from raw data to data visualization. In the following we introduce individual ViennaNGS components and describe their main functionality.
BAM manipulation and filtering
Once mapped to a reference genome, NGS data is typically stored in the widely used SAM/BAM file format. BAM is a binary format, which can easily be converted into text-based SAM format via samtools [11] for downstream analysis. However, modern NGS assays produce hundreds of millions of reads per sample,
2 https://metacpan.org/pod/Moose
hence SAM files tend to become excessively large and can have a size of several hundred gigabytes. Given that storage resources are always limited, strategies to efficiently retrieve mapping information from BAM format are an asset. To accomodate that, we provide functionality for querying global mapping statistics and extracting specific alignment information from BAM files directly.
ViennaNGS::BamStat extracts both qualitative and quantitative information from BAM files, i.e. the amount of total alignments, aligned reads, as well as uniquely and multi mapped reads. Numbers are reported individually for single-end reads, paired-end fragments and pairs missing a mate. Quality-wise ViennaNGS::BamStat collects data on edit distance in the alignments, fraction of clipped bases, fraction of matched bases, and quality scores for entire alignments. Subsequently, ViennaNGS::BamStatSummary compares different samples in BAM format and illustrates results graphically. Summary information is made available in CSV format to facilitate downstream processing.
Efficient filtering of BAM files is among the most common tasks in NGS analysis pipelines. Building on the Bio-SamTools 3 distribution, ViennaNGS::Bam provides a set of convenience routines for rapid manipulation of BAM files, including filters for unique and multiple alignments as well as functionality for splitting BAM files by strand, thereby creating two strand-specific BAM files. Results can optionally be converted to BedGraph or BigWig formats for visualization purposes.
Genomic annotation
Proper handling of genomic intervals is essential for NGS analysis pipelines. Several feature annotation formats have gained acceptance in the scientific community, including BED, GTF, GFF, etc., each having its particular benefits and drawbacks. While annotation for a certain organism is often only available in a specific format, inter-conversion among these formats can be regarded a routine task, and a pipeline should be capable of processing as many formats as possible.
We address this issue at different levels. On the one hand, we provide ViennaNGS::AnnoC, a lightweight annotation converter for non-spliced genomic intervals, which can be regarded a simple yet powerful solution for conversion of bacterial annotation data. On the other hand we have developed an abstract representation of genomic features via generic Moose-based classes, which provide functionality for efficient manipulation of BED4, BED6, BED12 and GTF/GFF elements, respectively, and allow for BED format conversion facilitated by ViennaNGS::Bed.
ViennaNGS::MinimalFeature represents an elementary genomic interval, characterized by chromosome, start, end and strand. ViennaNGS::Feature extends ViennaNGS::MinimalFeature by two attributes, name and score, thereby creating a representation of a single BED6 element. ViennaNGS::FeatureChain pools a set of ViennaNGS::Feature objects via an array reference. All intervals of interest can be covered by a ViennaNGS::FeatureLine object, which holds a hash of references to ViennaNGS::FeatureChain objects (Figure 2).
This framework can handle annotation data by providing abstract data representations of genomic intervals such as exons, introns, splice junctions etc.
3 https://metacpan.org/release/Bio-SamTools
Figure 2: Class diagram illustrating the relations among generic Moose classes which are used as abstract representations of genomic intervals (only attributes are shown).
It allows for efficient description and manipulation of genomic features up to the level of transcripts (Figure 3). Conversely, it is highly generic and can be extended to hierachically higher levels such as genes composed of different transcript isoforms or clusters of paralogous genes.
Visualization
Another cornerstone of NGS analysis pipelines is graphical representation of mapped sequencing data. In this context a standard application is visualization of Chip-seq peaks or RNA-seq coverage profiles. The latter are typically encoded in Wiggle format, or its indexed binary variant, BigWig, which can readily be displayed within a genome browser. In the same line, genomic annotation and intervals are often made available in BigBed format, an indexed binary version of BED. ViennaNGS::Util comes with wrapper routines for automated conversion
Figure 3: Schematic representation of genomic interval classes in terms of their corresponding feature annotation. Simple invervals ("features") are charcaterized by Bio::ViennaNGS::Feature objects (bottom box). At the next level, Bio::ViennaNGS::FeatureChain bundles these, thereby maintaining individual annotation chains for e.g. UTRs, exons, introns, splice junctions, etc. (middle box). The topmost level is given by Bio::ViennaNGS::FeatureLine objects, representing individual transcripts.
from common formats like BAM to BigWig or BED to BigBed via third-party utilities [9]. In addition, we have implemented interfaces for a selection of BEDtools [13] components as well as a collection of auxiliary routines.
The UCSC genome browser allows to display potentially large genomic data sets, that are hosted at Web-accessible locations by means of Track Hubs [14]. On a more general basis this even works for custom organisms that are not supported by default through the UCSC genome browser, via Assembly Hubs. A typical use case is visualization of genomic annotation, RNA-seq coverage profiles and Chip-seq peaks for Arabidopsis thaliana (which is not available through the generic UCSC browser) via a locally hosted Assembly Hub. ViennaNGS::UCSC provides all relevant routines for automatic construction of Assembly and Track Hubs from genomic sequence and/or annotation. Besides automated Assembly and Track Hub generation, we support deployment of custom organism databases in local mirrors of the UCSC genome browser.
Gene expression and normalization
RNA-seq has become a standard approach for gene and transcript quantification by means of measuring the relative amount of RNA present in a certain sample or under a specific condition, thus ideally providing a good estimate for the relative molar concentration of RNA species. Simple "count-based" quantification models assume that the total number of reads mapping to a region can be used as a proxy for RNA abundance [12]. A good measure for transcript abundance is ideally as closely proportional to the relative molar concentration of a RNA species as possible. Various measures have been proposed, one of the most prominent being RPKM (reads per kilobase per million). It accounts for different transcript lengths and sequencing depth by normalizing by the number of reads in a specific sample, divided by 10 6 . It has, however, been shown that RPKM is not appropriate for measuring the relative molar concentration of a RNA species due to normalization by the total number of reads [10, 18].
Alternative measures that overcome this shortcoming have been suggested, e.g. TPM (transcript per million) (eq. 1). Here, rather than normalizing by the total number of mapped reads, a proxy for the total number of transcript samples considering the sequencing reads per gene rg is used for normalization (eq. 2). The variable rl is the read length and flg the feature length of a gene region g. Consequently, T can be computed by summing over the set of all genes G.
We provide routines for the computation of TPM values for genomic intervals from raw read counts within ViennaNGS::Expression.
Characterization of splice junctions
ViennaNGS::SpliceJunc addresses a more specific problem, namely characterization of splice junctions which is becoming increasingly relevant for understanding alternative splicing. This module provides code for identification and characterization of splice junctions from short read mappers. It can detect novel splice junctions in RNA-seq data and generate visualization files. While we have focused on processing the output of segemehl [8, 7], the module can easily be extended for other splice-aware split read mappers.
Documentation and Tutorial
The ViennaNGS suite comes with extensive documentation based on Perl's POD system, thereby providing a single documentation base which is available through different channels, e.g. on the command line via the perldoc utility or on the Web via CPAN. Moreover, we provide ViennaNGS::Tutorial to guide prospective users through the development of basic NGS analysis pipelines. The tutorial is split into different chapters, each covering a common use case in NGS analysis and describing a possible solution.
Utilities
The ViennaNGS suite comes with a collection of complementary executable Perl scripts for accomplishing routine tasks often required in NGS data processing. These command line utilities serve as reference implementations of the routines implemented in the library and can readily be used for atomic tasks in NGS data processing. Table 1 lists the utilities and gives a short description of their functionality.
Table 1: Overview of the complementary utilities shipped with ViennaNGS. While some of these scripts are re-implementations of functionality available elsewhere, they have been developed primarily as reference implementation of the library routines to help prospective ViennaNGS users getting started quickly with the development of custom pipelines.
| Utility | Description |
|---|---|
| assembly hub constructor.pl bam quality stat.pl bam split.pl bam to bigwig.pl bam uniq.pl bed2bedGraph.pl extend bed.pl gff2bed.pl kmer analysis.pl MEME xml motif extractor.pl newUCSCdb.pl normalize multicov.pl sj visualizer.pl splice site summary.pl track hub constructor.pl trim fastq.pl | Construct Assembly Hubs for UCSC genome browser visualization Compute mapping/quality statistics along with publication-ready figures Split BAM files by strand Produce BigWig coverage profiles from BAM files for visualization Filter uniquely and multi mapped reads from BAM files Convert BED to (strand specific) bed- Graph format Extend genomic intervals in BED format at the 5’, 3’, or both ends Convert bacterial RefSeq GFF3 annotation to BED12 format Count k-mers of predefined length in FastQ and Fasta files Compute basic statistics from MEME XML output Create a new genome database in a local UCSC genome browser instance Compute normalized expression data in TPM from read counts Convert splice junctions in segemehl BED6 splice junction format to BED12 Identify and characterize splice junctions from RNA-seq data Construct Track Hubs for UCSC genome browser visualization Trim sequence and quality fields in FastQ format |
Discussion
ViennaNGS is a comprehensive software library for rapid development of custom NGS analysis pipelines. We have successfully applied its components in the course of an ongoing, large scale collaboration project focusing on RNA regula-
8
tion. It has been used with different genomics assays in a wide range of biological systems, including human, plants and bacteria. While we have primarily applied ViennaNGS in combination with the short read aligner segemehl [8, 7], it has also been used with Tophat [17] output very recently in a large scale transcriptome study of Ebola and Marburg virus infection in human and bat cells (H¨olzer et al., unpublished data). Moreover, ViennaNGS will be used for automated UCSC genome browser integration in an upcoming version of TSSAR [1], a recently published approach for characterization of transcription start sites from dRNA-seq data.
ViennaNGS is actively developed and its functionality is constantly extended. In this line, we encourage the scientific community to contribute patches and novel features.
Data availability
Input data for the ViennaNGS tutorial is available from http://rna.tbi.univie.ac.at/ViennaNGS
Software availability
The ViennaNGS distribution is available through the Comprehensive Perl Architecture Network (CPAN) at and GitHub.
1. http://search.cpan.org/dist/Bio-ViennaNGS
2. https://github.com/mtw/Bio-ViennaNGS
3. Software license: The Perl 5 License
Author contributions
MTW, JF, FE, FA designed and implemented the software. MTW and FA wrote the manuscript. All authors approved the final manuscript.
Competing interests
No competing interests were disclosed.
Grant information
This work was funded by the Austrian Science Fund (FWF projects F43 to MTW, FA and FE) and the Research Platform "Decoding mRNA decay in inflammation" by the University of Vienna to JF.
References
[1] Fabian Amman, Michael T. Wolfinger, Ronny Lorenz, Ivo L. Hofacker, Peter F. Stadler, and Sven Findeiß. TSSAR: TSS annotation regime for dRNA-seq data. BMC Bioinformatics, 15(1), 2014.
[2] Simon Anders, Paul Theodor Pyl, and Wolfgang Huber. HTSeq – a Python framework to work with high-throughput sequencing data. Bioinformatics, 2014.
[3] Marcus R. Breese and Yunlong Liu. NGSUtils: a software suite for analyzing and manipulating next-generation sequencing datasets. Bioinformatics, 29(4):494–496, 2013.
[4] Konrad U. F¨orstner, J¨org Vogel, and Cynthia M. Sharma. READemptiona tool for the computational analysis of deep-sequencingbased transcriptome data. Bioinformatics, 30(23):3421– 3423, 2014.
[5] Jeremy Goecks, Anton Nekrutenko, James Taylor, and The Galaxy Team. Galaxy: a comprehensive approach for supporting accessible, reproducible, and transparent computational research in the life sciences. Genome Biol., 11(8):R86, 2010.
[6] Sven Heinz, Christopher Benner, Nathanael Spann, Eric Bertolino, Yin C. Lin, Peter Laslo, Jason X. Cheng, Cornelis Murre, Harinder Singh, and Christopher K. Glass. Simple Combinations of Lineage-Determining Transcription Factors Prime cis-Regulatory Elements Required for Macrophage and B Cell Identities. Mol. Cell, 38(4):576 – 589, 2010.
[7] Steve Hoffmann, Christian Otto, Gero Doose, Andrea Tanzer, David Langenberger, Sabina Christ, Manfred Kunz, Lesca M. Holdt, Daniel Teupser, J¨org Hackerm¨uller, and Peter F. Stadler. A multi-split mapping algorithm for circular RNA, splicing, trans-splicing, and fusion detection. Genome Biol., 15(2):R34, 2014.
[8] Steve Hoffmann, Christian Otto, Stefan Kurtz, Cynthia M. Sharma, Philipp Khaitovich, J¨org Vogel, Peter F. Stadler, and J¨org Hackerm¨uller. Fast mapping of short sequences with mismatches, insertions and deletions using index structures. PLoS Computational Biology, 5(9):e1000502, 2009.
[9] W. James Kent, Ann S. Zweig, G. Barber, Angie S. Hinrichs, and Donna Karolchik. BigWig and BigBed: enabling browsing of large distributed datasets. Bioinformatics, 26(17):2204– 2207, 2010.
[10] Bo Li, Victor Ruotti, Ron M. Stewart, James A. Thomson, and Colin N. Dewey. RNA-Seq gene expression estimation with read mapping uncertainty. Bioinformatics, 26(4):493–500, 2010.
[11] Heng Li, Bob Handsaker, Alec Wysoker, Tim Fennell, Jue Ruan, Nils Homer, Gabor Marth, Goncalo Abecasis, Richard Durbin, and 1000 Genome Project Data Processing Subgroup. The Sequence Alignment/Map format and SAMtools. Bioinformatics, 25(16):2078–2079, 2009.
[12] Lior Pachter. Models for transcript quantification from RNA-Seq. arXiv preprint arXiv:1104.3889, 2011.
[13] Aaron R. Quinlan and Ira M. Hall. BEDTools: a flexible suite of utilities for comparing genomic features. Bioinformatics, 26(6):841–842, 2010.
[14] Brian J. Raney, Timothy R. Dreszer, Galt P. Barber, Hiram Clawson, Pauline A. Fujita, Ting Wang, Ngan Nguyen, Benedict Paten, Ann S. Zweig, Donna Karolchik, and W. James Kent. Track data hubs enable visualization of user-defined genome-wide annotations on the UCSC Genome Browser. Bioinformatics, 30(7):1003–1005, 2014.
[15] Jason E Stajich, David Block, Kris Boulez, Steven E Brenner, Stephen A Chervitz, Chris Dagdigian, Georg Fuellen, James GR Gilbert, Ian Korf, Hilmar Lapp, and other. The Bioperl toolkit: Perl modules for the life sciences. Genome Res., 12(10):1611–1618, 2002.
[16] Victoria Stodden, Friedrich Leisch, and Roger D Peng. Implementing Reproducible Research. CRC Press, 2014.
[17] Cole Trapnell, Lior Pachter, and Steven L. Salzberg. TopHat: discovering splice junctions with RNA-Seq. Bioinformatics, 25(9):1105–1111, 2009.
[18] G¨unter P. Wagner, Koryu Kin, and Vincent J. Lynch. Measurement of mRNA abundance using RNA-seq data: RPKM measure is inconsistent among samples. Theory in Biosciences, 131(4):281–285, 2012.
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POL 1065: American Government
Point Loma Nazarene University Department of History and Political Science
Spring 2020
Course Time: Tues./Thurs. 3:00-4:45pm
Location: Liberty Station , Room 202
Instructor: Professor Amy Nantkes
Office: Colt Hall 118
Office Hours: Tues./Thurs. 10:00-11:00 am
(and by appointment)
Email: [email protected]
Mobile Phone: 949.266.4822
Course website: Canvas.pointloma.edu
PLNU MISSION: To Teach – To Shape – To Send
Point Loma Nazarene University exists to provide higher education in a vital Christian community where minds are engaged and challenged, character is modeled and formed, and service becomes an expression of faith. Being of Wesleyan heritage, we aspire to be a learning community where grace is foundational, truth is pursued, and holiness is a way of life.
COURSE DESCRIPTION
This course is designed to be an interactive introduction to American government, its historical foundations, institutions and political processes. We will examine how our political system was designed, how it has changed over time and how public opinion, the media and the "information age" have affected our government institutions and public policy. We will discuss the role and scope of government as it was conceived by the Founders and as it is viewed today. Finally, we will examine current policy issues, weigh the costs and benefits of actions and engage in thoughtful discussion of contemporary policies and actions with a view toward how those issues and actions impact the current political scene.
COURSE OBJECTIVES
Student Learning Outcomes:
§ Recognize and evaluate the basic debates and issues in American government and American political history;
§ Explain how government impacts your daily life;
§ Explain and critically assess the formal and informal political institutions and their respective roles in American politics;
§ Assess the causes and consequences of different forms of political participation and outline the ways in which individuals and groups can affect political outcomes in the United States.
§ Identify and describe the key functions of the three branches of government; and
Program Learning Outcomes:
* Students will develop an appreciation of the field of politics (short applied writing assignments).
* Develop and express ideas in written communication in an effective and scholarly manner (short writing assignments).
COURSE INSTRUCTIONAL METHODS
This course will meet two times per week and, in order to maximize your learning process, it is in your best interest that you attend every day. It is also essential that the readings be completed prior to coming to class as the lecture and discussion will usually expand on and draw from the readings. Class time activities will vary, but will often include a combination of lectures, discussion, group activities, writing, and videos.
COURSE REQUIRED TEXT AND MATERIALS
Required Resources:
* America's Founding Documents (ISBN: 9781544362441)
* Christine Barbour, AMGOV: Long Story Short CQ Press, 1st edition, 2019 (ISBN: 9781544325927)
* Articles, Podcasts, and Videos as listed in syllabus and available on Canvas
Recommended Resources for Additional Exploration:
* The AMGOV student companion website is a particularly good resource for review of course materials: http://edge.sagepub.com/amgov
GRADED ASSIGNMENTS AND COURSE REQUIREMENTS
ASSIGNMENTS
WRITING ASSIGNMENTS (5)
Students will be required to submit 5 writing assignments during the semester. Each of these five short papers should be 3-4 pages double spaced in APA format using headings and subheadings with standard one-inch margins in 12-point font. Papers should include a reference page if you refer to texts from class or other outside sources, using APA formatting to create in-text citations within the body of the paper.
All writing assignments are due on Canvas at the beginning of class; any late papers will be penalized 10% for each calendar day past the time they are due and will not be accepted after four days.
Further details about these assignments will be given in class and are available on Canvas in the POL 1065 Writing Assignments document posted in modules.
3-2-1 READING RESPONSES (14)
As a student of American Government, it is vital that you comprehend our readings and bring your critical thinking and discussion skills to each class session throughout the semester. Therefore, you will write brief 3-2-1 Reading Responses to support you in comprehension, critical thinking, and to bolster class discussion. These responses must be submitted on Canvas before class begins on the day they are due and cannot be made up. 3-2-1 Reading Responses will help you to be prepared for class and will drive our discussions. A template is available on Canvas.
GOVERNMENT IN THE NEWS TEAM PRESENTATION (1)
Another goal of this class is to familiarize students with how we can see different elements of American Government at work in our contemporary times. This activity provides you the opportunity to check your learning, understanding, and ability to apply course concepts to current events outside of our course readings.
During the semester, you will work with a team to produce one written analysis and presentation of a category of American Government studies to bring to light an American Government concept as it is currently happening in the United States. You will choose from the list on the first day of class when we review the syllabus and form teams.
Government in the News Updates are two-part:
2. A 20 minute in class presentation consisting of: 10-minutes on the content of your analysis. (No PowerPoint necessary unless if you have visuals to share with the class.) You will then engage your classmates in a 10-minute discussion (2-3 prepared questions should suffice) on the issue. You must present with your teammate(s) in order to receive points for this assignment.
1. A 2-3 page paper (APA format) that is an analysis of a current (within the last 30 days) news article. The purpose of asking you to analyze a story from the last month is that I want you to be reading quality news articles throughout this course, continuously analyzing how the course relates to current events. Your write-up should link the news story to the week's assigned topic and give a critical analysis (not just a summary) of the article, drawing on lessons from lecture, the readings, and class discussions. Please attach the article to your analysis. The article must come from one of the following approved sources: New York Times, Los Angeles Times, The San Diego Union-Tribune, The Washington Post, The Wall Street Journal, The Economist, Newsweek Magazine, or Time Magazine. *If you find an article from another credible source and wish to use it, you must clear this with Professor Nantkes first. Papers must be submitted prior to presenting in class.
CIVIC ENGAGEMENT PAPER AND PRESENTATION (FINAL EXAM)
This final exam is comprised of three parts: participation in an activity/event that is political in nature, a 4-5 page written paper, and a 5-minute in-class PowerPoint presentation on our final exam day. Please plan ahead and choose an activity earlier in the semester rather than later, to give you time to complete the project.
Further details about this assignment will be given in class and are available on Canvas in the POL 1065 Civic Engagement Paper and Presentation document posted in modules.
COURSE PARTICIPATION AND ATTENDANCE (INSTRUCTOR EVALUATED)
This assessment will include: 1. Attendance 2. Frequency of Participation in Class (discussion, answering questions, offering ideas, and engaging in class activities) 3. Respectful and Thoughtful Approach to Discussion (displaying active listening, contributing with substantive approach using evidence, carefully considering the ideas of others). Please see rubric in Canvas for more detail on criteria for participation points.
POLICIES
LATE ASSIGNMENT POLICY
All assignments are to be submitted by the due dates posted and will be considered late if submitted after midnight Pacific Standard Time on the day they are due. If an assignment is submitted late, points possible for the assignment decreases 10% each day for four days after
the due date. Any assignment or deliverable submitted more than four days late will not be accepted. Presentations, Exams, and 3-2-1 Reading Responses cannot be "made up" and must be completed on the due date.
All deliverables for the course, including assignments, projects, presentations, papers, etc., must be turned in by 11:59pm on the last day of the course. No extensions or incompletes will be given to students to complete course requirements.
If you believe you have an extenuating circumstance such as illness or family emergency, please send Professor Nantkes an email or come talk to me as soon as possible so that we may speak about your options. With abundant notice I'll be as accommodating as possible, as long as it does not compromise fairness for all.
FINAL EXAMINATION POLICY
Successful completion of this class requires taking the final examination on its scheduled day The final examination schedule is posted on the Class Schedules site. No requests for early examinations or alternative days will be approved.
.
CLASSROOM CIVILITY POLICY
Respect for the views and values of others is an essential characteristic of a thriving learning community. Although it is likely that we may not agree with everything that is said or discussed in our course, we will behave and express our viewpoints in a manner that is courteous professional. Disagreement and challenging of ideas in a respectful and profound manner is encouraged. Our emphasis will be on engaging in the mutual exploration of topics as presented in the course as scholars, using research and data to defend our assertions.
PLNU COPYRIGHT POLICY
Point Loma Nazarene University, as a non-profit educational institution, is entitled by law to use materials protected by the US Copyright Act for classroom education. Any use of those materials outside the class may violate the law.
PLNU ACADEMIC HONESTY POLICY
Students should demonstrate academic honesty by doing original work and by giving appropriate credit to the ideas of others. Academic dishonesty is the act of presenting information, ideas, and/or concepts as one's own when in reality they are the results of another person's creativity and effort. A faculty member who believes a situation involving academic dishonesty has been detected may assign a failing grade for that assignment or examination, or, depending on the seriousness of the offense, for the course. Faculty should follow and students may appeal using the procedure in the university Catalog. See Academic Policies for definitions of kinds of academic dishonesty and for further policy information.
PLNU ACADEMIC ACCOMMODATIONS POLICY
If you have a diagnosed disability, please contact PLNU's Disability Resource Center (DRC) within the first two weeks of class to demonstrate need and to register for accommodation by
phone at 619-849-2486 or by e-mail at [email protected]. See Disability Resource Center for additional information.
PLNU ATTENDANCE AND PARTICIPATION POLICY
Regular and punctual attendance at all classes is considered essential to optimum academic achievement. If the student is absent from more than 10 percent of class meetings, the faculty member can file a written report which may result in de-enrollment. If the absences exceed 20 percent, the student may be de-enrolled without notice until the university drop date or, after that date, receive the appropriate grade for their work and participation. See Academic Policies in the Undergraduate Academic Catalog.
COURSE SCHEDULE
February
Read
Government in the News
SPRING BREAK MARCH 9-13 (No class or assignments March 10 & 12)
*
This American Life,
"
Take
Media and
Political
Communication
EASTER RECESS APRIL 9-13 (No class or assignments April 9)
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Dittel Messtechnik GmbH ⋅ Postfach 101261 ⋅ D-86882 Landsberg am Lech
Marposs S.p.A. joins forces with Dittel Messtechnik GmbH
2012-08-27
Marposs S.p.A., located in Bentivoglio (Bologna/Italy), has acquired the full ownership of Dittel Messtechnik GmbH.
Marposs, established in Bologna in 1952 by Mr. Mario Possati, has a long tradition and desire to expand their market and to provide a broader level of products and services to their valued customers. Dittel products and market segments complement those of Marposs and create excellent synergies for the future.
The products range of Marposs includes: Measurement and process control solutions, gauges and compensation systems for grinders and other machine tools; manual gauges, sensors, probes and other gauge components; automatic measurement and inspection systems; hardware and software for data collection and process analysis; equipment for non-destructive testing.
Both Marposs and Dittel are leaders in the supply of innovative products for machine tools and machining process control that provide substantial improvements in part quality, productivity, and cost savings to our customers. Marposs and Dittel have unique products, solutions and business methods that are appreciated by their customers. The joining with Marposs represents a perfect opportunity to rolling out Dittel products on a broader geographic scale via Marposs' global distribution and Customer service network.
Marposs's President, Stefano Possati, commented: "Dittel offers cutting-edge solutions with large potential to be used in additional applications and by current and future Marposs customers on a global basis." Mr. Possati added: "Our goal is growing in a solid and continued way both in our traditional and new markets. After the acquisition of ARTIS in 2008, SANTec in 2011 and BRANKAMP last February, all of them leading German Companies operating in the same application sector, this new cooperation will create a powerful group of quality companies with products that are complementary to those of Marposs. This is a strategy that we will continue using in addition to our strong activity in research and development inside the Company."
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RELEASE NOTES 7.4 02/18/2022
The following enhancements were completed during this iteration:
Affected Customers Groups:
* Public Q&A Subject Matter Experts
QualityNet Public Q&A Portal Topic Routing Update
On Wednesday February 9, 2022, the Public Q&A Portal updated the topic routing for the following 2 sub-topics in the PCH program option under the Cancer Measures topic:
* PCH-36: 30-Day Unplanned Readmissions for Cancer Patients
* PCH-37: Surgical Treatment Complications for Localized Prostate Cancer
Any questions submitted through the Public Q&A Portal to these 2 sub-topics will now be routed to Public QA – DRIOYALE.
Customers using the Public Q&A Portal will see no visible changes.
____________________________
Affected Customers Groups:
* Service Center delegated administrators for the HQR, EQRS, iQIES/QIES/ASPEN & QSEP programs
Limit Assignment Groups by Program
The Service Center Leads for each program will have the ability to determine which assignment groups populate in their Assignment Group field lookup for program specific case forms resulting in an improvement of overall efficiency and performance.
* An Administration Module has been created for the Service Center Leads to be able to modify existing assignment groups for their program case form as needed.
o This module is restricted to Service Center delegated administrators for each program to add or remove assignment groups for HQR, EQRS, iQIES/QIES/ASPEN & QSEP programs.
Service Center agents may reach out to their Service Center Leads or delegated administrators if they need to add or remove groups.
For more information, view the following Knowledge Articles Titled: Limiting Assignment Groups by Program and Case Assignment Group List Administration for in CCSQ ServiceNow. Note: To view Knowledge Articles you will need to sign into your CCSQ ServiceNow account.
Affected Customers Groups:
* Service Center Agents for HQR, EQRS, iQIES/QIES/ASPEN & QSEP Programs
Limit Assignment Groups by Program
The assignment group routing for HQR, EQRS, iQIES/QIES/ASPEN, and QSEP program case forms will be streamlined to improve the efficiency of the agent to respond and process submitted cases.
The update includes the following enhancements:
o Service Center agents will see a streamlined pre-approved assignment group list specific within each of the program case forms when using the Assignment Group field lookup.
* Case Form Enhancement
* IT Service Catalog Enhancements under Assignment Group Management
o Create an Assignment Group – A new field titled 'Case Program Area' has been added to Create an Assignment Group. When creating a new assignment group for a case, complete the Case Program Area field to associate the group to a specific program or programs. This includes an 'Other' option if the specific program isn't listed.
o Edit Assignment Group Attributes – When requesting to edit a case assignment group attribute, the assignment group can now be associated with one or more programs. This includes an 'Other' option if the specific program isn't listed.
Please reach out to your Service Center lead or delegated Service Center administrator if you need to add, remove, or edit a group.
For more information, view the following Knowledge Articles Titled: Limiting Assignment Groups by Program and Case Assignment Group List Administration for in CCSQ ServiceNow. Note: To view Knowledge Articles you will need to sign into your CCSQ ServiceNow account.
________________________________________
Affected Customers Groups:
* CCSQ ServiceNow Customers
CCSQ ServiceNow Login Failure Screen Redirect
CCSQ ServiceNow will display a new Login Failure page when customers have CCSQ ServiceNow login issues with the option to create and send a ticket directly to CCSQ Service Center via the CCSQ Support Central website to address their login issue. This will replace the existing 'Logout Successful' message.
________________________________________
Affected Customers Groups:
* HCQIS Services and Operations Support
New Fields Added to the Major Incident Module
Two new fields titled 'Promoted' and 'Time Initial Communication Sent' have been added to the Major Incident Module. This will allow the HCQIS SOS team to track the SLA correlating with the Major Incident and outage communication process and provide the intended communities with the initial outage notification.
The following maintenance tasks were completed during this iteration:
Affected Customers Groups:
* CMS Leadership and CCSQ ServiceNow Team
New Flows for License Group Allocation
To track the license usage, two new flows have been added in ServiceNow to automatically allocate licensed role consumers to their respective licenses. These flows run daily in the morning and associate consumers to the appropriate licenses via group membership based on current roles. This will allow for accurate license tracking within the Subscription Management module.
____________________________________
Affected Customers Groups:
* CMS Leadership
Quebec Patch 9 Hotfix 3a Upgrade
As part of the ServiceNow Patching Program, ServiceNow automatically pushes patches to the environments. ServiceNow Patches provide enhancements and security patching to the environment and will ensure that the production environment has the most current patch level to reduce the risk of potential vulnerabilities.
_____________________________________
Affected Customers Groups:
* HIDS Security IAM
HARP-ServiceNow Automation Workflow Update
A backend update has taken place that will improve the HARP-ServiceNow contract workflow by adding additional checks.
______________________________________
In the workflow activities 'contract # returns a record' and 'more than one record', a query now checks for the contract's 'task order' number as well. This will ensure that the correct SPOC is assigned.
Affected Customers Groups:
* iQIES/QIES/ASPEN Service Center
iQIES/QIES/ASPEN 'Awaiting Info Reason' Field Update
The 'Awaiting Info Reason' field in the iQIES/QIES/ASPEN case form will be updated to include the following enhancements:
* Selecting 'Awaiting Info from Customer' and 'Awaiting Confirmation of Resolution' are mandatory fields that require the agent enter an explanation in the 'Additional Comments' field.
* Selecting 'Awaiting Internal/System Info' is not mandatory and does not require the 'Additional Comments' field to be completed.
_________________________________
Affected Customers:
* All CCSQ ServiceNow Programs Using Case (except 1135)
Customer Email Replies to Case Notifications
For customers that have multiple accounts in ServiceNow, a fix has been applied to ensure all customer replies to ServiceNow email notifications will be captured in the Activities section of the case form.
If the email address associated with the customer reply is for an account that:
o Is the Contact on the case, then the customer reply will display the First and Last Name associated to the account that sent in the reply.
________________________________________
o Is not the Contact on the case, then the Activity update on the case record will display as 'Guest'.
Affected Customers:
* ADO ESS Collab Support
CCSQ ServiceNow Incident Notification Update
An update was made to the CCSQ ServiceNow and JIRA Integration to stop Incident notifications from sending from ServiceNow when changes are made to closed or cancelled Jira tickets.
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Please Bring ALL Your Medicines to Your Next Appointment
You will work with your health care team to make a medicine list. Please make sure you bring (in the original container)...
- Prescription medicines.
- Medicines you buy without a prescription (like Tylenol® or cold medicine).
- Ointments or creams.
- Bottles of drops.
- Inhalers.
- Injections.
- Vitamins and herbal medicines.
- Any questions you have about your medicines.
Your doctor will go over them with you to...
- Review what you are taking.
- Make sure you are taking your medicines in the best way for you.
- See if you can take fewer medicines.
- Answer your questions.
This is important because it...
- Helps you be an active member of your health care team.
- Gives you a complete medicine list that can be shared with other doctors and hospitals.
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The children have been very busy decorating the tree
Christmas News
Boldon Nursery School – Outdoor Nursery
Ela the elf has arrived at nursery from the North Pole and we are sure your child is keeping you up to date with her tinkerish tricks !
CHRISTMAS CARDS
Please help your child to write out one Christmas card for all of their friends in their group, they will be displayed in your child's group area and this will help us to save paper, card and disappointment if not all children receive one.
We are joining in with Save the Children Wear a Christmas Jumper on 15 th December, please donate £1 to the appeal if taking part
Can you donate a bottle for our tombola? Can you donate a bottle for our tombola?
CHRISTMAS GIFTS
* This term at Nursery, as parents, you have already made fantastic donations to great causes through Children in Need and the Samaritans Shoe Box Appeal. All staff would like to say a huge thank you for all of your support; this will make a big difference to children all around the world. From past experience we know some of you may be thinking about your child bringing in a gift for their teacher. We would like to let you know you have given us the best gift possible already by allowing us to share your child's amazing early years experiences. Staff are always very grateful about the generosity shown at this time of year but there is no need, bringing your child to nursery each day to make memories with us is enough of a gift to us all!
CAN YOU HELP THIS FESTIVE SEASON?
If you would like to take Beryl and Sooty our chickens home for Christmas we would be very grateful. Please see your child's key person if you can help us!
We are looking for helpers to wrap prizes for our Christmas party and gifts for the children from Santa – Please sign up to help with Dawn (everything provided and cups of tea too!)
We are looking for parents helpers on the last day of term (Friday 22 nd December) for our annual Christmas party between 11 and 2 – Please sign up with Dawn.
WE RETURN TO NURSERY on Monday 8 th January.
Or chocolate for our hamper?
Raffle tickets on sale next week! £1 per strip
Have you signed up for a Christmas workshop?
KIT REMINDER – As the weather is increasingly colder and we have been lucky enough to have SNOW please ensure your child has appropriate layers including thermals, fleece or jumper and hat, scarf and gloves so we can enjoy this special time of year together…
May we remind you of the important
dates you have on your newsletter
We hope you have the most amazing Christmas with your family and friends and we look forward to welcoming you back to make more memories together in the new year.
Merry Christmas and Happy New Year from all of the staff x x x
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PTEN Protein Loss and Genomic Deletions in Prostate Cancer: A Comparative Study of Immunohistochemistry and Four-Color FISH Assay
Rajal B. Shah, MD¹, Alex Nicolau¹, Savvas Mendrinos, MD¹, Thomas Moss, MD²
¹Division of Urologic Pathology, Miraca Life Sciences Research Institute, Irving, TX and ²Biocare Inc., CA
Background
- PTEN (phosphatase and tensing homolog) on chromosome 10q23 is a key tumor suppressor gene that is deleted or inactivated in 30-40% of clinically localized prostate cancers (PCa) and is frequently associated with high risk PCa.
- Loss of PTEN tumor suppressor gene is increasingly being analyzed on prostate core biopsies (NBXs) due to its prognostic relevance in cancer (PCa) risk stratification.
- Currently, there is no standardized approach for interrogation of this biomarker in laboratories. Studies comparing two methods: immunohistochemistry and traditional two-color FISH assay have yielded variable results.
Aims
- To compare a four-color FISH assay which reduces false positivity due to nuclear truncation and previously validated IHC assay on prostate biopsies containing PCa with spectrum of different Gleason grades.
- To evaluate the potential of a developing standardized approach to PTEN evaluation.
Methods
- Ninety selected NBX cores with PCa of different Gleason grades (Gleason score 3+3 (46); 3+4 (33); ≥4+3 (11)) were analyzed by both IHC (clone D4.3, Cell Signaling) and four-color FISH assay (CymoGen Dx, CA).
- PTEN loss by IHC was defined as complete (entire tumor) or partial (any amount of tumor) loss. Benign glands and stroma were used as an internal control. Reduced PTEN staining intensity in PCa in reference to adjacent benign glands was recorded but overall measured as intact PTEN for further analysis.
- PTEN loss by FISH was defined as hemizygous (loss of one copy) or homozygous (loss of both copies). Tumors with a minimum of five cells demonstrating hemi or homozygous loss were considered positive. A minimum 100 cells were analyzed. FISH CEP10 was used to enumerate chromosome 10 and control flanking probes on either side of PTEN gene was utilized to increase assay specificity to detect real interstitial PTEN deletions from “pseudo deletion” caused by nuclear truncation.
- Results of the two methods were blinded.
Results
| Method | Status of PTEN | No. of samples (%) |
|--------|--------------------------------|--------------------|
| IHC | **PTEN loss** | |
| | Partial | 16 (55) |
| | Complete | 13 (45) |
| | **PTEN deletion** | |
| | Hemizygous | 16 (46) |
| | Homozygous | 19 (52) |
| Both | **PTEN loss and/or deletion** | 42 (47) |
Table 1: Summary of PTEN loss in 90 prostate adenocarcinoma samples by Immunohistochemistry and four-color FISH methods
| IHC | FISH | Total |
|---------|------------|-------|
| | Normal | Hemizygous | Homozygous |
| Intact | 45 | 9 | 2 |
| Reduced | 3 | 1 | 1 |
| Partial loss | 4 | 4 | 8 |
| Complete loss | 3 | 2 | 8 |
| Total | 55 | 16 | 19 |
Table 2: Correlation of PTEN results by four-color FISH and IHC methods.
| Gleason score (n) | PTEN loss by FISH (%) | PTEN loss by IHC (%) | PTEN loss by both methods (%) |
|-------------------|-----------------------|----------------------|------------------------------|
| 3+3 (46) | 11 (24) | 5 (11) | 14 (30) |
| 3+4 (33) | 18 (55) | 19 (58) | 22 (67) |
| ≥4+3 (11) | 5 (45) | 5 (45) | 6 (55) |
Table 3: Correlation of PTEN results based on Gleason score of prostate cancer.
Study Highlights
- The overall concordance for PTEN measurement between two methods was present in 70 of 90 (78%) cases.
- FISH did not detect a deletion in 7 of 29 IHC positive cases (24%) and IHC did not detect loss of protein in 13 of 35 FISH positive cases (37%).
- In addition, IHC demonstrated intact staining in 3 of 19 cases showing homozygous deletions by FISH; whereas complete PTEN protein loss was not associated with homo or hemizygous deletion in 3 of 13 cases.
- Reasons for this discrepancy include scenarios such that immunohistochemistry (IHC) may miss cases that have small clusters of cells with deletion and FISH may miss cases where PTEN is inactivated due to very small deletions or single-nucleotide polymorphism.
- Our results suggest that to most accurately identify PTEN deletion/inactivation, a FISH/IHC integrated model needs to be developed. This model may involve FISH as a reflex test for cases where IHC assay demonstrate intact or reduced PTEN staining. This approach is especially recommended in the setting of Gleason score 3+3=6, a clinical scenario where biomarkers are typically requested.
- In addition, a comprehensive study combining IHC and FISH detection of PTEN deletion/inactivation results with clinical outcome is in order to determine if combining the two tests in an integrated model is superior to one method or the other.
References
Han B, Mehra R, Lonigro RJ, et al. Fluorescence in situ hybridization study shows association of PTEN deletion with ERG rearrangement during prostate cancer progression. Mod Pathol 2009;22:1083-93.
Lotan TL, Gurel B, Sutcliffe S, et al. PTEN protein loss by immunostaining: analytic validation and prognostic indicator for a high risk surgical cohort of prostate cancer patients. Clin Cancer Res 2011;17:6563-73.
Yoshimoto M, Cunha IW, Coudry RA, et al. FISH analysis of 107 prostate cancers shows that PTEN genomic deletion is associated with poor clinical outcome. Br J Cancer 2007;97:678-85.
Conflicts of interest: None. Pursuant to 45 CFR 46, section 101b (4) – research was reviewed by Miraca Life Sciences Research Institute IRB.
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Health Information and Quality Authority Regulation Directorate
Compliance Monitoring Inspection report Designated Centres under Health Act 2007, as amended
About monitoring of compliance
The purpose of regulation in relation to designated centres is to safeguard vulnerable people of any age who are receiving residential care services. Regulation provides assurance to the public that people living in a designated centre are receiving a service that meets the requirements of quality standards which are underpinned by regulations. This process also seeks to ensure that the health, wellbeing and quality of life of people in residential care is promoted and protected. Regulation also has an important role in driving continuous improvement so that residents have better, safer lives.
The Health Information and Quality Authority has, among its functions under law, responsibility to regulate the quality of service provided in designated centres for children, dependent people and people with disabilities.
Regulation has two aspects:
- Registration: under Section 46(1) of the Health Act 2007 any person carrying on the business of a designated centre can only do so if the centre is registered under this Act and the person is its registered provider.
- Monitoring of compliance: the purpose of monitoring is to gather evidence on which to make judgments about the ongoing fitness of the registered provider and the provider's compliance with the requirements and conditions of his/her registration.
Monitoring inspections take place to assess continuing compliance with the regulations and standards. They can be announced or unannounced, at any time of day or night, and take place:
- to monitor compliance with regulations and standards
- following a change in circumstances; for example, following a notification to the Health Information and Quality Authority's Regulation Directorate that a provider has appointed a new person in charge
- arising from a number of events including information affecting the safety or wellbeing of residents
The findings of all monitoring inspections are set out under a maximum of 18 outcome statements. The outcomes inspected against are dependent on the purpose of the inspection. Where a monitoring inspection is to inform a decision to register or to renew the registration of a designated centre, all 18 outcomes are inspected.
Compliance with the Health Act 2007 (Care and Support of Residents in Designated Centres for Persons (Children And Adults) With Disabilities) Regulations 2013, Health Act 2007 (Registration of Designated Centres for Persons (Children and Adults with Disabilities) Regulations 2013 and the National Standards for Residential Services for Children and Adults with Disabilities.
This inspection report sets out the findings of a monitoring inspection, the purpose of which was to monitor compliance with National Standards. This monitoring inspection was un-announced and took place over 1 day(s).
The inspection took place over the following dates and times
From:
To:
06 February 2017 09:30
06 February 2017 20:00
The table below sets out the outcomes that were inspected against on this inspection.
Summary of findings from this inspection
Background to the inspection:
This monitoring inspection was the fourth inspection of this residential service carried out by The Health Information and Quality Authority, HIQA. It was an unannounced one-day monitoring inspection. This service is one of sixteen residential services in Co. Roscommon run by the Brothers of Charity Ireland organisation.
How we gathered our evidence:
As part of the inspection, the inspector met with five residents, staff members, an area manager, and the provider nominee. The inspector sought the consent of residents to enter their bedrooms and review personal plans and care files. The inspector observed practices and reviewed documentation, such as; personal plans, risk management documentation, medical records, policies and procedures.
Description of the service:
The centre provides residential accommodation and support services for 10 adults with an intellectual disability. There were three houses in this designated centre. Two
houses were modern purpose built bungalows located in a village in Co. Roscommon. The third house was an older style bungalow which was located approximately 9km away in a town in Co. Roscommon. The three houses were situated in quiet estates in a residential part of the village and town. The two houses situated together accommodated a maximum of five residents. One house was opened on a part-time basis Monday to Friday and one weekends per month, the second house was opened full-time seven days a week. The third house could accommodate four residents per night; however, only three residents used the service per night. This respite service was shared among six individuals. There were three vacancies on the day of inspection.
The inspector found the houses were well maintained and offered a comfortable homely environment for residents. Residents' bedrooms were decorated according to their wishes and tastes. There was evidence that residents' diverse health and psychosocial needs were appropriately met and promptly responded to by staff as required. In addition, access to a range of allied health services including psychology and mental health specialists was evident. Staff interviewed displayed good knowledge and understanding of individual residents' needs, wishes and preferences and the inspector observed good interactions between staff and residents. Residents and their families were involved in decisions about the care delivered and were supported to promote their independence and exercise choice in their daily lives.
Overall judgement of our findings:
The inspector found that the centre was an organised, well run service that provided a person-centred approach to meet the health and social care needs of residents. While evidence of significant compliance was found across most outcomes, there were a few areas that required action. For example, fire safety management, policies and procedures required update and the vehicle used to transport residents did not meet the needs of the residents. These issues were found not to be in compliance with the regulations and the National Standards. These issues are discussed further in the main body of the report and are included in the action plan at the end of this report.
Section 41(1)(c) of the Health Act 2007. Compliance with the Health Act 2007 (Care and Support of Residents in Designated Centres for Persons (Children And Adults) With Disabilities) Regulations 2013, Health Act 2007 (Registration of Designated Centres for Persons (Children and Adults with Disabilities) Regulations 2013 and the National Standards for Residential Services for Children and Adults with Disabilities.
Outcome 01: Residents Rights, Dignity and Consultation
Residents are consulted with and participate in decisions about their care and about the organisation of the centre. Residents have access to advocacy services and information about their rights. Each resident's privacy and dignity is respected. Each resident is enabled to exercise choice and control over his/her life in accordance with his/her preferences and to maximise his/her independence. The complaints of each resident, his/her family, advocate or representative, and visitors are listened to and acted upon and there is an effective appeals procedure.
Theme:
Individualised Supports and Care
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
The provider had put appropriate measures in place to ensure that residents' rights and dignity were promoted and that residents were consulted about the management of the centre.
There were two actions issued following the last inspection and these were reviewed by the inspector and found to be complete.
There was evidence that residents were consulted about the day-to-day operation of the centre. Regular residents' meetings were held, and the inspector read a sample of the minutes of the meetings which demonstrated that residents were consulted about their daily routines, choices around food and social activities.
All residents, except one individual who was retired, attended day services in their local community. The staff members supported residents to attend these activities daily and the inspector observed staff displaying a positive and supportive attitude to residents when providing an individualised service to residents, both inside and outside the centre.
The provider had effective arrangements in place to manage residents' finances. Residents' money was safeguarded through appropriate practices and record keeping. Financial transactions were signed by staff, and where possible, the residents themselves. In addition, transactions were checked and counter signed by a second staff member and written receipts retained for purchases made on residents' behalf. A regular random audit of the financial records was carried out by a member of the senior management team and there was written evidence of this shown to the inspector.
Staff members interacted with residents in a respectful manner and the inspector observed that their privacy was respected. All residents had their own bedroom, which were decorated to their individualised taste.
The inspector reviewed the systems and documentation in place for the management of complaints. The complaints policy complied with the regulations and there were no open complaints.The inspector found that where issues were raised by residents or family members, they were adequately addressed by the staff. A nominated complaints person was identified to ensure that complaints were appropriately responded to and records maintained. Advocacy services were available to residents on request.
Judgment:
Compliant
Outcome 02: Communication
Residents are able to communicate at all times. Effective and supportive interventions are provided to residents if required to ensure their communication needs are met.
Theme:
Individualised Supports and Care
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
The provider had arrangements in place to ensure that the communication needs of all residents in the centre were being met.
Most residents in this centre were able to communicate verbally, however, others communicated through the means of non verbal communication, such as, hand gesturing, or through the use of pictures or symbols.
There was one action issued following the last inspection, which was complete. Previously, a resident did not have the required communication aid, however, an iPad was purchased for this resident and they were currently receiving training on how to use the iPad to increase their communication options.
Staff members were qualified to care for individuals with a disability and this was evident in the expertise they displayed in communicating with residents that had limited verbal communication. For example, staff understood a resident's facial expressions, body movements and general demeanour.
Each resident's communication needs were set out in individual care plans. Residents, their families and the multi disciplinary team were involved in developing and reviewing these plans and the actions set out in the plans were seen to be implemented in practice.
Good documentation was in place to support the decisions taken at the personal care planning meetings. Residents' care plans documented the input from professionals including speech and language therapists, to enhance residents' communications; therefore ensuring residents' communication needs were met.
Residents had easy access to television and radio, residents' preferences in terms of what programmes or music they preferred were facilitated.
Judgment:
Compliant
Outcome 03: Family and personal relationships and links with the community Residents are supported to develop and maintain personal relationships and links with the wider community. Families are encouraged to get involved in the lives of residents.
Theme:
Individualised Supports and Care
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
The provider had put appropriate resources in place to support residents to develop and maintain positive personal relationships with their family members and links with the wider community.
Residents had families who were actively involved in their care. Families were encouraged to participate in the lives of the residents and the inspector saw that they were regularly consulted and kept up to date. Residents had photographs displayed in their bedrooms of their family members which they had pleasure looking at and showing the inspector.
The inspector was told that visitors were welcome in the centre and were free to visit. There was evidence of this in the signed visitors' book. There was one action issued under this outcome in the last inspection relating to the use of a visitor's room as a staff bedroom, this had been rectified. There is now a night staff sharing responsibility between two houses and there was no need for a staff bedroom.
Judgment:
Compliant
Outcome 05: Social Care Needs
Each resident's wellbeing and welfare is maintained by a high standard of evidencebased care and support. Each resident has opportunities to participate in meaningful activities, appropriate to his or her interests and preferences. The arrangements to meet each resident's assessed needs are set out in an individualised personal plan that reflects his /her needs, interests and capacities. Personal plans are drawn up with the maximum participation of each resident. Residents are supported in transition between services and between childhood and adulthood.
Theme:
Effective Services
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
Each resident's wellbeing and welfare was maintained by a high standard of evidencebased care and support.
The inspector found significant improvements in the assessment and implementation of residents individualised needs and goals since the last inspection. There was one action issued and this was satisfactorily addressed.
The provider had arrangements in place to ensure that residents had opportunities to participate in meaningful activities appropriate to their interests and capabilities. For example, residents had daily activities programmes or recreational activities scheduled, during the day, five days a week. In addition, one resident was receiving a home based service due to their ill health.
The inspector viewed the actions from the previous inspection and found that personal plans now detailed the activities individual residents enjoyed and there was a system in place to track the activities attended by residents on daily basis and assist staff.
The inspector found that each resident had a personal plan in place, which included their health and social plans. There was evidence that these plans were reviewed consistently and at a minimum annually. There was evidence that residents and or their families were involved in preparing their personal plans. The inspector viewed a sample of residents' personal plans and found that they were individualised and person centred, regularly reviewed and reflective of residents needs. In addition, resident's abilities, needs and aspirations were clearly identified and there were opportunities for residents to participate in meaningful activities appropriate to his or her interests and capacities.
A key worker was assigned to each resident to help them to achieve their personal goals and the inspector saw that goals identified for the previous year had been reviewed and all had been achieved.
Residents living in this centre were very much part of the local community. Residents attended the local day services and they also visited the local business and community facilities in the town, such as local pubs, restaurants, library and church as well as taking part in social activities in the house such as cooking, art and massage.
Judgment:
Compliant
Outcome 06: Safe and suitable premises
The location, design and layout of the centre is suitable for its stated purpose and meets residents individual and collective needs in a comfortable and homely way. There is appropriate equipment for use by residents or staff which is maintained in good working order.
Theme:
Effective Services
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
The premises generally met the needs of all residents living in this centre.
The inspector found that attention had been given to ensure that the premises were made as comfortable as possible for the residents. For example, colours were tastefully coordinated, rooms were personalised and had attractive paintings hung on the walls. All rooms had adequate provision for storing residents clothes; there space for chairs, and or a wheelchair if used by a resident. However, the entrance to one of the three houses had a step which was not suitable for one wheelchair user.
The premises were clean, comfortable and had a homely atmosphere. Residents had access to appropriate equipment that promoted their independence and comfort such as hoists and mobility aids. Staff were trained to use the equipment provided, it was fit for purpose and servicing of equipment had taken place.
Judgment:
Substantially Compliant
Outcome 07: Health and Safety and Risk Management
The health and safety of residents, visitors and staff is promoted and protected.
Theme:
Effective Services
Outstanding requirement(s) from previous inspection(s):
Some action(s) required from the previous inspection were not satisfactorily implemented.
Findings:
The management of risk in the centre had significantly improved since the last inspection. There were four actions issued in the previous inspection report. Three of the four actions were complete.
The centre had a risk management policy in place; however, it did not provided clear guidance to staff on the management of risk in the centre. It did not contain all aspects of risk management required by the regulations, such as the management of individual or environmental risks. This was an action outstanding from the last inspection. Despite this action not being completed, the provider had arrangements in place for recording and analysing incidents, so that measures could be taken to prevent their reoccurrence. This was an action from the last inspection and was complete.
The inspector viewed a number of individual risk assessments for residents. Some related to social activities, or outings, or medical conditions. The inspector found evidence that staff took a proactive approach to control risk to residents whilst ensuring that residents could still take part in their chosen activity.
Accidents and incidents were recorded in the centre. These accidents or incidents were reviewed regularly by the person in charge. The inspector found evidence of learning and measures in place to prevent re-occurrences of accidents and incidents and this learning was included in a residents' care plans.
The provider had fire safety procedures in place. Appropriate fire equipment was located throughout the centre and there was evidence that this equipment, the emergency lighting and alarm system were serviced regularly. Weekly and monthly fire safety checks were recorded in the centres fire register. The centre evacuation procedure was displayed in the centre. All fire exits were unobstructed and staff took part in regular fire evacuation drills which were documented. A personal evacuation plan was documented in each resident's personal plan and a copy of this was also kept near the entrance to the centre. Fire safety training for all staff had taken place and included evacuation procedures. However, there were no fire doors in any of the houses in this centre. The smoke alarm was broken in one house on the day of inspection; however, this was in the process of being fixed during the inspection.
Satisfactory procedures were in place for the prevention and control of infection which are in line with standards published by the HIQA. However, the infection control policy was inadequate, as it did not contain guidance to staff on national infection control procedures.
The car used to transport residents was 16 years old and was owned by the provider. The vehicle was shared between two houses in this centre. The vehicle was appropriately maintained, however, the inspector observed one resident with dementia trying to access the car with difficulty, this was due to a deterioration in their mobility and the car was no longer meeting their assessed needs.
Judgment:
Non Compliant - Major
Outcome 08: Safeguarding and Safety
Measures to protect residents being harmed or suffering abuse are in place and appropriate action is taken in response to allegations, disclosures or suspected abuse. Residents are assisted and supported to develop the knowledge, self-awareness, understanding and skills needed for self-care and protection. Residents are provided with emotional, behavioural and therapeutic support that promotes a positive approach to behaviour that challenges. A restraint-free environment is promoted.
Theme:
Safe Services
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
Residents told the inspector that they felt safe in this designated centre. There were appropriate measures in place to safeguard residents from abuse and ensure residents were safe in this centre.
All staff were aware of the organisational policy and procedures for safeguarding residents including national guidance and legislation.
The inspector spoke with residents, and they reported that they felt safe and supported in their home. The inspector found, from the evidence provided, that all of the residents living in the centre were safe and that none of the residents had expressed any concerns for their safety. Most residents living in this centre did not have behaviours that challenge. However, all staff were trained to assist residents with behaviours that challenge. Restrictive practices were not used in this centre.
Judgment:
Compliant
Outcome 09: Notification of Incidents
A record of all incidents occurring in the designated centre is maintained and, where required, notified to the Chief Inspector.
Theme:
Safe Services
Outstanding requirement(s) from previous inspection(s):
Some action(s) required from the previous inspection were not satisfactorily implemented.
Findings:
A record of all incidents occurring in the designated centre was maintained. However, all notifiable events were not notified to the Chief Inspector. For example; in one incident a resident complained of pain in their right hip following a fall and was subsequently seen by a general practitioner. This accident was not reported to the chief inspector within three days of the incident as required by the regulations.
Judgment:
Substantially Compliant
Outcome 11. Healthcare Needs
Residents are supported on an individual basis to achieve and enjoy the best possible health.
Theme:
Health and Development
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
Residents are supported on an individual basis to achieve and enjoy the best possible health. There were two actions issued following the last inspection. These were both completed.
Residents' healthcare needs were met through timely access to health care services and appropriate treatments and therapies. The inspector found that individual residents health needs were appropriately assessed and met by the care provided in the centre. Staff and service users described good access to the local general practitioner and psychiatrist and there was evidence available of this in files reviewed. An out of hours service was also available if required. Allied health services which included dentist, physiotherapy, occupational therapy and chiropody were also available to residents as required.
The inspector reviewed a 'hospital passport' document on a resident's file - for use should the resident require transfer to hospital. The document was regularly reviewed and included information on aspects of the residents' care, including their emotional needs and preferences.
Residents had a choice about their meals and nutrition. Decisions around the meal choices were discussed at the weekly residents' meetings. Residents were supported to cook their own meals in their houses. The inspector observed residents having their evening meal and was told by the residents that the food in general was good and that they had enjoyed their evening meals.
Judgment:
Compliant
Outcome 12. Medication Management
Each resident is protected by the designated centres policies and procedures for medication management.
Theme:
Health and Development
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
A medication management policy was in place to guide practice and included the arrangements for ordering, prescribing, storing and administration of medicines to residents. The inspector reviewed the prescription records and medication administration records and found that documentation was completed in accordance with safe practice guidelines. There were protocols in place for the safe administration of medication for epilepsy.
Medications were stored appropriately and there were no medications that required strict control measures, at the time of the inspection. There was a system in place for the reporting and management of medication errors and these were reviewed by the person in charge. Staff spoken with knew what process they had to follow if they made a medication error. There were no incidents of medication errors reported on this inspection.
Judgment:
Compliant
Outcome 14: Governance and Management
The quality of care and experience of the residents are monitored and developed on an ongoing basis. Effective management systems are in place that support and promote the delivery of safe, quality care services. There is a clearly defined management structure that identifies the lines of authority and accountability. The centre is managed by a suitably qualified, skilled and experienced person with authority, accountability and responsibility for the provision of the service.
Theme:
Leadership, Governance and Management
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
This centre is jointly managed by two person's in charge. One person in charge was a qualified and experienced nurse and the other person in charge is a qualified social care worker. One of the person in charge had recently returned from long term leave, and deputising arrangements had been put in place while this manager was absent from work. The centre has been managed by the other person in charge and an on-call arrangement was now in place.
There was an effective organisational structure in operation and significant improvements were found in the governance and management of this centre since the last inspection. The managers in charge now reported to the area manager who in turn reported to the director of services. There was evidence of regular staff meetings with their managers and the decision making process was more transparent. For example, the inspector saw some of the minutes of these meetings which outlined the issues discussed and the decision made to address the issues recorded.
The provider had undertaken one unannounced visit to the centre and produced a written report on the safety and quality of care and support provided as required by the regulations. The inspector was provided a copy of this report. There was evidence that the quality of care and experience of the residents was monitored on an ongoing basis, and there was an annual review completed by the provider outlining the service and the quality of care provided in this centre.
Judgment:
Compliant
Outcome 17: Workforce
There are appropriate staff numbers and skill mix to meet the assessed needs of residents and the safe delivery of services. Residents receive continuity of care. Staff have up-to-date mandatory training and access to education and training to meet the needs of residents. All staff and volunteers are supervised on an appropriate basis, and recruited, selected and vetted in accordance with best recruitment practice.
Theme:
Responsive Workforce
Outstanding requirement(s) from previous inspection(s):
The action(s) required from the previous inspection were satisfactorily implemented.
Findings:
The centre's workforce had significantly increased since the last inspection. Due to the declining health of one resident, staffing had been changed from a sleepover staff to a waking night staff since the last inspection.
The inspector found that the managers had adequately responded to residents healthcare needs and staff were meeting the assessed needs of the residents. However, one resident living in the second house, required a further needs assessment, to assess if additional staffing was required in the mornings, as their health had also started to decline.
There was evidence that staff were trained to meet the assessed needs of residents and records of training were documented on staff files. Staff had completed training, for example, in areas such as safeguarding training, fire safety management, safe moving and handling, and medication management training.
There was evidence of regular staff meetings, which were supervised by the person in charge. The provider had also completed a six monthly unannounced visit to the centre and also an annual review of the quality and safety of the service provided.
Judgment:
Compliant
Closing the Visit
At the close of the inspection a feedback meeting was held to report on the inspection findings.
Acknowledgements
The inspector wishes to acknowledge the cooperation and assistance of all the people who participated in the inspection.
Report Compiled by:
Thelma O'Neill Inspector of Social Services Regulation Directorate Health Information and Quality Authority
Health Information and Quality Authority Regulation Directorate
Action Plan
Provider's response to inspection report 1
Requirements
This section sets out the actions that must be taken by the provider or person in charge to ensure compliance with the Health Act 2007 (Care and Support of Residents in Designated Centres for Persons (Children And Adults) With Disabilities) Regulations 2013, Health Act 2007 (Registration of Designated Centres for Persons (Children and Adults with Disabilities) Regulations 2013 and the National Standards for Residential Services for Children and Adults with Disabilities.
All registered providers should take note that failure to fulfil your legal obligations and/or failure to implement appropriate and timely action to address the non compliances identified in this action plan may result in enforcement action and/or prosecution, pursuant to the Health Act 2007, as amended, and Regulations made thereunder.
Outcome 06: Safe and suitable premises
Theme: Effective Services
The Registered Provider is failing to comply with a regulatory requirement in the following respect:
There was a step at the entrance to house one which was not suitable for one resident who was a wheelchair user.
1. Action Required:
Under Regulation 17 (1) (a) you are required to: Provide premises which are designed
1 The Authority reserves the right to edit responses received for reasons including: clarity; completeness; and, compliance with legal norms.
and laid out to meet the aims and objectives of the service and the number and needs of residents.
Please state the actions you have taken or are planning to take:
A new door and ramp are being sourced and these renovations will be completed before the end of the month.
Proposed Timescale: 26/05/2017
Outcome 07: Health and Safety and Risk Management
Theme:
Effective Services
The Registered Provider is failing to comply with a regulatory requirement in the following respect:
The centre had a risk management policy in place, however, it did not provide clear guidance to staff on how to manage risks in the centre.
2. Action Required:
Under Regulation 26 (1) (a) you are required to: Ensure that the risk management policy includes hazard identification and assessment of risks throughout the designated centre.
Please state the actions you have taken or are planning to take:
The risk management policy is being reviewed to include hazard identification and assessment of risks throughout the designated centre.
Proposed Timescale: 31/05/2017
Theme: Effective Services
The Registered Provider is failing to comply with a regulatory requirement in the following respect:
The risks associated with the use of an unsuitable vehicle to transport residents to work or hospital appointments had not been highlighted on the centres risk register or addressed by the provider.
3. Action Required:
Under Regulation 26 (2) you are required to: Put systems in place in the designated centre for the assessment, management and ongoing review of risk, including a system for responding to emergencies.
Please state the actions you have taken or are planning to take:
Additional funding has been received from our external funders for the specific needs of the person in question due to deteriorating health. Therefore, transport is no longer an issue. Due to this person's deteriorating health, the GP has recommended that an ambulance is required for the person to attend any hospital appointments and that
medical personnel visit the person at home when required.
Proposed Timescale: 04/05/2017
Theme: Effective Services
The Registered Provider is failing to comply with a regulatory requirement in the following respect:
There was no fire doors in any of the three houses in this centre. Therefore, fire would not be contained and this may impact on the safe evacuation of residents from the centre.
4. Action Required:
Under Regulation 28 (3) (a) you are required to: Make adequate arrangements for detecting, containing and extinguishing fires.
Please state the actions you have taken or are planning to take:
1.Applications are being made to the landlords with regard to upgrading the three houses in this centre and installing fire doors throughout.
2.In the interim, quarterly fire drills are being carried out, fire safety refresher training is being delivered and night time procedures for fire safety have been implemented in all houses.
Proposed Timescale: 1. 30/06/2017; 2. Completed 30/03/2017
Proposed Timescale: 30/06/2017
Outcome 09: Notification of Incidents
Theme:
Safe Services
The Person in Charge (PIC) is failing to comply with a regulatory requirement in the following respect:
The provider did not give notice to the Chief Inspector within 3 working days of the occurrence in the designated centre of a injury to a resident which required medical attention.
5. Action Required:
Under Regulation 31 (1) (d) you are required to: Give notice to the Chief Inspector within 3 working days of the occurrence in the designated centre of any serious injury to a resident which requires immediate medical or hospital treatment.
Please state the actions you have taken or are planning to take:
There was some confusion around the reporting of this incident, as no injury occurred and no treatment was required. The incident was reported on an NF39 as opposed to
an NF03. Any future incidents can be reported on NF03's, if required.
Proposed Timescale: 31/01/2017
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REGULAR MEETING MINUTES
BOARD OF SUPERVISORS
Chairman Steven P. Barndt called the Regular Meeting of the Board of Supervisors of Franconia Township to order on Monday, August 16, 2010 at 7:09 p.m. at the Municipal Building, 671 Allentown Road, Franconia, Pennsylvania 18924.
Present were 1 st Vice-chairman Grey Godshall, 2 nd Vice-chairman W. Keith Freed and Supervisor Curtis N. Kratz; Township Manager Kevin D. Baver; Assistant Township Manager, Jamie P. Worman; Chief Joseph Kozeniewski; Township Solicitor Frank R. Bartle., Esquire; Township Engineer Barry Wert, P.E.; Building; Public Works Director Paul R. Nice and Code Inspectors Roger M. Koffel and Jerry Rittenhouse and interested residents of Franconia Township. Supervisor Drew Darrah was absent (excused).
OPENING MEETING TO THE PUBLIC
No comments were received from the public.
APPROVAL OF JULY 2010 MEETING MINUTES
A motion was made by Mr. Godshall and seconded by Mr. Kratz to approve the July 19, 2010 Regular Meeting Minutes. The motion carried unanimously.
SOLICITOR'S REPORT – FRANK R. BARTLE, ESQUIRE
A Motion was made by Mr. Barndt and seconded by Mr. Kratz to approve Resolution 10-2716-08: A Resolution designating Kevin D. Baver, Township Manager, as the Agent hereby authorized to execute for and on behalf of the Franconia Township Board of Supervisors and Franconia Township, Montgomery County, a Public Entity established under the laws of the Commonwealth of Pennsylvania, all required forms and documents for the purpose of obtaining Financial Assistance under the Robert T. Stafford Disaster Relief and Emergency Assistance Act (Public Law 93-288 as amended by Public Law 100-707), as it pertains to the 2010 Snowfall reimbursement Program. The motion carried unanimously.
A Motion was made by Mr. Kratz and seconded by Mr. Freed to approve Resolution 10-2816-08: A Resolution accepting the Dedication of the Allentown and Elroy Roads Rights-OfWay located in the Township of Franconia, Montgomery County, Pennsylvania
Solicitor Frank R. Bartle opened a hearing for petition at 7:12 PM for a property located at
White Road to enter into the Agriculture Security Area. Earl M. Anders and Union National
Bank & Trust Company own the property that is subject to the petition, which includes 18.3
acres. The township will mark the proof of publication of this evenings hearing as public record. The Township also received a report from Montgomery County and from this
township's Agricultural Security Committee recommending inclusion of these properties in the Agricultural Security Area. The township received no letters stating objections. Mr.
Bartle opened the hearing to comments from those present. No comments heard.
A motion was made by Mr. Kratz and seconded by Mr. Freed to close the hearing. The motion carried.
A Motion was made by Mr. Kratz and seconded by Mr. Godshall to adopt Resolution 10-29-
16-08 placing the above referenced properties into the Agricultural Security Area. The motion carried.
A Motion was made by Mr. Barndt and seconded by Mr. Kratz to Authorize the Township
Manager and Township Solicitor to prepare and advertise amendments – as may be required – to Chapter 115 of the Code of the Township of Franconia to ensure compliance with Act
101, Act 140 and performance grant regulations (901 & 904) as they relate to the Northern
Montgomery County Recycling Commission. The motion carried unanimously.
OLICE REPORT – JOSEPH KOZENIEWSKI
P
Chief Kozeniewski submitted the Police report for July 2010.
ONING
Z R
EPORT
– K
EVIN
D. B
AVER
Mr. Baver submitted his report for July 2010.
HIGHWAY REPORT – PAUL R. NICE
Mr. Nice submitted the Highway report for July 2010.
ENGINEERING
REPORT – BARRY L. WERT, P.E.
Mr. Wert submitted his report for July 2010.
TREASURER'S REPORT – KEVIN D. BAVER
A motion was made by Mr. Godshall and seconded by Mr. Freed to approve the Treasurer's Report as presented, and to provide authorization for the Treasurer to pay all bills for the respective funds as presented on Voucher No. 10-16-08 dated August 16, 2010 in the amount of $157,817.23. The motion carried unanimously.
PAYROLL
A motion was made by Mr. Godshall and seconded by Mr. Freed for the Treasurer to be authorized to pay all employees during the pay period of August 14, 2010 through September 17, 2010 according to the hours worked as listed on the Payroll Journal for the aforesaid period. The motion carried unanimously.
LAND DEVELOPMENT
A motion was made by Mr. Freed and seconded by Mr. Godshall to approve with modifications Resolution 10-30-16-08 – A resolution granting Conditional Final Approval for the Martin Subdivision Plan and the Property situated along the South Side of Church Road and Quince Drive, Franconia Township, Montgomery County, Pennsylvania. The motion carried unanimously.
A motion was made by Mr. Freed and seconded by Mr. Godshall to approve the execution of the Charles J. Perna Record Plans - 60 Schoolhouse Road, Lower Salford Township for a parking lot expansion which has frontage in Franconia Township. The motion carried unanimously.
ANNOUNCEMENTS
The Franconia Township Planning Commission will hold its Regular Meeting on Tuesday, September 7, 2010 at 7:00 p.m. at the Franconia Township Municipal Building, 671 Allentown Road, Franconia, Pennsylvania 18924.
The next Regular Board of Supervisors meeting will be held at 7:00 p.m. on Monday, September 20, 2010 at the Franconia Township Municipal Building, 671 Allentown Road, Franconia, Pennsylvania 18924. The Board of Supervisors Work Sessions will be held on Friday, September 10, 2010 at 7:00 a.m. and Monday, September 20, 2010 at 5:00 p.m. at the same location.
MOTION TO ADJOURN
A motion was made by Mr. Kratz and seconded by Mr. Freed to adjourn the meeting at 7:24 p.m. The motion carried unanimously.
Respectfully submitted,
Kevin D. Baver, Secretary
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Minutes of the Canadian Geoscience Education Network
Meeting held in Vancouver, January 31st 1998
IN ATTENDANCE: Fran Haidl, Katherine Bergman, Godfrey Nowlan, Alan Morgan, Baxter Kean, Pat Dillon, Dave Sinclair, Jeremy Hall, Chris Barnes, Dileep Athaide, Brian Bornhold, Pierrette Tremblay
PM: Howard Donohoe, Denis St-Onge, Sherry Elchuck, Maureen Lipewick
1. OBJECTIVES FOR THE MEETING
1) To see what refinement is possible to the CGC PAES draft in order to solicit CGC's support.
2) To discuss how recommendations are complementary to existing programs in place. We want to avoid direct competition of programs for funding and investigate how recommendations are complementary to programs in place;
3) To discuss how to achieve better communication and coordination between existing programs which tend to be local/provincial; identify appropriate funding, targets in education.
2. GEOSCIENCE EDUCATION CONFERENCE (Alan Morgan)
GEOSCIED II was held in Hilo, Hawaii in July 1997. At that conference, an international geoscience group was formed and it will develop a newsletter. Proposals were requested for the next conference. CGEN developed a bid in time for the September 15th deadline thanks to Alan Morgan but the bid from Australia was favoured. Canada was offered to host the next conference after that.
After discussion, it was agreed that CGEN would host / coordinate GEOSCIENCE IV to be held in Canada probably in 2002. Holding this international venue would come strategically at a very good time for CGEN and certainly give it more credibility and hence higher funding levels.
Many ideas were discussed like run a symposium around the theme of teaching and bring teachers from all across Canada. The theme Teaching at the local level was suggested. There will be a need to raise funds to support teachers.
Alan Morgan agreed to be our representative to keep in touch with the Australia group.
ACTION: Alan Morgan to circulate comments by e-mail and solicit venues and proposals for GEOSCIED IV by May 1998.
3. EARTHNET
The $4000 funding from CGC was gratefully acknowledged by AGS and came at a critical time. A report has been submitted along with a request for more funding. In the absence of an AGS representative, Godfrey Nowlan is asked to provide a brief overview of the development of Earthnet. It started as a directory of Earth science materials available in Canada. Graham William was the main proponent. Pat Mackin did most of the work. Earthnet has become a nice website. A new upgraded database will be put on site soon. Office space and server space are supplied by GSC-Atlantic. It has grown by leaps and bonds and is on the verge to become interactive as lesson plans developed by teachers are being put online. One major limiting factor has been the lack of sustaining funding. People discuss Link other websites to Earthnet Setting up a national teachers advisory committee AGS to draft a letter suggesting they invite other societies to link to Earthnet. The following suggestions/comments/questions were made Who does Earthnet report to? The
4. SPECIAL SESSIONS AT QUÉBEC 1998
CGEN is co-sponsoring two special sessions at Québec 1998 Towards Ecotourism: a Geoscientist Perspective 1/2 day New Partners in Earth Science Education: a full day ending with a one-hour plenary session.
ACTION: Pierrette Tremblay to get in touch with Mia Boidiry from Science North for Sudbury 99 to discuss a special program on PAES.
5. EdGEO NATIONAL PROGRAM (Fran Haidl and Kathy Bergman)
Financial support was provided for 10 workshops involving 206 teachers during 1997 from Calgary to Nova Scotia. EdGEO has $22 603 in bank.
Major sponsors for 1997 were the Geological Association of Canada, the Canadian Society of Petroleum Geologists and the Canadian Geoscience Council.
Fundraising campaign is getting on a roll. Lynn Kelley has accepted responsibility for this effort. A list of potential donors is being "shortlisted". The issue is raised whether People who run workshops cannot carry-over money. They must return unused funds to the
national account. Brochures are being revised to reflect changes in policy.
Fran passed around a promotional item developed from the article published in The Reservoir that can be used for publication in newsletter of member organization. This will be used in fundraising campaign
Comments - need to include phone and fax number, e-mail address
- send as one-page ready to be published in
Explain linkage to CGC and CGEN
A draft version of the first EDGEO newsletter is circulated. It is suggested that the contents be put on internet. Discussion followed on how best to publish this newsletter.
Part-time position (120 hours a year at $15 an hour) is being created to take care of routine matters (general administration and fund raising) so that executive members can concentrate on expanding the EdGEO program.
6. Plan of action for Public Awareness of science in Canada - a discussion
**Background:**
Following the recommendations of the Barnes report, the Canadian Geoscience Council (CGC) struck four committees in May 1997 to address the main issues: Cooperation, Economic Growth, Earth Science and Public Awareness of Science. CGEN was asked to develop a plan of action for public awareness of science in Canada for CGC.
How CGEN came into being was reviewed by Godfrey Nowlan. CGEN acts as a coordinating body, offer advice, support delivery of programs at the local levels, examine curricula. We discussed how to encourage constituent societies to buy into some of the PAES programs we will identify as key programs or to develop some programs themselves.
**Some of the questions raised**
Have we fully established what other non CGC related groups are doing? The need to create linkages with other groups was mentioned.
Can we deal with the broader scale of public awareness or should we concentrate on school programs? The group felt it was perhaps overambitious at this stage to attempt more than concentrate on curriculum for K-12.
Should we work out a more aggressive approach to education and challenge industry to support these successful programs if we want to expand them on a much larger scale.
Should one of CGEN’s role be to target successful programs for expansion?
CGEN is linked to all the boxes but the boxes are not linked together. May be as a starting point we should focus on developing these links between already existing programs. As an example, EdGEO committees have been made aware of Earthnet and teachers participating in EdGEO workshops have been asked to provide lesson plans for Earthnet.
The group felt it was important to survey our member organizations and find out what they are currently doing. We cannot act as a coordinating body until we know what our member organizations are doing.
Who is involved or would like to be involved
What are they doing?
and let them know how they can help.
This compilation will allow to identify gaps and target those areas and find the tools to deal with those gaps.
There was also a discussion on whether we should put our resources into curriculum development or is it the responsibility of other bodies. CGEN had significant impact into the development of Pan Canadian Science Curriculum. Curriculum materials should be provided by provincial & local organizations.
Are we providing what teachers need?
We need to involve teachers in generating materials and passing this material along to other teachers.
After much discussion, we focussed on actions that could be achievable in steps.
**ACTIONS**
1) Compilation of active players in the area of PAES
2) Expansion of the EdGEO program across Canada
3) Support of Earthnet activities
4) Evaluation of curriculum resources (such as the BC Mining Association package)
5) Support of WAT ON EARTH as a medium for geoscientific exchange
6) Hosting of GeoSciEd IV conference in 2002
We discussed how much money would be needed to support these programs.
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Weaning or Suppressing Lactation
English
June 2021
There are many reasons why women decide not to breastfeed, are unable to breastfeed, or decide to wean after a period of breastfeeding. The reasons and timing will be different for each mother and baby.
The World Health Organization recommends exclusive breastfeeding until around six months of age, the slow introduction of family foods from around six months, and continued breastfeeding until the age of two years and beyond. However, some women need or want to suppress their breastmilk or wean before this time.
Suppression is the term used when you choose not to or are unable to breastfeed and suppress milk production at birth. Weaning is the term given to stopping breastfeeding (usually gradually) after a period of breastfeeding. (The term weaning is also sometimes used to mean the process where mothers gradually introduce their babies to family foods while continuing to breastfeed).
Weaning and suppression can cause different feelings and emotions. These can be discussed with your midwife, child and family health nurse, your GP, or an Australian Breastfeeding Association counsellor. Babies who are younger than 12 months and are not breastfeeding need a suitable cow's milk based infant formula. After 12 months, full-fat cow's milk can be given, toddler formulas are unnecessary.
Suppression after birth
Colostrum (first milk) is produced as early as 16 weeks into your pregnancy. A few days after the birth your breastmilk volume will increase even if you have decided not to breastfeed.
As breasts become full, heavy, and tender use the following methods to reduce breast discomfort:
* A comfortable, supportive bra and breast pads may be useful.
* Apply cold packs such as chilled washers or a bag of frozen peas and change them often enough to keep you comfortable. Use for about 20 minutes before removing, reapply as required.
* Limit stimulation and handling of your breasts.
* Avoid heat on breasts.
* Take paracetamol as directed to relieve pain and discomfort.
* Hand express enough milk to keep your breasts comfortable and avoid mastitis. This does not increase your supply because you are not emptying the breasts.
Gradual Weaning after a period of breastfeeding
If you have been breastfeeding and decide to wean, it is better to do it over several days or weeks rather than suddenly. This is the safest method as it allows your baby and your breasts time to adjust. It reduces the risk of engorgement, blocked ducts, and mastitis.
* Drop one feed every few days. Replace this with family foods or milk from a bottle or a cup.
* Express for comfort as necessary at this time, reducing this slowly. Watch for any signs of mastitis, such as redness, pain, or fever. If these occur, continue to express until resolved and contact a healthcare professional.
* When your breasts feel comfortable, drop another feed.
* Continue to drop feeds in this way.
* You can use this method if you return to work as it allows your baby to continue receiving
breastmilk and gives you and your baby some one-to-one time together after being apart.
* During this time some breastfeeds may be substituted with family foods, formula, or cow's milk.
* Leakage may occur for some time after the discomfort has settled.
Abrupt weaning after a period of breastfeeding
This is the sudden ending of all breastfeeds and is not recommended. You should seek the advice of your Child and Family Health Nurse, GP, Australian Breastfeeding Association Counsellor, or lactation consultant if you find it is necessary.
How to suppress if you have been expressing and bottle feeding your milk
Slowly reduce the time expressing or slowly extend the time between the expressing sessions. Express just enough to keep your breasts comfortable. This is particularly important for any mother who has been expressing by pump for more than two weeks.
Weaning a toddler or older child
* See gradual weaning method above.
* Offer alternative drinks (water or milk) in a cup and/or healthy snacks (for example fruit or cheese) at times you normally breastfeed or when your toddler or child asks for a breastfeed.
* Wear non-breastfeeding clothes; avoid clothes that show your breasts.
* Avoid sitting in your usual breastfeeding positions.
* Plan outings or activities to distract your toddler.
* Give extra cuddles and smiles.
* You may be able to gently discuss weaning with your toddler or older child.
Things to watch for
* Engorgement. This is when breasts become hard, red, shiny, and painful. Should this happen, expressing and emptying breasts once can relieve the pain. Continue to express just enough milk for comfort over several days. Delay dropping another feed until this has settled.
* Mastitis. This is a tender, inflamed area on the breast often accompanied by fever and joint aches and pains. Refer to the Mastitis leaflet and contact your midwife, Child and Family Health Nurse, Lactation Consultant, Australian Breastfeeding Association Counsellor or GP.
If you are unsure about your particular situation, seek the guidance of a healthcare professional or an Australian Breastfeeding Association Counsellor.
Resources
- Your Midwife, Child and Family Health Nurse, or Lactation Consultant
- Australian Breastfeeding Association www.breastfeeding.asn.au Helpline: 1800 686 268.
- Raising Children Network www.Raisingchildren.net.au
- Australian Infant Feeding Guidelines (2012) www.eatforhealth.gov.au
- If you need an interpreter, please call Translating and Interpreting Service (TIS) on 131 450
y
Endorsed October 2021. Reviewed by consumers in development stage October 2021.
Produced by South Eastern Sydney Local Health District
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EVENT FEATURES
Free Entry for Ladies all night long.
Party all night long. Club Timings: 6.00 PM to 3.00 AM.
Dress Code (For men): Smart casuals & No short pants.
Ticket rates are web special rates which are not available at the venue.
Unlimited SNACKS as per MENU. (10:00 pm to closing)
The Unlimited Drinks menu: (10:00 pm to closing)
Beer : Kingfisher Draught on tap or Kingfisher Premium 330 ml
Vodka : Tito's London / Absolut
Whisky: Blenders Pride / Vat69
Rum: Tito's Rum
Gin: Blue Nights
Brandy : Napoleon Double Special Reserve
Soft Drinks Coke/Sprite/ Fanta
Juices Real
TERMS & CONDITIONS
On completion of the checkout and payment process, your e-ticket will be displayed in your browser. You may either print the ticket, or have the QR code sent to your Internet-enabled smartphone. Once at the venue, Tito's Staff will ask you to produce either the printed ticket or the QR code on your phone. You are also requested to produce proof of identity (driving license, PAN card, passport, etc). Once Staff has verified your ticket as well as your identity and age, you will be allowed inside the venue. Your ticket can be used only once before expiring. Tito's allows transfer of a ticket for use on another day (subject to venue capacity); via our website or ticket counters; at no extra cost. In case of cancellations, you will be charged a standard cancellation fee of 30%, without exception. Tito's Staff reserves the right to admission at any of our venues.
Check Rules & Regulations of the Club
Spread the love
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CLOUD COMPUTING FOR LIBRARY SERVICES
Vandana Jalindar Ambhore *
* Librarian, Government Arts & Science College , Aurangabad, Maharashtra, India.
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ABSTRACT: - Today we are living in the age of information. Latest technological development has brought a dramatic change in every field, and library science is not exception to it. Library field facing many challenges in the profession due to applications of information technology, Now-a-days information is available only on online and in digital format and the need of information is high. So the librarian should use the modern technology to store the digital information in a wide number which can be retrieving by various users. Such technologies are Web 2.0, server virtualization, cloud computing etc… And this technology can be used to store more information at libraries as content creation, storage, e-learning, archives etc. Data storage is the basic task of any library; hence in this paper gives the impact of cloud computing at libraries.
KEY WORDS – Cloud computing, Cloud Computing Models, Role of cloud computing at library, its applications.
INTRODUCTION
Today in this technological era, Information is exploring in large scale and information needs of the users are also growing rapidly. To meet the peculiar information needs of the knowledge society and to provide better services libraries are adopting many new technologies. The recent technology trend in library and information centers is the use of cloud computing as a strategic tool for the purpose of providing seamless library services with quality in a cost effective or economic way. In Information technology industry cloud technology is the third revolution after Personal computer (PC) and Internet.
Cloud computing provides the user to use various applications without installation of that application in their own computer to access their personal files or official documents. Cloud computing is capable of bringing together collection of documents and resources stored in various personal computers, personal server and
Volume: 03, Issue: 05, Sept. – Oct. 2016 Pg. Nos. 092-098.
other equipment in to one place and putting them on the cloud for the use of the user community. Cloud computing is so named because the information being accessed is found in the "clouds", and does not require a user to be in a specific place to gain access to it. In this era undoubtedly Cloud Computing is one of the hottest and value added term in the field of Computing and Libraries.
WHAT IS CLOUD COMPUTING?
Cloud computing is not a new technology that suddenly appeared on the web but it is a new form of computing. Cloud computing is a kind of computing technology which facilitates in sharing the resources and services over the internet rather than having these services and resources on local servers/ nodes or personal devices. The combination of servers, networks, connection, applications and resources is defined as 'cloud'. Cloud computing is acting as a resources pooling technology for accessing infinite computing services and resources as per demand of users and can be compare with models of pay as you use or utility model same as used for mobile services usages and electricity consumption.
Cloud computing is the use of computing resources (hardware and software) that are delivered as a service over a network (typically the Internet). The name comes from the use of a cloud-shaped symbol as an abstraction for the
complex infrastructure it contains in system diagrams. Cloud computing entrusts remote services with a user's data, software and computation.
TYPES OR MODELS OF CLOUD COMPUTING:
Cloud computing is the use of computing resources (hardware and software) that are delivered as a service over a network (typically the Internet). The name comes from the use of a cloud-shaped symbol as an abstraction for the complex infrastructure it contains in system diagrams. Cloud computing entrusts remote services with a user's data, software and computation.
CLOUD COMPUTING MODELS:-
Cloud Providers offer services that can be grouped into three categories:-
1. Software as a Service (SaaS): In this model, a complete application is offered to the customer, as a service on demand. A single instance of the service runs on the cloud & multiple end users are serviced. On the customers side, there is no need for upfront investment in servers or software licenses, while for the provider, the costs are lowered, since only a single application needs to be hosted & maintained. Today SaaS is offered by companies such as Google, Sales force, Microsoft,Zoho, etc.
2. Platform as a Service (Paas): Here, a layer of software, or development environment is encapsulated & offered as a service, upon which other higher levels of service can be built. The customer has the freedom to build his own applications,which run on the provider's infrastructure. To meet manageability and scalability requirements of the applications, PaaS providers offer a predefined combination of OS and application servers, such as LAMP platform
(Linux, Apache, MySql and PHP), restricted J2EE, Ruby etc. Google s App Engine, Force.com, etc are some of the popular PaaS examples.
3. Infrastructure as a Service (Iaas): IaaS provides basic storage and computing capabilities as standardized services over the network. Servers, storage systems, networking equipment, data centre space etc. are pooled and made available to handle workloads. The customer would typically deploy his own software on the infrastructure. Some common examples are Amazon, GoGrid, 3 Tera, etc.
Also other types /Models of public cloud computing:
1. Storage as a service (STaaS)
2. Security as a service (SECaaS)
3. Data as a service (DaaS)
4. Database as a service (DBaaS)
5. Test environment as a service (TEaaS)
6. Desktop virtualization
7. API as a service (APIaaS)
8. Backend as a service (BaaS)
ROLE OF CLOUD COMPUTING IN LIBRARIES:
Cloud computing is a completely new in technology and it is known as 3rd revolution after PC and Internet. Cloud computing is an enhancement of distributed computing, parallel
computing, grid computing and distributed databases. Among these, grid and utility computing are known as predecessors of cloud computing. Cloud computing has large potential for libraries. Libraries may put more and more content into the loud. Using cloud computing user would be able to browse a physical shelf of books, CDs or DVDs or choose to take out an item or scan a bar code into his mobile device. All historical and rare documents would be scanned into a comprehensive, easily searchable database and would be accessible to any researcher. Many libraries already have online catalogues and share bibliographic data with OCLC. More frequent online catalogues are linked to consortium that share resources.
Data storage cloud be a main function of libraries, particularly those with digital collections storing large digital files can stress local server infrastructures. The files need to be backed up, maintained, and reproduced for patrons. This can strain the data integrity as well as hog bandwidth. Moving data to the cloud may be a leap of faith for some library professionals. It's a new technology and on the surface it is believed that library would have some control over this data or collections. However, with faster retrieval times for patron's requests and local server space it could improve storage solutions for libraries. Cloud computing or IT infrastructure that exists remotely , often gives users increased capacity and less need for updates and maintenance , and has gained wider acceptance among librarians.
CLOUD COMPUTING AND LIBRARIES:
In the technological era, libraries are improved constantly by adopting many new IT technologies. The theories of conventional libraries have been changed now a day. Introduction of new and innovative technologies like cloud technology helps libraries to provide better services to the user community. Though libraries have been using some of cloud computing services for over a decade like online database, large union catalogue as cloud applications, the library community can further adopt the concept of cloud computing to strengthen the power of collaboration or cooperation and to build a major, fused existence on the worldwide network.
Following are Some examples where Libraries are adopting Cloud Computing:-
1. OCLC
2. Library of Congress (LC)
3. Exlibris
4. Polaris
5. Scribd
6. Discovery Service
7. Google Docs / Google Scholar
8. Worldcat
9. Encore
ADVANTAGES OF COULD COMPUTING IN LIBRARY SERVICES
Following are the advantages of using cloud computing
1. Service oriented architecture: the cloud is provided which has access to resources,
software, networks, applications through web, which is controlled by remotely located data centres.
2. Pay per use model: it works on demand. We can demand the service for certain period
like for few days or few weeks
3. Cost effective: The resources, services, software etc are shared by group of institutions by cutting down the individual institutes cost.
Comparing to the traditional method of computing, cloud computing billing may be comparatively less
4. Portability: since the service is available over the web, the service can be availed
through browser from any part of the world
5. Eco-friendly: since it is pay for use model, consumption of electricity will be
minimum. Hence, it helps green computing
6. Adjustable storage: in the traditional system, if the server is less than what we have.
The server should be replaced with the new one. In this computing, the storage capacity can be adjusted according to the needs of the institute, since the storage is
controlled by the service provider
7. Flexible and Innovative: new technologies will be informed as and when available
with the service provider and the service utilized will be more flexible when comparing
with the traditional computing
8. Cloud OPAC: Most of the institutes in the world are having the catalogue over the
web. These catalogues are available with their institutes local server made it available over the web. If the catalogue of the institutes made it available through cloud, it will
be more benefit to the users to find out the availability of materials.
9. When the data comes to cloud, the data becomes cloud, which can be shared among
the users. The need for storage in local server, installation, maintenance and backup is removed so that the librarians can concentrate on innovative services 9.
Present Situation of Indian Libraries:-
In India, cloud computing in libraries is in development phases. Libraries are trying to provide to users cloud based services but in real sense they are not fully successful owing to the lack of good service providers and technical skills of LIS professionals in the field of library management using advanced technology. But some services such as digital libraries, web documentation and using web2.0 technologies are running on successful modes. Some good examples of successful cloud computing libraries include Dura cloud, OCLC services and Google based cloud services. Nowadays many commercial as well as open sources venders (i.e. OSS) are clubbing the cloud computing technology into their services and products.
However, cloud computing technology is not fully accepted in the Indian libraries but they are trying to develop themselves in this area.
CONCLUSION
Cloud Computing technology came up as a boon for libraries and is offering various opportunities for libraries to connect their services with cloud. From the above view it is clear that Cloud computing has brought us a new perspective to look at the current resource-sharing problem, cloud computing can be applied to digital library resources to improve information sharing capabilities, improve resource utilization Therefore, it is the time to the librarian professional to understand more about cloud services and issues to cope up with the new technology.
.
REFERENCES:-
1. Anurodh Kr, Sinha, Kalani Sonali , Biswas Mayukh , Shaw Amit Kr., and Das Subhashis . slideshare, "Cloud computing applications in libraries." Last modified 2012. Accessed Accessed March 1, 2013.
2. Nilrai Ratan Bhattacharjee and sriparna Das Purkayastha. E-Library Science Research Journal, Vol.1,Issue.7/May. 2013
3. Sanchati, Rupesh, and Gaurav Kulkarni. "Cloud computing in digital and university libraries." Global journal of computer science and technology.11.no.12 (2011): 36-41. http://globaljournals.org/GJCST_Volume11/6-
Cloud-Computing-in-Digital-andUniversity.pdf .
4. Anna Kaushik and Ashok Kumar (2013). "Application of cloud computing in libraries ". International Journal of Information Dissemination and Technology, 3(4), 270-273.
5. Arora,Deepti,Quraishi,Shabista
Quraishi,Zahira. "Application of cloud Comptibg in University Libraries. " Pioneer Journal (2011). http://pioneerjournal.in/conferences/techknowl edge/12 th -national-conferences/3654application-of-cloud-computing-inuniversitylibraries.html
6. Lakhmi Chand Goyal, Pradeep Kumar Jatav (2012). "Cloud Computing: an Overview and its Impact on Libraries ". International Journal of Next Generation Computer Applications. 1 (1).
7. Nandkishor Gosavi, Sheetal S Shinde and Bhagyashree Dhakulkar (2012). "Use Of Cloud Computing in Library and information Science field "International Journal of Digital Library Services, 2 (3), 51-60.
8. Mangai and P. Ganesan, and Kirana Kumar. D. A Perspective Study of cloud Computing in Library Services
9. Kulveen Kaur, "Moving libraries to the cloud", International Journal of Information Dissemination and Technology 4, no.1, (2013): 28-30.
10. Mayank Yuvaraj and Ajay Pratap Singh (2013), " Cloud computing research around
the globe in different universities: An overview", International Journal of Information Dissemination and Technology 3, (4), 230-235.
11. Subhash Chand and Nishi Singh (2014), "Cloud Computing and its Application in Library services "Global Journal of Multidisciplinary Studies " 3, (5,).
12. Pande,U.s. and Chaudhary ,Kavita (2014).Cloud Computing,ISBN:978-9383746-73-6,S.Chand,New Delhi.
13. Radha alias Nagalakshmi (2013),"Application of cloud computing at library and information centers ", The International Journal's Research Journal of Science & It management. 2 (5), 43 -46.
14. Cloud computing for libraries accessed from http://www.slideshare.net/weelibrarian/
Cloud- Computing- for- libraries-anintroduction.
15. M.Gopalaswamy and S.N.Kumar.Cloud computing technology: A boon for library and information services,Indian Journal of Library and Information Science (Online).
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17. Bansode S.Y.S.Y. and Pujar S.M.:Cloud Computing and Libraries ,DeSIDOC Journal of Library & Information Technology,Vol.32,No.6,November 2012,pp.506-512.
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C-Major Scale with b5th added
C. D. E F Gb G. A. B
R.
9.
3 4 b5 5.
6.
7
| -> | 1 | 4 | b7 | b3 | b6 | b2 | b5 | 7 | 3 | 6 | 2 | 5 |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | C | F | . | . | . | . | Gb | B | E | A | D | G |
| b2 | . | Gb | B | E | A | D | G | C | F | . | . | . |
| 2 | D | G | C | F | . | . | . | . | Gb | B | E | A |
| b3 | . | . | . | Gb | B | E | A | D | G | C | F | . |
| 3 | E | A | D | G | C | F | . | . | . | . | Gb | B |
| 4 | F | . | . | . | . | Gb | B | E | A | D | G | C |
| b5 | Gb | B | E | A | D | G | C | F | . | . | . | . |
| 5 | G | C | F | . | . | . | . | Gb | B | E | A | D |
| b6 | . | . | Gb | B | E | A | D | G | C | F | . | . |
| 6 | A | D | G | C | F | . | . | . | . | Gb | B | E |
| b7 | . | . | . | . | Gb | B | E | A | D | G | C | F |
| 7 | B | E | A | D | G | C | F | . | . | . | . | Gb |
M.A.M.I. Scale Atlas - Copyright 1997 Richard S. Armstrong - All rights reserved.
M.A.M.I. Bonus Scale
C Major Scale add b5th
This is not your Dad's Major Scale! The addition of Gb as a passing tone creates some really interesting melodic as well as harmonic possibilities that extend from all of its modes. You can spice up a plain old 2-5-1 progression using the b5th as melodic coloration and as a harmonic pivot to build and discharge tension within this motion. If you're sharp using M.A.M.I. you'll easily spot a great harmony based on Gb to C tritone interval: what is it?
Sample harmonies (There are many good ones!):
Use this extra tone (Gb) to break out of conventional Major patterns and licks! Play melodic lines that emphasize this tone and its interval relationships to the scale harmonies. Hear it?
Intervallic Analysis
Chordal Analysis
Visit our website: www.mamimusic.com for more info.
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Meda Pharma South Africa Meda is a leading international specialty pharma company with a broad product portfolio reaching than % of the global pharmaceutical market Sales at the end of amounted to than SEK , billion. Forum Afrique du Sud Routard Forum Afrique du Sud Le guide du routard vous propose sur son forum Afrique du Sud de poser des questions , changer des infos et des bons plans , des rflexions, des motions et des coups de gueule Afrique du Sud Afrik l actualit de l Afrique Toute l actualit de l Afrique du Sud avec afrik Articles, prsentation du pays, brves et informations, informations, revue de presse, vidos, prsentation du Kaeser Southafrica Kaeser compressors world leading Make the change to the most efficient dryer technology Reduced energy and space requirement combined with further improved specific power and lower differential pressure. Afrique du Sud FRENCH SOUTH AFRICAN CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block A, Inanda Business Park, Albertyn Ave, Sandton fsacci fsacci.co.za Widex hearing aid solutions Widex hearing aids help people hear better Widex strive to give people with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering develops bulk material handling solutions including belt cleaners, dust management solutions, industrial vibrators worldwide. Guide voyage sur l Afrique du sud, Johannesbourg, Guide voyage sur l Afrique du sud billet d avion, vol, sjour, htel, chambre d hte, tourisme porte de clic Voyage sur mesure Afrique du Sud rservez vos Envie d un voyage Afrique du Sud UnMonde vous propose des voyages sur mesure en Afrique du Sud Des vacances la carte pour dcouvrir l Afrique du Sud. quipe d Afrique du Sud de rugby XV Wikipdia La SARFU a mandat la SA Rugby Pty Ltd pour manager la branche professionnelle du rugby sud africain Ds , cette activit reprsente un chiffre d affaires de millions de rands ou millions d euros en droits de retransmission, revenus par les sponsors, ventes de tickets SA You Live, We Care Europ Assistance As we approach our th Anniversary, we are proud to be the most comprehensive Assistance Services Provider in South Africa About Us Group Structure Union d Afrique du Sud Wikipdia L Union sud africaine ou union d Afrique du Sud en anglais, Union of South Africa, en nerlandais Unie van Zuid Afrika et en afrikaans Unie van Suid Afrika est le nom donn l tat d Afrique du Sud de sa fondation en , comme dominion de la Couronne britannique, , anne de la cration de la rpublique d Afrique du Sud. Meda Pharma South Africa Meda is a leading international specialty pharma company with a broad product portfolio reaching than % of the global pharmaceutical market Sales at the end of amounted to than SEK , billion. Forum Afrique du Sud Routard Forum Afrique du Sud Le guide du routard vous propose sur son forum Afrique du Sud de poser des questions , changer des infos et des bons plans , des rflexions, des motions et des coups de gueule Afrique du Sud Afrik l actualit de l Afrique Toute l actualit de l Afrique du Sud avec afrik Articles, prsentation du pays, brves et informations, informations, revue de presse, vidos, prsentation du Kaeser Southafrica Kaeser compressors world leading Make the change to the most efficient dryer technology Reduced energy and space requirement combined with further improved specific power and lower differential pressure. Afrique du Sud FRENCH SOUTH AFRICAN CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block A, Inanda Business Park, Albertyn Ave, Sandton fsacci
Widex hearing aids help people hear better Widex strive to give people with hearing loss the same opportunity to fsacci.co.za Widex hearing aid solutions Widex hearing aids help people hear better Widex strive to give people
Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering develops bulk material handling solutions including belt cleaners, dust management solutions, industrial vibrators worldwide. Sage South Africa Software Solutions for any size Sage Business software Accounting, Payroll, HR, ERP, CRM and payments From start up dreams to global success, make Sage part of your business story. Voyage sur mesure Afrique du Sud rservez vos Envie d un voyage Afrique du Sud UnMonde vous propose des voyages sur mesure en Afrique du Sud Des vacances la carte pour dcouvrir l Afrique du Sud. quipe d Afrique du Sud de rugby XV Wikipdia La SARFU a mandat la SA Rugby Pty Ltd pour manager la branche professionnelle du rugby sud africain Ds , cette activit reprsente un chiffre d affaires de millions de rands ou millions d euros en droits de retransmission, revenus par les sponsors, ventes de tickets SA You Live, We Care Europ Assistance As we approach our th Anniversary, we are proud to be the most comprehensive Assistance Services Provider in South Africa About Us Group Structure Union d Afrique du Sud Wikipdia L Union sud africaine ou union d Afrique du Sud en anglais, Union of South Africa, en nerlandais Unie van Zuid Afrika et en afrikaans Unie van Suid Afrika est le nom donn l tat d Afrique du Sud de sa fondation en , comme dominion de la Couronne britannique, , anne de la cration de la rpublique d Afrique du Sud. Meda Pharma South Africa Meda is a leading international specialty pharma company with a broad product portfolio reaching than % of the global pharmaceutical market Sales at the end of amounted to than SEK , billion. Forum Afrique du Sud Routard Forum Afrique du Sud Le guide du routard vous propose sur son forum Afrique du Sud de poser des questions , changer des infos et des bons plans , des rflexions, des motions et des coups de gueule Afrique du Sud Afrik l actualit de l Afrique Toute l actualit de l Afrique du Sud avec afrik Articles, prsentation du pays, brves et informations, informations, revue de presse, vidos, prsentation du Kaeser Southafrica Kaeser compressors world leading Make the change to the most efficient dryer technology Reduced energy and space requirement combined with further improved specific power and lower differential pressure. Afrique du Sud FRENCH SOUTH AFRICAN CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block A, Inanda Business Park, Albertyn Ave, Sandton fsacci fsacci.co.za Widex hearing aid solutions Widex hearing aids help people hear better Widex strive to give people with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering develops bulk material handling solutions including belt cleaners, dust management solutions, industrial vibrators worldwide. Sage South Africa Software Solutions for any size Sage Business software Accounting, Payroll, HR, ERP, CRM and payments From start up dreams to global success, make Sage part of your business story. Carboline Home Products Carboline offers a comprehensive line of high performance coatings, linings, and fireproofing products that solve real world problems and offer real benefits. quipe d Afrique du Sud de rugby XV Wikipdia L quipe d Afrique du Sud de rugby XV est l quipe qui reprsente l Afrique du Sud dans les principales comptitions internationales de rugby XV En raison de son palmars, elle est considre comme l une des meilleures slections nationales au monde Au octobre , elle est troisime au classement des quipes nationales You Live, We Care Europ Assistance As we approach our th Anniversary, we are proud to be the most comprehensive Assistance Services Provider in South Africa About Us Group Structure Union d Afrique du Sud Wikipdia L Union sud africaine ou union d Afrique du Sud en anglais, Union of South Africa, en nerlandais Unie van Zuid Afrika et en afrikaans Unie van Suid Afrika est le nom donn l tat d Afrique du Sud de sa fondation en , comme dominion de la Couronne britannique, , anne de la cration de la rpublique d Afrique du Sud L union d Afrique du Sud Meda Pharma South Africa Meda is a leading international specialty pharma company with a broad product portfolio reaching than % of the global pharmaceutical market Sales at the end of amounted to than SEK , billion. Forum Afrique du Sud Routard Forum Afrique du Sud Le guide du routard vous propose sur son forum Afrique du Sud de poser des questions , changer des infos et des bons plans , des rflexions, des motions et des coups de gueule La rponse votre question Afrique du Sud s y trouve srement dj Afrique du Sud Afrik l actualit de l Afrique Toute l actualit de l Afrique du Sud avec afrik Articles, prsentation du pays, brves et informations, informations, revue de presse, vidos, prsentation du Kaeser Southafrica Kaeser compressors world leading Make the change to the most efficient dryer technology Reduced energy and space requirement combined with further improved specific power and lower differential pressure. Afrique du Sud FRENCH SOUTH AFRICAN
with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa
CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block A, Inanda Business better Widex strive to give people with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide Our purpose is to advance the rule of law around the world. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering develops bulk material handling solutions including belt cleaners, dust management solutions, industrial vibrators worldwide. Sage South Africa Software Solutions for any size Sage Business software Accounting, Payroll, HR, ERP, CRM and payments From start up dreams to global success, make Sage part of your business story. Carboline Home Locations Carboline s global network of industrial service centers and distribution points are strategically located around the world to provide the highest level of customer service and support for your project. Precia Molen A leading specialist for industrial PRECIA MOLEN NEW i TOUCH Weighing Terminal PRECIA MOLEN s latest indicator is coming to the French market on the th of March, and scheduled for worldwide launch on September . You Live, We Care Europ Assistance As we approach our th Anniversary, we are proud to be the most comprehensive Assistance Services Provider in South Africa About Us Group Structure Union d Afrique du Sud Wikipdia L Union sud africaine ou union d Afrique du Sud en anglais, Union of South Africa, en nerlandais Unie van Zuid Afrika et en afrikaans Unie van Suid Afrika est le nom donn l tat d Afrique du Sud de sa fondation en , comme dominion de la Couronne britannique, , anne de la cration de la rpublique d Afrique du Sud. Meda Pharma South Africa Meda is a leading international specialty pharma company with a broad product portfolio reaching than % of the global pharmaceutical market Sales at the end of amounted to than SEK , billion. Forum Afrique du Sud Routard Forum Afrique du Sud Le guide du routard vous propose sur son forum Afrique du Sud de poser des questions , changer des infos et des bons plans , des rflexions, des motions et des coups de gueule Afrique du Sud Afrik l actualit de l Afrique Toute l actualit de l Afrique du Sud avec afrik Articles, prsentation du pays, brves et informations, informations, revue de presse, vidos, prsentation du Kaeser Southafrica Kaeser compressors world leading Make the change to the most efficient dryer technology Reduced energy and space requirement combined with further improved specific power and lower differential pressure. Afrique du Sud FRENCH SOUTH AFRICAN CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block A, Inanda Business Park, Albertyn Ave, Sandton fsacci fsacci.co.za Widex hearing aid solutions Widex hearing aids help people hear better Widex strive to give people with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering develops bulk material handling solutions including belt cleaners, dust management solutions, industrial vibrators worldwide. Sage South Africa Software Solutions for any size Sage Business software Accounting, Payroll, HR, ERP, CRM and payments From start up dreams to global success, make Sage part of your business story. Carboline Home Products Carboline offers a comprehensive line of high performance coatings, linings, and fireproofing products that solve real world problems and offer real benefits. Precia Molen A leading specialist for industrial Our Weighing Instruments and Systems are designed to meet all your business specifications from . mg to ton ranges, we cover all professional needs. Afrique du Sud actualit en temps rel AFRICAIN.INFO Afrique du Sud, Afrique toute l actualit dans la presse et les journaux africains. Union d Afrique du Sud Wikipdia L Union sud africaine ou union d Afrique du Sud en anglais, Union of South Africa, en nerlandais Unie van Zuid Afrika et en afrikaans Unie van Suid Afrika est le nom donn l tat d Afrique du Sud de sa fondation en , comme dominion de la Couronne britannique, , anne de la cration de la rpublique d Afrique du Sud L union d Afrique du Sud Meda Pharma South Africa Meda is a leading international specialty pharma company with a broad product portfolio reaching than % of the global pharmaceutical market Sales at the end of amounted to than SEK , billion. Forum Afrique du Sud Routard Forum Afrique du Sud Le guide du routard vous propose sur son forum Afrique du Sud de poser des questions , changer des infos et des bons plans , des rflexions, des motions et des coups de gueule La rponse votre question Afrique du Sud s y trouve srement dj Afrique du Sud Afrik l actualit de l Afrique Carlos Carvalho, un cinaste sud africain, a t tu par une girafe alors qu il filmait dans une rserve prs de Johannesburg, a dclar le responsable du parc, ajoutant que le cinaste tait mort aprs Kaeser Southafrica Kaeser compressors world leading KAESER KOMPRESSOREN is one of the largest and most successful suppliers of air systems, with over employees worldwide Our primary goal is providing exceptional customer service coupled with innovative products and progressive system solutions. Afrique du Sud FRENCH
Park, Albertyn Ave, Sandton fsacci fsacci.co.za Widex hearing aid solutions Widex hearing aids help people hear
SOUTH AFRICAN CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block aids help people hear better Widex strive to give people with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide Our purpose is to advance the rule of law around the world. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering has always been the undisputed leader in bulk material handling solutions.Since our founder invented the ball vibrator over years ago, we have pioneered the development and application of industry changing belt cleaning solutions, transfer point solutions, flow aid solutions, dust management solutions and industrial vibration Sage South Africa Software Solutions for any size Sage Business Cloud Sage Business Cloud is all you ll ever need to help your small or medium sized business grow faster Accounting Small business essentials, with invoicing Available on all devices. Carboline Home Locations Carboline s global network of industrial service centers and distribution points are strategically located around the world to provide the highest level of customer service and support for your project. Precia Molen A leading specialist for industrial PRECIA MOLEN NEW i TOUCH Weighing Terminal PRECIA MOLEN s latest indicator is coming to the French market on the th of March, and scheduled for worldwide launch on September . Afrique du Sud actualit en temps rel AFRICAIN.INFO En Afrique du sud, la famille Zuma est dfinitivement dans le ptrin En plus des dboires de l ancien president, Jacob Zuma, c est Home Ambassade d Afrique du Sud en France Site officiel de l ambassade d Afrique du Sud Paris Informations touristiques, administratives et conomiques, service consulaire, service des visas, infos pratiques Meda Pharma South Africa Meda is a leading international specialty pharma company with a broad product portfolio reaching than % of the global pharmaceutical market Sales at the end of amounted to than SEK , billion. Forum Afrique du Sud Routard Forum Afrique du Sud Le guide du routard vous propose sur son forum Afrique du Sud de poser des questions , changer des infos et des bons plans , des rflexions, des motions et des coups de gueule La rponse votre question Afrique du Sud s y trouve srement dj Afrique du Sud Afrik l actualit de l Afrique Carlos Carvalho, un cinaste sud africain, a t tu par une girafe alors qu il filmait dans une rserve prs de Johannesburg, a dclar le responsable du parc, ajoutant que le cinaste tait mort aprs Kaeser Southafrica Kaeser compressors world leading KAESER KOMPRESSOREN is one of the largest and most successful suppliers of air systems, with over employees worldwide Our primary goal is providing exceptional customer service coupled with innovative products and progressive system solutions. Afrique du Sud FRENCH SOUTH AFRICAN CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block A, Inanda Business Park, Albertyn Ave, Sandton fsacci fsacci.co.za Widex hearing aid solutions Widex hearing aids help people hear better Widex strive to give people with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide Our purpose is to advance the rule of law around the world. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering has always been the undisputed leader in bulk material handling solutions.Since our founder invented the ball vibrator over years ago, we have pioneered the development and application of industry changing belt cleaning solutions, transfer point solutions, flow aid solutions, dust management solutions and industrial vibration Sage South Africa Software Solutions for any size Sage Business Cloud Sage Business Cloud is all you ll ever need to help your small or medium sized business grow faster Accounting Small business essentials, with invoicing Available on all devices. Carboline Home Locations Carboline s global network of industrial service centers and distribution points are strategically located around the world to provide the highest level of customer service and support for your project. Precia Molen A leading specialist for industrial PRECIA MOLEN NEW i TOUCH Weighing Terminal PRECIA MOLEN s latest indicator is coming to the French market on the th of March, and scheduled for worldwide launch on September . Afrique du Sud actualit en temps rel AFRICAIN.INFO En Afrique du sud, la famille Zuma est dfinitivement dans le ptrin En plus des dboires de l ancien president, Jacob Zuma, c est Home Ambassade d Afrique du Sud en France Site officiel de l ambassade d Afrique du Sud Paris Informations touristiques, administratives et conomiques, service consulaire, service des visas, infos pratiques Welcome to South Africa Alive with Possibilities South African portal in New York City Site developed and maintained by Cymbeline Rodriguez Forum Afrique du Sud Routard Forum Afrique du Sud Le guide du routard vous propose sur son forum Afrique du Sud de poser des questions , changer des infos et des bons plans , des rflexions, des motions et des coups de gueule La rponse votre question Afrique du Sud s y trouve srement dj
A, Inanda Business Park, Albertyn Ave, Sandton fsacci fsacci.co.za Widex hearing aid solutions Widex hearing
Afrique du Sud Afrik l actualit de l Afrique Carlos Carvalho, un cinaste sud africain, a t tu par une girafe alors qu il
Kaeser Southafrica Kaeser compressors world leading KAESER KOMPRESSOREN is one of the largest and most successful suppliers of air systems, with over employees worldwide Our primary goal is providing exceptional customer service coupled with innovative products and progressive system solutions. Afrique du Sud FRENCH SOUTH AFRICAN CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block A, Inanda Business Park, Albertyn Ave, Sandton fsacci fsacci.co.za Widex hearing aid solutions Widex hearing aids help people hear better Widex strive to give people with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide Our purpose is to advance the rule of law around the world. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering has always been the undisputed leader in bulk material handling solutions.Since our founder invented the ball vibrator over years ago, we have pioneered the development and application of industry changing belt cleaning solutions, transfer point solutions, flow aid solutions, dust management solutions and industrial vibration Sage South Africa Software Solutions for any size Sage Business Cloud Sage Business Cloud is all you ll ever need to help your small or medium sized business grow faster Accounting Small business essentials, with invoicing Available on all devices. Carboline Home Locations Carboline s global network of industrial service centers and distribution points are strategically located around the world to provide the highest level of customer service and support for your project. Precia Molen A leading specialist for industrial PRECIA MOLEN NEW i TOUCH Weighing Terminal PRECIA MOLEN s latest indicator is coming to the French market on the th of March, and scheduled for worldwide launch on September . Afrique du Sud actualit en temps rel AFRICAIN.INFO En Afrique du sud, la famille Zuma est dfinitivement dans le ptrin En plus des dboires de l ancien president, Jacob Zuma, c est Home Ambassade d Afrique du Sud en France Site officiel de l ambassade d Afrique du Sud Paris Informations touristiques, administratives et conomiques, service consulaire, service des visas, infos pratiques Welcome to South Africa Alive with Possibilities South African portal in New York City Site developed and maintained by Cymbeline Rodriguez Renault Range Renault South Africa Deal is subject to the approval terms and conditions of Renault Financial Services A product of WesBank A division of FirstRand Bank Limited An Authorised Financial Services and Credit Provider. Afrique du Sud Afrik l actualit de l Afrique Toute l actualit de l Afrique du Sud avec afrik Articles, prsentation du pays, brves et informations, informations, revue de presse, vidos, prsentation du Kaeser Southafrica Kaeser compressors world leading Make the change to the most efficient dryer technology Reduced energy and space requirement combined with further improved specific power and lower differential pressure. Afrique du Sud FRENCH SOUTH AFRICAN CHAMBER OF FSACCI Contact us Visit us FSACCI New Offices Capago Visa Centre Block A, Inanda Business Park, Albertyn Ave, Sandton fsacci fsacci.co.za Widex hearing aid solutions Widex hearing aids help people hear better Widex strive to give people with hearing loss the same opportunity to communicate as those with normal hearing. LexisNexis South Africa Home LexisNexis South Africa is a leading provider of content and technology solutions, and part of RELX, a major publisher and information provider that serves customers in than countries with than , employees worldwide. Martin Eng Bulk Material Handling Solutions Belt Martin Engineering develops bulk material handling solutions including belt cleaners, dust management solutions, industrial vibrators worldwide. Sage South Africa Software Solutions for any size Sage Business software Accounting, Payroll, HR, ERP, CRM and payments From start up dreams to global success, make Sage part of your business story. Carboline Home Products Carboline offers a comprehensive line of high performance coatings, linings, and fireproofing products that solve real world problems and offer real benefits. Precia Molen A leading specialist for industrial Our Weighing Instruments and Systems are designed to meet all your business specifications from . mg to ton ranges, we cover all professional needs. Afrique du Sud actualit en temps rel AFRICAIN.INFO Afrique du Sud, Afrique toute l actualit dans la presse et les journaux africains. Home Ambassade d Afrique du Sud en France Site officiel de l ambassade d Afrique du Sud Paris Informations touristiques, administratives et conomiques, service consulaire, service des visas, infos pratiques Welcome to South Africa Alive with Possibilities South African portal in New York City Site developed and maintained by Cymbeline Rodriguez Renault Range Renault South Africa Check out the whole range of Renault cars Captur, Clio, Duster, Kadjar, Kangoo, Kwid, Megane, Sandero Trafic Visit Renault Malta and choose your favourite model. Afrique du Sud Cuisine, gastronomie et boissons Cuisine, spcialits gastronomiques et plats emblmatiques goter Afrique du Sud, mais aussi boissons, vins et alcools locaux.
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Royal® Building Products
Color Trend of the Year
This is what it looks like to be endlessly cool and deeply wise. To depict our nature-inspired Color Trend of the Year, Slatescape, through a color we call Storm. Let it serve as both centerpiece and complementary element to build your palettes and dreams. Use the succeeding pages to peek into all the ways you can use Storm and its color conspirators to emanate calm and build drama.
Some palettes embrace you like family, while gently spurring you to take chances. That perfectly describes our Majesty palette—balancing the cool and the warm, the stately and the heroic, the neutral and the extroverted.
- **Storm**
- Portsmouth™ DT® Shingles
- **Pebble Clay**
- Trim
- Columns
- **Sand**
- Royal® Board & Batten
- **Redwood**
- Plant Door
- Garage Door
Our Forest palette organically brings the natural world home—by combining comforting earth tones with our lead Storm color. It translates into curb appeal that resonates with home styles of virtually every variety.
- **Storm**
- Haven® D6™ Traditional
- Haven® Board & Batten
- **Granite**
- Haven® D6™ Traditional
- Haven® Board & Batten
- **White**
- Trim
- **Green**
- Shutters
- Front Door
This crisply balanced, refreshing combination of dark and bright colors quenches the thirst for contemporary—lending a sophisticated presence to home styles ranging from Cape Cod to Craftsman to Eclectic.
- **Storm**
- Portsmouth™ Hand-Split Shake
- Haven® D7™ Traditional
- **Midnight Surf**
- Haven® D7™ Traditional
- **Royal**
- Shutters
- **White**
- Garage Door Trim
- **Blue Gray**
- Front Door
In our Alpine Lake palette, Yellow Birch lends a sunny disposition to Storm and Blue Gray. It’s a great way to liven up a Traditional, or any other home style for that matter.
- **Storm**
- Royal® Board & Batten Trim
- Columns
- **Blue Gray**
- Royal® Estate DSD Garage Doors
- **Yellow Birch**
- Front Door
Our carefully chosen palette of bold, dark color, along with warm and cool neutrals proves one thing: when it comes to curb appeal, contrasts are worth celebrating.
- **Storm**
Woodland D45 Traditional
- **Pebble Clay**
Portsmouth™ Half Rounds
- **Urban Bronze**
Titan
- **Rockslide**
Front Door
Garage Door
Color can be cool and invigorating, especially with our Coastal palette. Here, bold Storm and Marine Blue play a curb-appealing counterpoint to White trim, creating a starkly beautiful highlighter effect.
Storm
Portsmouth™ D7 Shingles
Marine Blue
Portsmouth™ D7 Shingles
White
Columns
Trim
Design Accents: How Color Makes Itself at Home
Color schemes—whether derived from our Color Trend of the Year or anywhere else—inspire virtually every part of your home. Roof gables, entry areas, garages and landscaping all benefit from a complementary, curb appealing love of color.
Need inspiration? Start here.
Grace your gables
Give your gables the attention they deserve. Apply a deep, refreshing shade from our palette that plays well with our hero Storm color.
Dress your doors
Your front door is more than a passageway. It’s an opportunity to add flashes of compelling curb appeal with displays of bold color.
Wow your windows
Windows were created to be highlighted, so choose color that pops off either your main or accent siding color. Be brave and go with a bold shade in the shutters.
“Slatescape evokes boundless depths of sophistication, taking on a fresh mood with each change of light and complementary element.”
– Kriss Swint, Director, Interactive Strategy & Design
FOR MORE COLOR TREND OF THE YEAR INSPIRATION, VISIT ROYALBUILDINGPRODUCTS.COM/COLORTRENDOFTHEYEAR
Product Guide
Each siding style contributes to curb appeal in its own way. See how different textures and characteristics harmonize with home architecture types to work their magic.
Traditional
Its versatility works beautifully with any home style and complements any color palette. Narrow and wide faces reveal subtle shadow lines.
Dutchlap
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Brings dramatically textured, rustic ambience to a variety of coastal home styles.
Design Tools and Inspiration
HomePlay™
Design elements often wander around your head before they work their way onto your home. Our HomePlay™ virtual design tool lets you arrange and rearrange colors, textures and looks long before you make a remodeling move. Visit HomePlayByRoyal.com.
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Royal® Building Products exists for one reason: to push the limits of what every type of exterior can be. We strive for best-in-class manufacturing and industry-leading innovation. What drives us? Every homeowner who demands exteriors that add value, perform impeccably, look amazing and make their lives easier. Our goal is to bring more products, more styles, more technology, more design insight and more sustainable solutions to the attention of everyone who cares about creating the best exterior possible. Build Royal™
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40-HOUR PROFESSIONAL MEDIATION TRAINING PROGRAM
SYNOPSIS:
This highly interactive forty-hour mediation training program is designed to acquaint adult learners with the philosophy, concepts, process model and specific behavioral skills needed to have a working knowledge of the role of a neutral mediator. The course material is presented through a variety of modalities including lecture, discussion, demonstration, small group activities and exercises, and participant role-plays with instructor and peer feedback. The concepts and skills taught in this training are easily transferable and are designed to improve communication and enhance relationships in all settings.
LEARNING OBJECTIVES:
By the end of 40 contact hours participants will:
- be familiar with pertinent laws including RCW 7.75 and the Uniform Mediation Act
- be familiar with the origins and widespread application of community-based mediation
- understand the practical uses of mediation as one model for dispute resolution
- understand case development and conciliation
- understand the principles of interest-based negotiation
- understand the role and ethics of serving as an impartial third party
- gain fluency and understanding of the impact of oppression and privilege on mediation
- understand conflict theory and styles and the anger arousal cycle
- be able to manage the heightened emotional climate during conflict between disputants
- perform basic and advanced mediation and facilitation communication skills
- perform the role of impartial mediator through all 8 stages of the mediation model
- develop specific skills for dealing with power imbalances
- understand the dynamics of co-mediation
PRACTICUM AND CERTIFICATION PROGRAM:
The DRC offers a practicum program for those who have completed our 40-Hour Professional Mediation Training and wish to continue building their skills. This program, offered to graduates for a reduced rate of $50, includes the following steps:
- Observation of seven (7) or more full mediation cases.
- Completion of a take-home, open book exam.
- Completion of a mock mediation with a co-mediator at the same level of training, with coaching and feedback from DRC staff.
- Completion of twelve (12) or more hours of additional education.
- Co-mediation of eight (8) or more full mediation cases with DRC Certified Mediators. Lead mediators mentor and evaluate mediators-in-training.
- Certification upon approval of staff and lead mediators.
Those who wish to enter our practicum program but have taken mediation training elsewhere are charged a fee of $175. Prior training is evaluated on a case by case basis to determine if it is comparable to ours. If the training is deemed comparable, the prospective trainee must complete our written exam (we do accept the University of Washington exam), before entering the practicum. Participants who join our practicum are eligible for discounts on future training offered by the DRC.
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LESSON PLAN: BS-M101(Mathematics-1A for CSE & IT)
Module-I
CALCULUS (INTEGRATION) (8 lectures)
CONTENTS
Calculus (Integration):
Evolutes and involutes; Evaluation of definite and improper integrals; Beta and Gamma functions and their properties; Applications of definite integrals to evaluate surface areas and volumes of revolutions.
Module Objectives:
Broad Objectives of this module is to i)
learn evaluation techniques and use of integrals.
Module-II CALCULUS (Differentiation) (6 lectures)
CONTENTS
Calculus (Differentiation):
Rolle's Theorem, Mean value theorems, Taylor's and Maclaurin theorems with remainders; indeterminate forms and L'Hospital's rule; Maxima and minima.
Broad Objectives of this module is:
i) Solve and model many core engineering problems with applications of one variable differential calculus.
Tutorial Assignment—2
Module-III
Matrices [ 7 Lectures]
CONTENTS
Matrices:
Matrices, vectors: addition and scalar multiplication, matrix multiplication; Linear systems of equations, linear Independence, rank of a matrix, determinants, Cramer's Rule, inverse of a matrix, Gauss elimination and Gauss-Jordan elimination.
Broad Objectives of this module is:
i) Acquire knowledge of matrices and determinants and its evaluation
ii) to learn and apply techniques of matrices to find solution of system of equations.
Module-IV Vector Spaces: (9 lectures)
CONTENTS
Vector Spaces:
Vector Space, linear dependence of vectors, basis, dimension; Linear transformations (maps), range and kernel of a linear map, rank and nullity, Inverse of a linear transformation, rank-nullity theorem, composition of linear maps, Matrix associated with a linear map.
Broad Objectives of this module is to be
1. familiar with the linear spaces, its basis and dimension
2. to learn and apply the technique of linear transformation and its associated matrix form for solving system of linear equations.
Module-V Vector Spaces (Continued)(10 lectures)
CONTENTS
Vector Spaces:
Eigenvalues, eigenvectors, symmetric, skew-symmetric, and orthogonal Matrices, eigenbases.
Diagonalization; Inner product spaces, Gram-Schmidt orthogonalization.
Broad Objectives of this module is to:
iii) Acquire knowledge of eigen values and eigen vectors for symmetric, skew-symmetric and orthogonal matrices.
iv) to learn and apply techniques of diagonalization for solving problems.
v) to learn and apply techniques of orthogonalization for solving problems.
LESSON PLAN OF MATHEMATICS 1B ( BS-M102) For all streams except CSE & IT
Module-I
CALCULUS (INTEGRATION) (8 lectures)
CONTENTS
Calculus (Integration):
Evolutes and involutes; Evaluation of definite and improper integrals; Beta and Gamma functions and their properties; Applications of definite integrals to evaluate surface areas and volumes of revolutions.
Module Objectives:
Broad Objectives of this module is to learn evaluation techniques and use of integrals.
Module-II
CALCULUS (Differentiation) (6 lectures)
CONTENTS
Calculus (Differentiation):
Rolle's Theorem, Mean value theorems, Taylor's and Maclaurin's theorems with remainders; Indeterminate forms and L'Hospital's rule; Maxima and minima.
Broad Objectives of this module is:
i) Solve and model many core engineering problems with applications of differential calculus of one variable.
Module-III
Sequence and Series [ 11 Lectures]
CONTENTS
Sequence and Series:
Convergence of sequence and series, tests for convergence; Power series, Taylor's series, series for exponential, trigonometric and logarithm functions; Fourier series: Half range sine and cosine series, Parseval's theorem.
Broad Objectives of this module is to:
i) learn and apply techniques of convergence of infinite series.
ii) know methods of finding series expansion of standard continuous function in Power series form.
iii) know techniques for finding Fourier series expansion of continuous/discontinuous function with given periodicity and its applications.
Module-IV
Multivariate Calculus (Differentiation): (9 lectures)
CONTENTS
Multivariate Calculus:
Limit, continuity and partial derivatives, directional derivatives, total derivative; Tangent plane and normal line; Maxima, minima and saddle points; Method of Lagrange multipliers; Gradient, curl and divergence.
Broad Objectives of this module is to
1. be familiar with limit, continuity and differentiability of function of two variable.
2. learn and apply techniques of calculus of multivariate function for finding extrema.
3. be familiar with the calculus of vector valued function.
Module-V
Matrices (8 lectures)
CONTENTS
Matrices:
Inverse and rank of a matrix, rank-nullity theorem; System of linear equations; Symmetric, skew-symmetric and orthogonal matrices; Determinants; Eigenvalues and eigenvectors; Diagonalization of matrices; Cayley-Hamilton Theorem, and Orthogonal transformation.
Broad Objectives of this module is to:
i) acquire knowledge of matrices and determinants and its evaluation.
ii) to learn and apply techniques of matrices to find solution of system of equations.
LESSON PLAN OF MATHEMATICS-IIA (BS-M201) For CSE & IT
Module-I
BASIC PROBABILITY: (11 Lectures)
CONTENTS:
Basic Probability: Probability spaces, conditional probability, independence; Discrete random variables, Independent random variables, the multinomial distribution, Poisson approximation to the binomial distribution, infinite sequences of Bernoulli trials, sums of independent random variables; Expectation of Discrete Random Variables, Moments, Variance of a sum, Correlation coefficient, Chebyshev's Inequality.
Module Objectives:
Broad Objectives of this module is to
i) learn basic concepts of probability, discrete random variables and some associated distributions.
ASSIGNMENT ON MODULE-1
Module-II Continuous Probability Distributions: (4 lectures)
CONTENTS
Continuous random variables and their properties, distribution functions and densities, normal, exponential and gamma densities.
Broad Objectives of this module is to:
i) learn about the concept of continuous random variables and some corresponding distributions.
ASSIGNMENT ON MODULE-II
Module-III Bivariate Distributions: (5 lectures)
CONTENTS
Bivariate distributions and their properties, distribution of sums and quotients, conditional densities, Bayes' rule.
Broad Objectives of this module is to:
i) learn about the joint and conditional probability distribution of two random variables.
ASSIGNMENT ON MODULE-III
Module-IV Basic Statistics (8 lectures)
CONTENTS
Basic Statistics:
Measures of Central tendency, Dispersion, Moments, skewness and Kurtosis, Probability distributions: Binomial, Poisson and Normal and evaluation of statistical parameters for these three distributions, Correlation and regression – Rank correlation.
Broad Objectives of this module is to be
1. Familiar with frequency distribution and basic measures of central tendency, dispersion and correlation from given data sets.
ASSIGNMENT ON MODULE-IV
Module-V
Applied Statistics (8 lectures)
CONTENTS
Applied Statistics:
Curve fitting by the method of least squares- fitting of straight lines, second degree parabolas and more general curves. Test of significance: Large sample test for single proportion, difference of proportions, single mean, difference of means, and difference of standard deviations.
i) learn and apply different statistical techniques to the given data set.
Broad Objectives of this module is to
Sampling Distributions:
ASSIGNMENT ON MODULE-V
Module-VI
Small Samples (4 lectures)
CONTENTS
Small samples:
Test for single mean, difference of means and correlation coefficients, test for ratio of variances - Chisquare test for goodness of fit and independence of attributes.
Broad Objectives of this module is to
ii) learn and apply different statistical techniques to the given data set using small sized samples.
ASSIGNMENT ON MODULE-VI
LESSON PLAN OF MATHEMATICS-IIB (BS-M202) for all sreams except CSE & IT
Module-I
MULTIVARIATE CALCULUS (INTEGRATION) (11 lectures)
CONTENTS
Multiple Integration: Double integrals (Cartesian), change of order of integration in double integrals, Change of variables (Cartesian to polar), Applications: areas and volumes, Center of mass and Gravity (constant and variable densities); Triple integrals (Cartesian), orthogonal curvilinear coordinates, Simple applications involving cubes, sphere and rectangular parallelepipeds; Scalar line integrals, vector line integrals, scalar surface integrals, vector surface integrals, Theorems of Green, Gauss and Stokes.
Multivariate Calculus (Integration):
Module Objectives:
Broad Objectives of this module is to
i) learn evaluation techniques and use of multiple integrals.
ASSIGNMENT ON MODULE-1
Module-II
Ordinary Differential equation- [ODE] [5 Lectures]
[1 st Order-1 st Degree] & [1 st Order-Higher Degree]
CONTENTS
First order ordinary differential equations:
Exact, linear and Bernoulli's equations; Equations not of first degree: equations solvable for p, equations solvable for y, equations solvable for x and Clairaut's type.
Broad Objectives of this module is to:
i) model many core engineering problems with applications of ODE of first order first degree and first order higher degree and its techniques of solution.
Module-III
Higher order linear ordinary differential equations [ 9 Lectures]
CONTENTS
Ordinary differential equations of higher orders:
Second order linear differential equations with constant coefficients, Use of Doperators, Second order linear differential equations with variable coefficients, method of variation of parameters, Cauchy-Euler equation; Power series solutions; Legendre polynomials, Bessel functions of the first kind and their properties.
Broad Objectives of this module is to:
i) learn and apply techniques of solutions of higher order differential equations (with constant/variable coefficients).
ii) know methods of finding power series solutions of higher order ODE with special reference to Legendre's and Bessel's equations.
ASSIGNMENT ON MODULE-III
Module-IV Complex Variable – Differentiation: (6 lectures)
CONTENTS
Differentiation of complex functions, Cauchy-Riemann equations, analytic functions, harmonic functions, finding harmonic conjugate; elementary analytic functions (exponential, trigonometric, logarithmic) and their properties; Conformal mappings, Mobius transformations and their properties.
Broad Objectives of this module is to be
1. familiar with differentiability of complex functions at a point and also in a region and related topics.
2. familiar with different types of mappings or transformations.
Topics of Discussion
Lecture
ASSIGNMENT ON MODULE-IV
Module-V
Complex Variable – Integration: (8 lectures)
CONTENTS
Contour integrals, Cauchy-Goursat theorem (without proof), Cauchy Integral formula (without proof), Liouville's theorem and Maximum-Modulus theorem (without proof); Taylor's series, zeros of analytic functions, singularities, Laurent's series; Residues, Cauchy Residue theorem (without proof), Evaluation of definite integral involving sine and cosine, Evaluation of certain improper
integrals using the Bromwich contour.
Broad Objectives of this module is to:
i) Acquire knowledge of contour integration and its evaluation
ii) Learn evaluation techniques of some particular real definite integrals using contour integration.
ASSIGNMENT ON MODULE-V
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The Bass Player
Chapter 1
By Drake Koefoed
Keith Thomas left the band when they refused to pay him. He headed for New Orleans with all his stuff in the car, and a pint of whiskey on the seat next to him. Somewhere in West Texas, he nodded off. He hit a drain inlet, and his car went straight where the road turns. It turned over and landed in what is, in Texas, the bar ditch.
He crawled out the passenger side window, and tried to figure out what to do.
"You all right, cowboy?"
"I think."
"What do they call you?"
"Keith Thomas."
"Know where you are?"
"Texas."
"This is Blue Cat, Texas, and I am Len Williams, Chief of Police."
"Am I in trouble?"
"You just wrecked your car. If that isn't trouble to you, then no."
"What do I do from here?"
"Well, get your car towed and find somewhere to stay."
"OK, who tows cars?"
"I can't recommend any towing company. I can tell you there is only one in town, which is Marie Williams towing. She will probably charge you $100 to take it to her yard at our ranch. We don't charge no storage, and if you don't have the money, make yourself worth $8 an hour and work it off."
"Can you call her?"
"I can, but that's the wrecker right there."
Marie parked her wrecker. She said the Spanish equivalent of "Oh, heck", uh, kind of.
Keith answered in Spanish, "My poor little car. Auntie, I need to get my bass out before you turn it over."
Marie said, "You'd better. This town is already short a bass player."
Keith went down to the car, and reached in and got his bass. He came back up.
"I can loop it with my cables and turn it over, but I would scratch it up."
```
"So what should we do?" "Is it any good anyway?" "No." "So we just get it to the ranch, and maybe get some parts off it? I might give you 200 for it." "Let's turn it over. I may need to drive it to New Orleans if it will run." She went down with the cables and looped them over the car and back to the axle housings. "It probably will, but it won't impress the girls." She flipped the car and hooked it up. "We see you at the house, then, Len, when you finish your shift." "Keep your radio on." "Am I still on call?" "Until 0200, Williams." They got in the truck. "I'm a cop, too." "Good gig?" "Totally sucks. What you gonna do in New Orleans?" "Fish for a new gig. My band shafted me on money, and to tell you the truth, they play like crap anyway, so." "I'm gonna put you in the spare room and put your car in the yard. You got a bill for me for the tow?" "I have about 80."
```
"Forget it. I don't take anyone's last dime. You can take parts off cars, chop cotton or something" "Sure." "Want to meet the band that needs a bass?" "Sure." "Let me call the band if you are up to it." "I will be." "You play country?" "Mostly rock." "Who you like in country?" "Oh, Willie Nelson, Juice Newton, Johnny Cash." She picked up a headset, and hit a speed dial. "Hey, Bert. Got a bass player here who, the only thing I know about him is he crashed his car in the ditch. Likes Willie. I should bring him by?" She threw the headphone back in the console. "She says yes. Bertha McCall. She is the lead singer, bandleader, and lead guitar. Her drummer is Sammy Alvin Dane." "I know Sammy Alvin from long ago. He is a good player." They pulled into an auto body shop. "If you have some alcohol in your car, take it with you. Bert will call me at 0200 and I will come get you."
"Great." He got his pint bottle from the car, and went into the body shop with his bass. Bert looked up. "You got a bass. Can you play it?" Sammy said, "He can."
She played a lead in to 'on the road again' and they played it. She started a Kenny Rogers tune, but Keith waved it off. "Need the sheets for that."
"You don't know it?"
"I've heard it, but I don't know it."
"The Gambler, then?"
They played it. Keith's guitar proposed "All Along the Watchtower" and Bert picked it up and sang the lead. Then she kicked the mike over at Keith, and played an intro to J.J. Cale's 'Cocaine.' They played that, and then, without breaking, several more J.J. Cale tunes.
Bert looked at Keith. "Can you play with us Friday and Saturday night, or should I cut to the chase and ask you to marry me?"
She was for sure hot. Long Strawberry blonde hair, very curly, your basic fashion model build, the angel face.
Keith smiled. "You always save the most dramatic scene for the middle of the movie. Let's make sure I know the songs for Friday and Saturday." Sammy made a list of the tunes they had to be able to play. Two of them, Keith did not know, but Sammy had sheets, so there we go. They rehearsed everything on the list.
"I need to work off having my car towed, but should we rehearse again tomorrow night?"
Bert and Sammy shook their heads. Bert said, "We're ready. Friday is at 8pm, so is Saturday. Sammy will get you at 7 from Len's unless there is a change."
Marie was there, so Keith got in the car. Marie said, "Good?"
"Great. We are on for Friday and Saturday. Bert said Sammy would get me from your house, but nobody has asked you."
Marie said, "We don't mind. Let's go round up some dinner."
"We can't buy food at this hour, can we?"
"No. Len is doing his change of shift. He works the most ridiculous hours you ever heard of."
"So our mission is to cook dinner before he finishes?"
"That's right, Mr. Phelps. This tape will self destruct in 10 seconds."
They came to the house, and took the bass in.
"Can you cook, Keith?"
"I can make bread in a wood stove."
"Strut your stuff, and make us a loaf of bread in the oven."
"Make some, but use the oven."
Keith took out some flour and all, and made some dough without measuring anything. He kneaded it with a lot of pressure. He set it on a high shelf to rise. He washed all the dishes, not just the ones he had used.
"You don't need to do that."
"You put me up for free. I better do something."
She showed him his room. "I was going to make hamburgers but we would have to use bread for buns."
"We can make some buns from the bread dough."
"Let's do that. Len will want a burger sooner or later. He'll want eggs tonight."
Keith kneaded the bread dough, and made some buns, and a loaf, and put it all in the oven. He set the timer of the oven to shut it off.
The radio squawked.
"He's coming."
"So we make eggs? An omelet?"
"We could all eat those."
He started cracking eggs. She pulled out some stuff. Jalapenos, cheese, onions, and so on. She started to cut up some jalapenos. "You eat jalapenos?"
"Sure."
He chopped and mixed the stuff, and scrambled the eggs. He laid them out on the griddle, and put cheese on them. When they were ready, he rolled them up. He cooked some bacon and laid some toast on the griddle.
"We have this newfangled machine called a toaster, Keith."
"I'll try one some day." He flipped the toast, and put some butter on the grill and ran the toast around to pick it up.
Len came in. He took his rig off and washed his hands, then sat at the table.
"Smells like bread. That could make us suspicious."
"He says he knows how to bake it, Len. We'll see when it comes out."
"I shut the oven down a little early and leave it closed. Saves a little energy.
We'll have bread tomorrow."
Keith served out the omelets, and they ate them.
Len said, "Watch this boy in the kitchen, honey. We need to learn what he does."
"How did you do with Bert and Sammy?"
"Just fine. We're playing in the City Friday and Saturday. Big Al's. Seems like Bert might like me."
"Don't. All I am saying about her. Al is fine, but there are some cockroaches there. On the subject of your tow bill and such, Marie has a lot of stuff to do in the yard, so that is for you, I think."
"Any work I can get."
* * *
In the morning, Marie had some things to do in the garden. When that was done, they put some oil in Keith's car, and got it started. Marie put some gas in it from some junkers. "You use it from cars that were running recently, not the ones that died long ago. The old gas, I give away for fire starters."
By lunch, they were pretty well caught up. Len came back, and they made some sandwiches. Len said, "I have an officer on. Got something to show you."
They went to a little house on a fairly good sized lot. It was run down.
Trash was all over the yard. Old sofas and such sat on the porch.
"Marie wants you to work on her rent houses. The owner tried to sell me this one to rent, and I didn't want it. I saw him this morning, and he said he would sell it to you for $3,000. $100 a month. You would need electric, but not water, if the well pump works. Also, sewage and garbage, the city of Blue Cat will insist on."
"No down payment?"
"I said you would clean it up, so if he forecloses, he comes out ahead anyway. He went for that. It's a pile of junk, but cheaper than renting. If you decide to leave, you could just give him the title back."
They met the owner. He was fine with selling the house. He could trade work for payments, but the pay would be minimum wage. They signed the papers. The owner, Ken Anderson, wanted some cleanup done at another house. Len said Ken would have to trade the first month's payment for the use of a pickup, and of course, pay for fuel and such. Ken was fine with that. He would show the job to Keith in the morning.
* * *
Len took Keith to the wrecking yard to get the pickup. It was an ancient Dodge. They filled the gas tank from some wrecks. They equipped the truck with some old mops and brooms and such from a pile of junk in a dead van. They ate some leftovers, and went to Keith's new house.
"Len, can you burn trash here?"
"When the sun is down, you can."
Marie put Keith's car by the house. She brought some old gas for fire starters. "Put it in a bucket and put a dry piece of wood standing in it overnight. That piece of wood will light easy."
Keith took the truck to the grocery store and got some food and some beer , candles, and odds and ends. He got a bag of ice for his cooler, and he was ready to go. He dragged the rotting beds and such into the yard. He cleaned up in the house as long as he could see. He built a fire of the not too nasty trash in the fireplace, and started it. He brought a lot of stuff in from the car and put his sleeping bag in front of the fire. It was pretty warm, but he wanted to be there. When the sun was well down, he lit the trash. He sat on the porch while the junk burned. He drank some beers, and watched the junk turn to gases and ashes.
He went to Len and Marie's house in the morning. Marie put him to work on the yard again. He had to take a trip to the dump to get rid of a chunk of concrete. Bert came, and they went to the gig.
* * *
Big Al's was a dingy building with a gravel parking lot with mudholes.
They went in, and Bert introduced Keith to Al while Sammy brought in his drum set. Al was big, for sure. He was only 6-7 but he looked strong for his size. "Sammy says you can play, so I'm happy. Do you drink when you play?"
"Not a lot. A little loosens you up, too much and you don't play so good." "I don't attract a real connoisseur here but we need a good sound. I let the bands have a free beer on breaks, about every two hours. If someone wants to buy you a drink, you can say thanks, and the bartender will have it for you when you're ready. We put it on a list for you, and you can drink it next month if you want. I won't cheat you out of it. So always accept them. People want to hand over money, we will take it."
"Good."
"I pay the band after we close. I don't do deductions, none of that. If there is trouble, stay out of it. I've been doing this 26 years, and never needed help with that. I can throw a biker out that door pretty easy. I hope you don't smoke pot when you play, because your sound won't be so good.
After hours is fine. White drugs are totally out."
"We understand each other, Al."
They set up, and Keith had a cup of coffee. They started playing, and it was tighter than the rehearsals. They got a request for a Hank Williams tune Keith didn't know. Keith said the requester should ask Al for a sheet. Al brought it over, and Keith put it up on a rickety little music stand. Bert said, "You're going to play a song you have never heard off sheet music?"
"Yes, Ma'am."
She pushed the mike over. "I can't sing Hank, and Sammy can't sing 'Jingle Bells' so this is for you."
Keith said, "Folks, I don't know this one. I'm gonna have to play it from the sheet, so if it don't sound like Hank, don't throw nothing at me."
They played it, and it was very good. Bert played an intro to J.J. Cale's Cocaine. They went through the rest of their Cale tunes. They went on break, and Sammy wanted a smoke, so he and Keith went outside.
"She's flirting with you some more."
"A problem?"
"Not with me. But she will flirt with everyone. If you take her up on it, she will cheat on you, and then probably the band breaks up. If it's what you want to do, then do it. But I'm just telling you."
"Too good to be true."
"She is. But we're doing a good gig."
When Sammy finished his cigarette, they went in. They went to the bathroom, but it was clogged with people in line. Sammy got two draft beers, and they went back outside. They watered some bushes, and drank some beer.
Keith looked at the night sky. "Sometimes, you look at that, and you think anything is possible."
"But it isn't."
"We're in the land of opportunity."
"For the rich to get richer."
They went in and played some more. When the bar closed, Al got $150 out of the register and poured them draft beers. Bert handed $40 to Keith, and $40 to Sammy. She dumped the tip jar on the table, and split that with them. Al turned change into bills for her.
"You guys did great. Looking forward to seeing you tomorrow."
Keith said, "I liked playing here."
"You did a great job with Hank. Happens he is my favorite, and it isn't just me. You guys rehearsing tomorrow afternoon?"
Bert said, "We could. You want us to get ready for some Hank?"
"That's it."
"We know most of his tunes, but Keith doesn't."
"He can learn." He got a little booklet of Hank Williams music from his office. He ran a highlighter over seven of the songs. "Keith, I would like you to listen to them, too. See how he sang them."
"I don't have a stereo."
"I got something worse. Want a laptop computer with a bad keyboard?"
"I don't know anything about computers, and I don't have any money."
Al got a laptop from his office. It had a charger, but no battery. "The battery died, so it is plug in only. Mouse to the Hank tunes. Play them, learn how he sings them, and it's yours."
"Seems like a lot for just learning some songs. I might not have my electric on yet."
"I could put it on eBay, maybe get the postage and $5. Would you guys like another beer?"
They said they would.
Keith brought the glasses to the bar, and Al filled them. "So anyone like cats?"
Keith said, "Sure."
"Well, I got a problem. A lady of the evening left a cat here so she could go on an engagement. She didn't come back for the worst of reasons. The cops didn't want to interview the cat. My dogs want to, but it would be short and painful. So someone has to take this cat."
He brought a box out of his office. In it was a small cat, cowering. Keith reached in and petted her. She pushed back, the way a cat does when it likes being petted.
"Take her before the dogs get her, Keith."
"All right."
"She comes with some cat food, a bowl, and a cat toy. Her name is Mauritania."
"I'll care for her."
"OK, gang, time to get going and leave it to the swamper. My wife is expecting me."
They got in Bert's van. She took off down the road to Blue Cat. "Al likes you."
"He's an all right guy."
"He can be very hard to work for, Keith."
"I will hope it doesn't get that way for me."
She took him to his house, and said, "Maybe 2-4 tomorrow afternoon, we can do some rehearsals of the Hank tunes."
He went in the house, and found the electric on. He turned on some lights. Some worked, and some needed his spare bulbs. He let Mauritania out of the box, and she wanted out the front door. He was reluctant to let her out, but he did. She went out, did her business, and came back in. He put some food in her bowl and found another for water. He put them under the kitchen table where they would not be knocked over. He put the cat toy on the floor near the bowls. Mauritania ignored the toy, and ate and drank. Keith got out the sheets, put the sheets and the laptop on the kitchen table, and sat in the chair that didn't wobble. He turned on the laptop, and figured out how to get it to play one of the Hank tunes. He played with the music, and read the sheet as he did. Mauritania explored her new territory. Keith played the rest of the music. He was probably ready to play it, but tomorrow afternoon might help. He took a pee, and went to bed. Mauritania slept alongside him like the wife he had not found. He wondered if he ever would. Bert could be great, but if she didn't want to be, he should keep his distance.
* * *
In the morning, actually early afternoon, he made some eggs and stuff, and ate. Mauritania went out and back in. He played the Hank tunes again. He had figured out how to make them a playlist. He took a loose panel out of a door and put a piece of heavy blanket over the hole, so Mauritania could get in and out. He threw the springs and frames from the burned sofa and all into an oil drum that sat near the house.
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SARS-CoV-2 Complicated by Sinusitis and Co-Infection with Human Metapneumovirus
ABDULRAHMAN ALHARTHY, MD; FAHAD FAQIHI, MD; DIMITRIOS KARAKITSOS, MD, PhD
ABSTRACT
Figure 1. Chest X-ray depicting bilateral interstitial pneumonia.
A previously healthy 25-year-old Asian male was admit ted with acute respiratory failure due to COVID-19 pneu monia to our intensive care unit. He received empiric therapy and higher level of respiratory support via a high flow nasal cannula. Notably, human metapneumovirus was detected from the nasopharyngeal swab by RT-PCR. Six days post-ICU admission, sinusitis was clinically and sonographically detected. SARS-CoV-2 was detect ed in the fluid aspirated from the antrum. The patient has made an uneventful recovery. Further studies are required to investigate co-infections with SARS-CoV-2 and other viruses.
KEYWORDS: COVID-19, human metapneumovirus, high flow nasal cannula, sinusitis
[Editor's note: The following letter/case report was submitted by senior author Dr. Dimitrios Karakitsos, who did surgical/ clinical rotations at Brown-affiliated hospitals during the early 1990s as a visiting medical student on scholarship from Greece.]
Dear Editors:
We have read with interest the article by Touzard-Romo et al regarding the co-infection with SARS-CoV-2 and human metapneumovirus that was recently published in the Journal. 1 We present a patient with SARS-CoV-2 dis ease (COVID-19) and co-infection with human metapneu movirus (HMPV). Considerations regarding oxygen support therapies are also discussed.
A previously healthy 25-year-old Asian male was admit ted to the emergency room with three days fever (37.9° C; 100.22°F), dry cough, wheezing, and chest pain. His sat uration of peripheral oxygen (SpO 2 ) was 75% on room air but he did not show any respiratory distress. He mentioned contact with his brother who has recently recovered from COVID-19 without sharing any further details. Physical examination revealed decreased breath sounds at the lung bases. Laboratory findings were within normal limits apart from lymphocytopenia (0.79×10 9 /liter; normal: 1.1–3.2× 10 9 /L), and increased levels of C-reactive protein (656 mg/ liter; normal: 0–5 mg/liter). Chest X-ray (Figure 1) revealed
bilateral interstitial pneumonia. Nasopharyngeal swabs confirmed COVID-19 by Real-Time-Polymerase-ChainReaction (RT-PCR).
The patient was admitted to our intensive care unit (ICU). He underwent a full diagnostic work-up for other viral, bac terial and systemic disorders. A higher level of respiratory support via a high flow nasal cannula (HFNC) was initiated (flow: 60 L/minute, fraction of inspired oxygen 40%) along with awake prone positioning (16 hours daily). The rate of oxygenation index [oxygen saturation / (fraction of inspired oxygen x respiratory rate)] was maintained over 6 for the upcoming 48 hours indicating successful oxygenation. 2 Empiric therapy with lopinavir/ritonavir, ribavirin and interferon beta-1b for 14-days, dexamethasone for 10 days, and prophylactic anticoagulation was administered.
Interestingly, RNA of HMPV was detected from nasopharyngeal specimens by RT-PCR after four days; however, no genotype was identified (types A and B) as phylogenetic analysis was not available. No treatment changes were made as ribavirin has shown some efficacy against HMPV. 3 Six days post-ICU admission, the patient developed new fever (38.9° C, 102.02° F). He complained of pain due to the appli cation of HFNC. He had sensitivity over the right paranasal sinus. Ultrasound examination depicted a fluid collection
Figure 2. Ultrasound showing hypoechoic area in the right paranasal sinus ("sinusogram") consistent with fluid collection.
(Figure 2). 4 Antral aspiration revealed clear fluid. RT-PCR performed on the fluid revealed SARS-CoV-2. Our patient has made an uneventful recovery. All work-up for systemic and other viral diseases was negative. He was discharged to home isolation after 22 days.
References
1. Touzard-Romo F, Tapé C, Lonks JR. Coinfection with SARS-CoV-2 and human metapneumovirus. R I Med J. 2020; 103(2):75-76.
2. Roca O, Caralt B, Messica J, et al. An index combining respira tory rate and oxygenation to predict outcome of nasal high flow therapy. Am J Respir Care Med. 2019; 119 (11):1368–1376.
3. Wyde PR, Chetty SN, Jewell AM, Boivin G, Piedra PA. Compar ison of the inhibition of human metapneumovirus and respira tory syncytial virus by ribavirin and immune serum globulin in vitro. Antivir. Res. 2003, 60, 51–59.
4. Cengiz M, Celikbilek G, Andic C, et al. Maxillary sinusitis in patients ventilated for a severe head injury and with nostrils free of any foreign body. Injury. 2011; 42(1):33-7.
5. Genga S, Mei Q, Zhub C, et al. High flow nasal cannula is a good treatment option for COVID-19. Heart & Lung. 2020; 1-2.
Authors
Abdulrahman Alharthy, MD, Critical Care Department, King Saud Medical City, Riyadh, Kingdom of Saudi Arabia.
Fahad Faqihi, MD, Critical Care Department, King Saud Medical City, Riyadh, Kingdom of Saudi Arabia.
Dimitrios Karakitsos, MD, PhD, Critical Care Department, King Saud Medical City, Riyadh, Kingdom of Saudi Arabia; Critical Care Department, Keck Medical School, University of Southern California, Los Angeles, CA.
Disclosures
Funding: None
Conflict of interest: The authors declare that they have no conflict of interest.
HMPV may cause lung infection in adults, especially elderly and immunocompromised patients as well as patients with underlying cardiopulmonary disorders. Diag nosis relies on RT-PCR, while treatment is mainly support ive. Co-infection with SARS-CoV-2 has only been recently reported. 1 Apart from the co-infection with HMPV, our patient has developed sinusitis while receiving oxygen via HFNC, which delivers high flow, warmed and humidified gas through the nasopharynx. 5 Whether this might facilitate recirculation and shedding of the viral particles in the upper airway is obscure. Further studies are required to investigate co-infections with SARS-CoV-2 and other viruses along with potential side effects of higher level oxygen therapies.
Ethical approval: The patient provided a written consent for the use of his clinical data for scientific purposes.
Correspondence
Dr. Dimitrios Karakitsos [email protected]
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Editorial
I would like to give a heartfelt thank you to all subscribers who have voluntarily rounded up their subscription fees. You are making an important contribution towards "unbiased reporting".
Laster & Bagger online:
www.lasterundbagger.net www.facebook.com/lasterundbagger www.twitter.com/lasterundbagger www.youtube.com/lasterbagger
Laster & Bagger 3-2021
Dioramas
It is difficult to speak of a trend yet, but this is not the first time that we have introduced a collector who likes to show off his models not only in display cases but particularly on a diorama.
Personally, I like this idea very much because right from the beginning it was part of this magazine to show the models in realistic surroundings. And it is still a lot of fun for me to arrange construction machines and lorries realistically on dioramas to make them look even more real. For the very large models, like for example the Cat 794 AC in this issue, I have made myself a kind of indoor sandbox where I can pile up rocks setting up a prototypical scene. As well as this 'dynamic' diorama, fragments of other dioramas are at the ready so that they can be arranged individually and be photographed.
Markus Lindner, our diorama building specialist, has begun a new 1:50 construction site which we will follow over the next issues. It is about a tunnel construction site which follows the work from clear cutting a piece of forest up to the inauguration of the new stretch of road. This diorama too belongs to the 'dynamic' kind as it presents itself new every time.
Dioramas could have been admired at the event in the Ebianum, but the event had to be cancelled just like the 'Weiacher Historik' event where old machines would have been shown. The same goes for the postponed Toy Fair which has disappeared completely from the agenda. At the same time, the dithering about the Bauma 2022 has begun; Volvo has cancelled its appearance, just in case. We hope this remains a single case.
I hope that the following pages give you diverse and inspiring entertainment and trust that you have a lot of fun reading, or even trying your hand at building a diorama!
Daniel Wietlisbach
2
Sebastian Manns models of a company
The hobby is green
by Daniel Wietlisbach
Sebastian grew up as an only child. His father worked in the retail trade and his mother as a bookkeeper for a construction company. It was his mother who organized some rides on a lorry for him. Of course, the vehicles belonged to Fink-Stauf, used on the afor-mentioned construction sites, which shaped life in the district for nine months in 1994. A two-axle MAN tipper was used to move the excavated soil from the construction site to a storage yard. The little tyke was totally excited and even today remains infected with the 'green virus'.
When the construction work finally ended, Sebastian felt the loss dearly. But his parents were very understanding and drove around town during their free time to find active construction sites of FinkStauf. It was fortunate that his father had a day off during the week and so they could observe the machines at work. Even then it was crystal clear to the young boy that
Sebastian spent many days at the window observing the work going on outside. What he observed he recreated in the sandbox with Bruder Toys, or, with Siku vehicles on the carpeted floor. A colourful mixture of excavators, lorries and tractors was available to him and, even then, the youngster dreamed of spray-painting his toys in green.
Laster & Bagger 3-2021
Sebastian Manns' connections to the construction company of Dr. Fink-Stauf go way back to his first memories. When he was only three years old, he observed the shiny green machines at work on road and canal construction sites …
the only construction machines that 'really mattered' were simply green – official description of the paint tone was 'Police Green.' All others held no interest for him at all. Such brand following became known among the workers on the construction site and so the boy became a welcome guest and was well-known within the company.
re-paints them not only in green.
At the age of nine, Sebastian's family moved to Wolperath, a suburb of Cologne. He quickly connected to his new school and even met some like-minded friends with whom he could share his enthusiasm. Three really good friends meant more vehicles and more play fun during free times.
At the age of 14, together with his father, Sebastian visited the builder's yard of the construction company for the first time. They wanted to inquire about the location of current construction sites. They got a very friendly reception and learned about the 'open culture' of the company. At that time, Sebastian also started taking pictures of the construction sites and the machinery. Later on, he met Uli, a machinist working for Fink-Stauf, who is also a collector and partially alters his models.
Training
Because he didn't want the hobby to become his profession, Sebastian decided to apprentice as a Horticulturist. During the three years of training, he also learned how to drive an excavator and a wheel loader. Overall, the profession did not fulfill his expectations. After completing his apprenticeship, he changed over to a company which, among other things, offered sewer surveys. There he discovered 'se-
3
At about age 12, Sebastian and his friend Dennis began to go by bike and explore the area for construction sites. The duo's radius extended further and further over the years and these 'Safaris' remained an integral part of their spare time activities up to the end of their schooling. Even today, Sebastian is still connected with Dennis who also collects construction machines and lorries, mainly in 1:87, and
wer technology,' which is all about inspecting the lines for damage. Six years ago, this interest finally led to him change his profession.
It almost goes without saying that the company is aware of the things Sebastian has done and his models have found attention all the way to the Executive floor. The company manager, Richard Fink-Stauf, is happy about the additional popularity of his company in 1:50 scale.
The collector does not miss driving and operating excavators because he regularly gets the opportunity for it during his time off. Of course, he has been asked if he would be interested in changing over to Fink-Stauf, but, once again, it would mean that the fun of the hobby would suffer. As an example, Sebastian mentions his hobby friend Uli, who works in the company as a machine operator but has only a few green models in his collection.
The collector
Sebastian Manns (30) trained as a horticulturist and for the last six years has worked as a specialist for sewer, TV and cable lines. Besides model collecting, he likes taking pictures of construction sites and enjoys the outdoors for hiking and fishing. He can be found with his green models on Instagram at: model- bau_in_1_50. He now lives in
The hobby is green
The collector already painted his models in 'Police Green' during his school time. Because the budget was tighter at the time, the models were in the smaller 1:87 scale and were brush-painted by hand. Together with his school friend, Sebastian regularly visited a specialist dealer where they stocked up on models from Kibri and Herpa. Whether the originals were painted green or not played only a secondary role because the choice of available models was just too limited. But the joy of every new machine was then so much greater. To letter the models, decals were used even then, gifted to them by Uli. What luck!
Not only construction machines and vehicles were collected, but Sebastian also created a fictitious hauling company. The lorries from 'Manns Int. Spedition' were painted in his favorite colour of red.
Much, east of Cologne, and those who would like to visit him and his collection after the pandemic is over may contact him by email at [email protected]
Laster & Bagger 3-2021
The 1:87 collection grew to a total of around 300 models.
At only age 28, the desire for a new start in the hobby arose. This was well thought out and very well planned; the time of the thinking and planning process took almost two years! Finally, the first model was a Schaeff-Terex TL120 wheel loader from NZG which is a little bit smaller than the original, but at least the brand is correct. This model was created only a little over a year ago, and when looking at the current collection, one cannot but speak of a 'Turbo-Start' to collecting.
During and after Sebastian's apprenticeship his interests changed; the attraction of the opposite sex moved into the foreground and free time was in short supply. At age 21, Sebastian moved into his own flat in the center of Much. No coincidence that the abode was within walking distance to FinkStauf's company office and yard. Despite his small salary, the sale of his whole 1:87 collection made it possible for him to furnish his new place.
For the collector it was crystal clear right from the beginning, that only airbrush-painted models would lead to satisfying results and also, that the models should be as close as possible to the originals. Initially, all models are completely dismantled, the paint is removed and any modifications made.
After the priming with Tamiya paint, two layers of the green paint and a final transparent coat are applied, which is usually enough. It is very important to give all paint layers enough time to dry which usually takes a whole day (24 hrs.). The waterslide decals he uses are
4
made by Decalprint; once again, the prototype drawings for them are made by Uli, Sebastian's collecting buddy at Fink-Stauf. Since the construction company only has excavators with adjustable booms, the translation into model form is not always easy because there are very few models available. That is why, once in a while, the collector gets Patrick Lang from Italy to re-build his models, including the painting and lettering.
On his larger models, he uses an Oilquick quick coupler and tools from the 3D workshop of Markus Lechermann. Sebastian paints the models in the garage but for weathering and 'dirtying up' he prefers
As with originals, the models should be able to operate with a variety of tools. On the smaller excavators, the collector prefers the quick coupler from Conrad and then he modifies buckets and tools to fit.
U1-publishing GmbH Postfach 135 CH-3322 Schönbühl +41 (0)78 601 74 44
www.lasterundbagger.net [email protected]
Redaktion Daniel Wietlisbach (dw)
Ständige freie Mitarbeiter
Carsten Bengs (cb), Tom Blase, Ulf Böge, Robert Bretscher, Markus Lindner, Urs Peyer (up), Wilfried Schreiber, Remo Stoll, René Tanner, Erich Urweider (eu), Thomas Wilk (tw), Hans Witte (hw)
Druck D+L Printpartner GmbH, D-46395 Bocholt
Laster & Bagger 3-2021
Translation of pages 6 – 11
to send his models to Danny Laible from 'Airbrush 1 zu 50.'
As soon as the company of FinkStauf buys a new machine, the collector starts searching for a suitable model. "But, cross your heart, are there really only green models in the collection?" Sebastian says no and replies, "The sub-contractors of Fink-Stauf also have a space in the collection. There are a few tipping lorries from a contractor."
Today, the collection contains about 100 models, including fluids tanks and small machinery. Around 70 of the models are already painted in green and a further 30 are waiting their turn.
and be able to photograph them. Right from the beginning it was planned to show the models in situ on a small-scale builder's yard. Accordingly, the diorama measures 1.2 x 1.0 m and is housed in a separate basement room. It was a joint undertaking with Uli. To make the buildings, including the workshop, the original was first measured.
Dioramas
If you regularly saw construction machines at work when you were only three years old, then it follows that later you might also show them at work in 1:50 scale,
English translation
Daniel von Kaenel, Canada, Steven Downes (sjd), UK
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It is possible to arrange the machines and show them at work on the other two smaller, self-built dioramas. These handy showpieces are ideally suited for taking pictures outdoors because the sun puts the models in the best light! The worksites are free-lanced so that it is possible to show the greatest variety of models on them. A display case holds the other models, those 'not in use' at the moment. They are swapped out often so that the dioramas and the display case are never boring to look at.
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ISSN 2504-0405
5
Ford Transcontinental 4428 & DAF 2800 P.I.E
Transport of a brother
by René Tanner
The oil crisis was a result of the war between Israel and its neighbours in 1973 and it had all of Europe in its grips. Transports inside and outside the country were very much in demand. Muhammad Reza Shah, the ruler of Iran, fell into a craze of wanting any and every luxury available and an unbelievable stream of merchandise flowed in the direction of the Near East. The unsustainable shopping spree lasted until he was overthrown by the Ayatollah Khomeini in 1978. Everything the Shah wanted was carted down 'into the sand', as the Saudi drivers called their trips. Because of this, the stressed and pressured cargo haulers discovered a new source of income without knowing how difficult and adventurous these trips would turn out to be.
The first trips to the Middle East and further eastwards had already begun in 1960 with Astran from Great Britain or Wütherich Worben certainly among the pioneers of this traffic. Years later, the old hands would meet and exchange hair-raising stories with their eager listeners and illustrate their tales with wellpreserved picture material. These pictures allow the today's enthusiasts to re-imagine the past. There have also been some books published to help with the imagining. The hype still continues and is especially strong in the model-building frater-
Laster & Bagger 3-2021
Our Ford Transconti comes from Great Britain. On its way back home, it has a very heavily damaged DAF 2800 belonging to the Pacific Intermountain Express loaded as return freight. Such repatriation of damaged lorries was commonplace as complete loads from the Orient were scarce. In a best-case scenario, drivers could hope to pick up return freight in Turkey or Greece …
nity as such adventure stories are a welcome change from common daily transportation routines. They make it possible to design and build many-facetted dioramas with incredible detailing.
Ford Transcontinental
I saw reports about these trips for the first time at the tender age of 7 while reading a magazine in a doctor's waiting room. I was fascinated about the road heroes introduced to me and their long-distance trips but it was also the terrible accidents which inspired me. After all, I was seven years old! Tiredness, monotony or carelessness often had devastating consequences. Also, in certain countries, the rules of the road were enforced in a very much looser way. Excessive time spent at the wheel, or traffic checks, could often be smoothed over with boxes of cigarettes or porn magazines. Baksheesh was needed almost daily.
The Ford Transcontinental, designed for the European market, was a heavy-duty, long-distance transport lorry produced in Great Britain from 1975 to 1984. It was developed in Dunton, GB, as the Ford H series and then produced in the Ford Amsterdam, NL, factory then, later on, also in Sandbach, GB. Ford used several components from different makers. Among them were the chassis of the Ford Louisville, the robust but thirsty Cummins engines, DanaSpicer clutches, Eaton-Fuller gears and Rockwell axles.
The cabin was from the French maker Berliet's TM series. The Transcontinental was offered as a 16 tonner (4x2) and as a 22 tonner with powered double axle (6x4); the maximum allowable total weight was 34 or 38 tons respectively. De-
6
veloped especially for long-distance traffic, Ford offered it as a tractor lorry as well as lorry configuration. The Cummins NTC six-cylinder in-row diesel engines were available with 273 hp, 308 hp and 340 hp, and, beginning in 1976, a 244 hp option rounded off the engine options.
The Transconti received a facelift in 1979 when it was given a black radiator mask with the Ford oval logo. The engines were replaced with new Cummins Formula-E with 244 hp, 274 hp, 320 hp and 352 hp. They never had a real chance against the well-established competitors of Mercedes-Benz or MAN because wear and tear was relatively high and the establishment of a dealer and repair service was done only half-heartedly. That was why, at the beginning of the 1990s, after the end of the production run of the smaller Ford Cargo, Ford withdrew completely from the heavy lorry business.
The model
In 1:50, the Transconti was only offered as a toy from Corgi in their Major series. Alan Smith Models (www.asam.co.uk) lists the 4x2 or 6x2 tractor lorry in its program.
The Ford from Corgi which is perfectly to scale has unbelievable potential. The chassis detailing is a bit too lackadaisical but this can be put to rights with a little bit of effort. The front axle is too far forward and the fifth wheel coupling needs to be removed. A new, round diesel fuel tank, and new mudguards made from 0.3 mm aluminum sheet stock make the unit look much better. The front axle was completely removed and replaced with a new adapted one. Only the over-dimensional air conditioning unit at the cab was ta-
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ken off. The rear side windows were closed in with aluminum sheet stock and a new sun visor made. The new air conditioning unit was glued to a roof rack from HeavyGoods and connecting hoses were made from 0.8 mm florist's wire.
The semi-trailer, an English Overlander, was made from a Tekno container chassis which was given a deck made from a 1.5 mm piece of plastic sheet material. The sideboards and roof bows including the wooden stakes were only built for the first row. The rest of the trailer's sideboards, roof bows and stakes are stored in the first row. The trailer was also given new large stowage cabinets, a spare wheel cage and a water tank. Under the chassis is a large belly tank which was used for re-fueling on the road. Diesel was usually cheaper to buy than water in the Arab countries which is why many of the Near East drivers had those huge tanks installed. Rims and tires are from a mixture of HG, Nacoral and Tekno.
The interior was upgraded with a built-in kitchen and several other built-in features. The cabin tilts allowing a look at the Cummins engine which was detailed a little better. The standing exhaust plant was scratch-built from 2.0 mm aluminum pipe, including the turbo loader and air filter.
DAF 2800
To give the theme a more dramatic look, I made the decision not to let the Transconti roll homewards empty. That is why a heavily damaged 'compatriot' is carried piggyback to Great Britain. The camaraderie among the Near East drivers has been described as always very ho- norable. Many times, drivers from all over the globe came together around a campfire and enjoyed fine Camion Cuisine washed down with large amounts of fermented barley and hops.
A DAF from Lion Toys was the basis for the DAF 2800 to which I added details to the chassis. The malformed cabin look was only achieved on the second try because white metal castings tend to break quickly when inserted into a bench vise. After the rough forming, dents were made using a motor tool with a milling cutter. Parts that were newly added, like the door or the bumper, were made from 0.2 mm aluminum sheet stock then fitted and glued in. The broken windows were made by hitting the glass with a model-making hammer. The loose cable bundles, window rubber, the crazed rims including the flat front tire, and the curtain hanging out from the window are some of the small details which give the crashed DAF more authenticity.
Perhaps as a result of such a banquet, the DAF of the P.I.E crashed very badly between the Turkish and Iranian border. The tractor truck stood for a long time at the roadside. I found pictures of the accident at www.fierdetreroutier.com under the pseudonym 'Le Baroudeur,' who also drove this route for Friderici. Le Baroudeur made a huge effort to make a photo book of his trips. In the category of 'Accidents' the viewer can see sometimes horrible and fateful accidents. There are enough ideas there for everyone to build their own scenario.
Both models were painted using spray cans. The aging and weathering were done with an airbrush plus washes with white spirit. On the
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Transconti I wanted to see the road dust being washed down by the wet cold nights. That's why, after weathering with the airbrush, the 'dust' was washed off downwards using a small brush and white spirit. The DAF got the same treatment: first airbrush then brush and white spirit to get the effects I was after. The canvas cover on the trailer is made from paper hand towels found in any washroom. Soaked with thinned white glue, some real looking folds and creases could be made. Then the
Tinplate
High tipper
by Robert Bretscher
Unfortunately, the maker of this battery-powered high tipper lorry is unknown. It was made in Japan during the 60s …
It is hard to believe but the finelooking mechanism works very well even with a full load of sand. A closer look at the bin shows that the Japanese maker used double tinplate walls so that nothing impedes use in the sandbox. The vehicle is equipped with a remote cable-steering device which also houses the two 1.5 Volt batteries. All movements can be played with
At first glance, the real feature of this tipper is hidden as it is surprisingly well camouflaged underneath the tipping bin. Only when the tipping-out mechanism is activated does the 'aha' moment occur because this lorry is a very rare high tipping version. This means that during the dumping process, an X-shaped mechanism is deployed to elevate the bin to a higher level for dumping out.
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this remote. The electric functions include forward and backward driving and the dumping out of the bin. The mechanical steering is by a wire connected to the steering wheel on the control box.
Also, the lorry is decorated all over with many zinc-plated detail parts. The modern-looking cabin has eye-catching windows tinted blue; they even sport zinc-colored decorative strips. Behind the windows, the interior is colourfully printed on and includes an additional three-spoke steering wheel dashboard. The producer has chosen to match the color of the bin to the color on the wheel bins. The mounted tires are black and have profiles. The whole tipper is made from tinplate and gives the impression of being solid. It is a pity that no logos of the maker can be found on this model. This leads one to assume that the wholesalers would print their own names on the box later on. This system was often used in the Far East. Sometimes there were model toys which were distributed to wholesalers by colour of the item. Unfortunately, the very effective toy producer of many such distribution chains generally remained hidden.
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tarp was painted twice with Humbrol or Revell paints. Some of the lettering was applied free-hand and a few decals came from saved, leftover decals.
Translation of page 17
Mining tipper from Diecast Masters in 1:50
Caterpillar 794 AC
by Daniel Wietlisbach
With this 794 AC dumper powered by dieselelectric, Diecast Masters releases a mighty model which shines even down to the smallest details. There are innumerable details which invite the eye on a tour of discovery …
and the profile on the rubber tires corresponds to the original. The rear axle's springing is very soft and the front wheels are steerable. Steering linkage and the cylinders have been replicated; the turning radius could be better especially since the hydraulic cylinders have some reserve left.
lower part can be folded down to ground level. On the right side, the vertical ladder is designed as an emergency descent. Besides the fine safety railings, the very detailed control boxes and the cooling housing of the re-generator for the braking energy can be admired. Both have very fine, filigree-like grilles. The service hatch that is centrally located over the engine opens as do the three doors in the railings and the two cabin doors. The cabin is made from metal and has some very flush-mounted windows. The multi-colored interior shows off the many details and looks much better than the earlier all-black versions. The Cat logo is seen on the chair backs and Bob can be inserted into the seat with tweezers. The weight indicator is set to 000 and hints at an empty tipper.
The driver's deck is reached by a set of stairs on the left side; the
The tipping box itself, including the wear plates, is very nicely detailed and the longitudinal beams have different sized holes drilled out, true to the original. At the rear, are the two rock knockers of the twin tires as well as the steel rope
The massive chassis is well done and finely detailed with countless bits of chassis hardware, tanks and lines. Almost lost in the room below the cabin is the not-so-small engine but this is correct to the prototype. The huge air intake pipes have been modeled in their entirety as have the equally large exhaust pipes. The generator can be found flange-mounted to motor. Soft rubber lines lead to the electric control boxes on the driver's deck and to the drive motor in the rear axle. Several more pieces of chassis hardware, tanks and supply lines make a look from below worthwhile. The housing of the rear axle is especially nicely executed.
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Even though there are some diesel-electric dumping lorries developed by Caterpillar, inside the group of companies it is especially the models from the taken-over Unit Rig series which have asserted themselves with this power concept. Visually, only the cabin reminds us of the once-so-proud dumper producer. The 794 AC weighs 217.42 t empty and has a capacity of 297 t (327 US-t). This means that the currently largest open cast mining excavator needs three to four loading cycles to fill the dumping bin. The built-in 16-cylinder Cat C17516 producing 3,500 hp (2910 kW) powers the generator to make the current for the electric motor which is centrally positioned in the rear axle housing. The maximum speed is 60 km/h.
The Model
The packaging within the tin box protects the large model well and the complete, hefty model can be removed without any problems. Thanks to its high metal content, it radiates high value. Part of the allure is the many safety railings made from wire extensively soldered together. The proportions of the model are very well done and it is exactly to scale.
The wheels are finely engraved, the rims have detail on the insides
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to secure the dumping bin during service. Rubber mudflaps are also attached. The three-step tipping cylinders hold the bin stable when in the maximum height position which is not quite like the original, but that could be a challenge to show in a display case. It is a shame that the middle cylinder was not chromed.
The paint has been cleanly applied, the lettering covers well and includes the smallest details. With the Caterpillar 794 AC, the manufacturer has managed to give us a really impressive model.
At a glance
+ Metal content
+ Metal contents railings
+ Functionality
– Dumping cylinders only partially chromed
Translation of pages 22 – 23
Swiss roller from USK in 1:50
Ammann ARS 110
by Daniel Wietlisbach
For a long time, Langenthal was deemed to be the most average municipality of Switzerland. For construction machine enthusiasts, however, it has always been the capital because it is there where Ammann, Switzerland's largest manufacturer and dealer, is at home.
With the ARS 110, USK presents us with the second model from Ammann. Following the rubber wheel roller now comes the road roller in the same fine finish …
On the Ammann rollers one finds the weight of the machine on its type designation, and so, the ARS has a working weight of 10,860 kg which can be increased to 14,630 kg. It is the second smallest of the seven pavers in ARS series of rollers. The special feature of this series is that both wheels have separate drives, with the motor being situated deeper in the frame thus optimizing the low point of gravity and allround visibility. The hydrostatic drive of the ARS gets its power
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from a Deutz TCD 3.6 L4 engine with 100 kW (134 hp) of power. It complies with the EU step V exhaust controls. All ARS rollers are available with smooth or sheepfoot rollers.
ponsible for the distribution of the Caterpillar models.
The model from USK
Following the beautiful model of the rubber roller ART 280, the ARS 110 is now the second model of the Langenthalers from USK Scalemodels. Behind this name are the people from Mahler & Partner who are the European importers of Diecast Masters and who are res-
The model of the roller arrives completely assembled and securely packed between two plastic halfclam shells. It feels pleasantly heavy when held and the proportions look right. The model is true to scale and has a high metal content.
The wheel hubs are very nicely engraved and the rubber tires have the correct profile which could perhaps have been made a little deeper. The rear wagon is made up from screwed-together metal castings which incorporate many details. This is also true for the engine hood which is detailed with the air intake funnel and back-up lights. Unfortunately, the very fine air intake grilles are only printed on so it is absolutely necessary to open the hood in order to view the very finely detailed engine mockup at leisure. It is truly worthwhile taking a look at the engine because much time and effort was spent to make it right: several parts, free standing supply lines and the twocolour paint job almost make it a model in its own right.
steps. The cabin reveals the finely detailed, two-coloured, work space. The roof and its separately attached details like rear view mirrors, window wipers, headlights and warning beacon are made of plastic.
The articulated joint steering has been replicated with the two hyd-
At a glance
raulic cylinders; the turning radius, however, is rather limited. For a roller this is not a big minus point. The frame of the rolling cylinder has been exactly engraved and, prototypically, shows all visible bolt heads. Also very nice to see are the three individually-mounted, flexible supply lines for each side. The smooth rolling drum does its name proud as a seam is nowhere to be seen. The two scrapers have also been replicated.
The almost completely glassedin cabin is reached from the left side by way of a separately mounted set of stairs made up of three
+ Detailing
+ True to scale
+ Engine mock-up
The model's three paint colours have been applied faultlessly and the lettering is very sharp, detailed and legible.
Wheeled loader surprise from IMC in 1:50
Doosan DL 420-7
by Daniel Wietlisbach
With Doosan' take-over of Moxy, the South Koreans put their foot in Europe's door. Their European head office is located in Prague, the capital of the Czech Republic. The DL 420-7 has an operating weight of 23.4 t and offers bucket options with volumes from 4.3 to 4.9 m 3 . The power output of 350 hp (257 kW) comes from a Scania DC13 six-cylinder engine which complies with step V of the exhaust protocols.
With the Doosan DL 420-7, IMC released a fully-fledged construction machine in 1:50, for the first time! The lorry and crane builder demonstrates that they can do it really well …
DL 420-7 in 1:50
The model arrives completely assembled in the tested, safe packaging made up from two plastic half-clam shells. Pleasantly heavy in the hand, it has been made to scale with a high degree of functionality. Not only does it convincingly achieve the maximum turning radius, it also reaches the correct dumping-out height and degree of tipping.
The rear unit is constructed in great detail and surprises us with extremely fine air exhaust grilles which allow the engine to be visible. Looking through the beautiful radiator grille, the ventilator fan blades can be seen – First Class! As on the original machine, the mudguards tilt backwards and the service hatches on the sides open
The wheel rims are exactly engraved on the outside but not decorated at all on the insides. The profile of the rubber tires is true to the original and the rear axle oscillates.
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revealing a completely furnished engine room in which all detailing can be clearly made out; everything has been painted, using many colours. Exhaust pipe and breather pipe are detailed with the latter even having the Doosan logo printed on. All handholds and steps are made from a thin, break- resistant plastic material.
The paint has been very cleanly applied and has sharp colour separation. The detailed, printed-on lettering is completely duplicated.
The structure of the cabin is metal and the glass of the windows fits very flush and has printed-on rubber seals. The interior equipment is painted in two colours and is very detailed. On the right-hand door frame, even the panel of the 'Doosan Smart Guidance System' is seen; it is designed to increase the efficiency of the machine. Work spotlights, rear-view mirrors, window wipers, antenna, warning beacon and handholds are all made of plastic and have been separately applied.
gear is raised it reveals the front axle which is modeled somewhat simplified. To make up for that, there are some very nicely done hydraulic cylinders including valves and supply lines as well a very well-done lifting gear with Z-Kinematic. The original bucket with the cutting edge is 3,000 mm wide and includes the overflow fence. The bucket model is made from a single metal casting with Doosan signs printed on both sides.
The solid articulated joint functions like the original by using two hydraulic cylinders. Supply lines could not be found, but there is a wheel chock for each side. Also not replicated was the 'secure for transport device'.
In a press release for the new model, IMC comments that, "We are in co-operation with Doosan Infracore Europe and present the DL 420-7 as a first model." The start has been very successful and, if we interpret the message correctly, further models will follow.
At a glance
+ Functionality
+ True to scale
+ Detailing
– Plastic railings
The front unit, including the two mudguards is made up from two metal castings, likewise, the two separatelymounted headlights. When the lifting
by Remo Stoll
The green paint is a giveaway; this crane lorry has been used by the military some time ago. It was built in Sweden at the beginning of the 60s and was used by the army of this country. On the all-wheel drive of the chassis, flat decks, or, as in this case, a crane was attached. Even in the year 2020 the lorry still seems useful as a farm crane lorry.
This time the winners will receive one of the following prizes: A Liebherr TA 230 from Conrad, the Komatsu PW 148-10 'Black Edition' from UH, and the Amman ARS 110 roller from USK.
Recognize the lorry? Please send us the exact name and type designations. The contest deadline is June 15th, 2021. We will hold a draw to select winners if there are more correct answers than prizes. Please note that only entries with complete mailing address information can be considered so that we can mail the prizes out correctly.
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Solution from Trucks & Construction 2-2021
The rustic wheel loader in question was a Zettelmeyer L 501. The winners this time are: Alexander
Renner who won the Komatsu WA380-8 from NZG, Wolfgang Werner whose prize was the Mercedes-Benz Arocs SLT 8x6 StreamSpace 2.3, and Father Erwin Bauer who won the limited series set with construction site tanks 'Eberhard' from MSM Mountain Scale Manufacturing. Congratulations to all the winners!
Lorry crane from Tekno in 1:50
HMF 2820K5
by Daniel Wietlisbach
The Hølberg Maskin Fabrik or HMF was founded in 1945 and started with the production of motorbikes, as well as trailers and tippers for the agricultural sector. The first HMF crane was introduced in 1952 and ever since then the company has evolved to become a worldwide specialist in lorry cranes. The product offerings contain models from 3 to 95 metric tons.
The jubilee model from Tekno shows a very nice combination and the choice of colour is very pleasing, plus, the large HMF logo is on the unit. The Scania R580 V8 with an 8x4 chassis is not only equipped with a flat deck but, surprisingly, there is a hook arm and a roll-off bin behind the crane.
The 2820K5 is a 28 metric ton crane with five telescoping segments. That means it has a lifting capacity of 5.33 t when extended 4.6 m, and a capacity of 1.41 t when extended to the maximum reach of 14.7 m. The jib reach of the crane can also be extended by using the 'Fly-Jib 700' from HMF.
Since the new Scania cabins from Tekno have already been discussed and the roll-off system is nothing new, we want to concentrate fully on introducing the new crane. All red parts of the 2820K5, that is, the basic frame, as well as the first three telescoping elements, are made from white metal castings.
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For its 75th anniversary, the Danish crane builder HMF contracted with Tekno to build a model for the occasion. A great bonus for all, because this will give even more possibilities for lorry model enthusiasts …
They are held firmly in any desired position by the hydraulic cylinders. The crane has been made true to scale in the folded down version and doesn't jut out over the width of the vehicle. The two telescoping supports are plastic and reach the maximum support width of 5.6 m. Crane pads are included separately in a plastic bag and so is the bolt for the trailer coupling.
either discreetly countersunk or painted.
The very fine construction of such models, and not only from Tekno, requires especially careful handling during the use of the model when simulating true work movements; for example, the 'unfolding' of the boom. The model can be shown in the display case with two to three of the boom segments run out when a load is attached. Without a load, all five segments can be extended without the arm sagging. The maximum reach of 260 mm is almost 90% of the original which is very impressive for a model of a truck crane.
The paint is faultlessly applied and the nice shiny blue in combination with the matt black chassis certainly gives the Jubilee model a 'festive' look! The lettering has been very cleanly applied which is especially nice to see on the large HMF logo which runs over several gaps and dips at the cabin.
The last axle of the 8x4 chassis is steerable and gives the lorry a better turning capability. Because of the space required for the crane, the rolloff bin protrudes relatively far back. The underrun bar can be correctly run out to its full extent. The bin is made from a singlEe casting without a moveable rear flap, but it has moving pulleys.
It will be interesting to observe which company colours the new crane will sport in the future.
At a glance
+ Configuration
+ Model implementation
+ Functionality
While the telescoping arm segments are made from plastic, to save on weight, the hydraulic cylinders were made from mixed material. All bolts at the joints are
Mobile construction crane from WSI in 1:50
Spierings SK487-AT3
by Carstens Bengs
The 36t heavy crane which is a hybrid can be operated with a diesel engine, a completely electric motor or a diesel-electric engine. A 224 kW strong John Deere diesel engine powers the unit.
The three-axle chassis rolls freely on a level surface, the drive train including the prop shaft have been replicated and so have the very fine axle suspensions. The steering is very functional and has a sufficient turning radius. The lower carriage has very nicely engraved anti-skid surfaces. At the rear are two mounting ladders. The rear and front are decorated with the printed-on Sperling logo and there also are simulated headlights.
The very promising prototype of the Spierings Sk487-AT3 City Boy was already admired at the Bauma. The model has been available since the end of 2020 …
Functionality and details have been perfectly designed and there are some new and convincing solutions. The measurements are correct and the complex kinematic of the crane has been perfectly translated into model form. Of course, the erecting procedure does not follow the prototype exactly.
The very stable supports with internal threads keep the model secure, and, as one would expect, are made from metal castings. So are the support foot plates which are stowed away with the supports to save on space. The little crane leg support pads have been included with the model; they are stored beside the supports when the crane is in transport mode.
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The upper chassis has also been made very well. There is a photo-etched fan guard on top of the engine. Even the little horn is there at the rear. Warning signs and a slewing mechanism mockup complete the details. For accessing this part of the vehicle, a small folding ladder behind the cabin would be used.
tached bolts and so sit perfectly. A very classy detail solution!
A special feature of the crane is the cabin because it is also designed for operating the crane. For this, the little seat can be flipped from the outside for driving or crane-operating mode. The cabin has been modeled with many convincing details in the interior including control monitor, Spierings logo on the driver's seat, down to the window wipers and the necessary set of mirrors.
The tower can be locked in position at 50%, 90% and 100%. Also very nice to see is the hydraulic supply line system for the winches at the top part of the tower. The flexible hose material sits protected beside the tower's base. The mirrors found on the original are modeled.
Three-part tower
The three-part tower of the crane reaches a maximum height of 60 cm at the boom. The cabin moves along the whole length of the tower using a winch. The necessary ladders for this are no longer plugged in, but click into position using small, at-
The winch for the boom holds it very securely and so the model reaches a height of 1.14 m in its steepest position, measured at cable height to the boom tip. When assembling the outrigger boom, a second person should assist, but it is easy to do. An assembly instruction is available only on line but it is extremely detailed.
WSI has translated the extremely complex boom kinematic into model form in a very impressive manner. It is made up of three segments and during transport folds down compactly. Especially notable is the low weight of the boom. Here too, Spierings City Boy has been able to save a lot of weight by constructing it from cast aluminum without suffering any restrictions in functionality.
The winch for the crane trolley makes it possible to attach the trolley to the boom as on the original. There are even some dummy guide rolls. All cable sheaves are individually made and ensure trouble-free operation of the cable.
around 7 t. All boom guy wires have been replicated as on the original: at
At a glance
The hook descends very easily and the trolley moves smoothly the whole length of the boom. The maximum carrying capacity of the prototype is
+ Light boom
+ Ladder attachment system
+ Boom kinematic
– Missing instructions
Tom's truck log
Extensive Spierings logos are on the upper chassis, on the cabin and the boom. Overall, the Spierings SK487AT3 City Boy from WSI convinces because of its perfect detailing and functionality. The new ladder attachment system especially impressed us.
Translation of page 31
I
by Tom Blase believe everyone dreams of a certain lorry, be it a Krupp Mustang or Kenworth W900. For me, it is the first-generation Volvo F10 with the green factory-applied decoration on a white ground.
Father started the engine, what a fantastic sound, and applied pressure to the gas pedal because the twobrake circuit did not have enough pressure yet. They filled quickly and we could start.
In 1977, exactly such a demonstrator vehicle from Volvo Deutschland waited for my father and me in the company's yard in Mainz. It was three a.m. and the temperature was just below 0° Celsius. I sat, freezing and shivering in the brand-new lorry inhaling the new truck smell and could not stop myself taking in every detail. The cabin ceiling and the mattress were still wrapped and sealed in plastic; I never had never seen something like it before.
But the shiny new truck would not release the brakes. We continued to pump air but to no avail. Father got
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The Volvo doesn't move from its spot – or, "Safety valve? Never heard of it!"
bucket after bucket of warm water and poured them on the brake lines and valves hoping that they would 'thaw' so that we could finally go and pick up the container that was waiting for us. I was close to tears. The lorry didn't budge a meter.
said he and pushed a small black button on the dash. The brakes hissed, released and the lorry moved a forward few meters in the direction of the road.
"I've had enough. This thing stays here," were my father's words. "We will take the 260er. At least it runs." I swallowed my disappointment. For me the Volvo was a dream, even though it didn't want to move. Towards morning, my father called the boss to tell of his suffering.
"Didn't the driver release the Standsicherungsventil safety valve? I made a point of showing it to you when I demonstrated the vehicle." Now one of the two looked a bit sheepish and the other one grinned. Score 1 to 0 for the Volvo salesman and his product.
Later, the Volvo salesman was welcomed in the broadest Mainz dialect: "You can take this thing back to where it came from. We don't need anything like it!"
The puzzled man, a Volvo salesman from Dietzenbach, climbed into the cab, started the unit, engaged a gear and tried to drive off. "Oh, this will not work, forgot something,"
My father no longer made comments about the incident. For me, however, the F10 was and still is today the top lorry for me. It took not quite 15 years until I got my own first Volvo, a 10er with 320 hp.
The boss did a trip with the 'exotic foreigner', but for him it was clear: "A thing like that has no room in my yard. Tomorrow I shall ask the Mercedes salesman to call and then we'll buy something from him."
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the front by using telescoping poles, in the middle with a real yet thin steel cable, and at the rear with a guying system made from white metal.
Breathtaking new release from NZG in 1:18
Scania 730S Car transporter
by Daniel Wietlisbach
No other lorry brand holds such high emotional value as the Scania. This was noticed by NZG when they presented the prototype on the 2020 Toy Fair. For fans there is only one kind of lorry, and this is it. "All others are only utility vehicles." Those who like to identify themselves as followers of different brands know all kinds of silly sayings and jokes about the fans of the Swedish lorries.
The tractor lorry from NZG is available in black, white, and combined with the Lohr Autotransport (Lohr car transports) in the very attractive livery of 'Mosolf' which was made available to us to take a closer look. Lorry and trailer are separately packaged, each between two clam-shell halves, very well protected and packaged in the two boxes. From the weight and dimensions one can guess that something
The highest point of interest is always the flagship of the fleet, currently the 770S, which has made its debut on the road just as NZG was in the middle of its production run for the 730S. Most information on the original should be known already; we reported on it in issue 1-2017 of Truck & Construction when we introsduced the Tekno model.
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With the Scania 730S in 1:18, NZG is releasing a top-class lorry model which might make many 1:50 collectors weak in the knees …
big is packaged inside. The Scania has a weight of 5 kg because it comprised mainly of metal, and the trailer is not much lighter than the lorry.
window washing fluid can be made out. A tipping cylinder gives stability when the cabin is tilted. The legendary V8 engine made from several parts is very extensively replicated. A feast for the eyes is the steering column which is made as a cardan shaft. Additionally, when the cabin is in tipping position, the pierced modeled treads of the steps are easy to see.
After the interior comes the engine. Studying the included instructions, one learns that the front flap must be opened before tilting the cabin. The flap is very impressive because of its extremely finely modeled hive-pattern grille behind which the cooler and tank for the
The headlights which are integrated into the front bumpers have been modeled very realistically; here too we find the filigree-like honey-combed grilles. Besides the license plate, there is no other lettering in this area. Many owners find that here 'understatement' is good, because one while knowing what one has, it is unnecessary to trumpet it out to the world. The expert recognizes the flagship of the Swedes despite the chromed decorative trim at the side windows and the exhaust pipe being integrated into the left side cladding. Of course, the vehicle has rear view mirrors with real mirroring surfaces. On the roof are two horns, antennas, four addi-
The 730S comes completely assembled when taken out of the package and is exciting from the first look onwards. The proportions are correct. The model gives no reason for criticism but there is a lot to discover. For example, upon opening the doors the interior is seen; it is detailed down to the smallest item. The dashboard has all the instruments and displays, the armrests of the seats foldup, and there are even modeled seat belts made from fabric. There is a multitude of storage compartments, exactly as many as there is on the original and there even are ventilation louvres.
tional headlights and, of course, the hinged wind deflector.
A separately available accessory package includes a cow catcher and light strips for the front and sides. All parts are fully chromed.
There are four supply lines behind the cab, including the hook-ups, but naturally, they are non-functioning. The chassis too is over the top as far as detailing is concerned which why the model should absolutely be looked at on the underside. Here everything is shown: prop shaft from the engine to the rear axle, fully functioning suspension springs, fuel tanks, exhaust scrubber plant, and, between all of them, the flexible cables and supply lines made from rubber. Additionally, there are two yellow wheel chocks at the rear. The trailer coupling has a functioning locking lever.
Lohr car transporter
Lohr is a French company situated in the Alsace region and is a world leader in the construction of car transporters. The model from
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Translation of pages 32 – 35
NZG depicts one from the Eurolohr 200 series which is designed for lorries with short wheelbases of about 3800 mm. The front part can be coupled on but does not turn, and the trailer is connected with a coupling.
in such a flexible way that it adjusts for many vehicle sizes. This extremely flexible construction method takes some effort to duplicate in model form. It shows, for example, that for this model, no fewer than 24 hydraulic cylinders have been built which allows for the loading decks to be set in any position that the original is capable of.
Eight average-size cars fit on to the transporter but it is constructed
On the model from NZG, this means that first of all, the trailer coupling has to be taken off and replaced with an assembly plate. This part is included in black on the Scania and in blue on the trailer which is a bit confusing because only the black one fits. The front part of the trailer sits on this plate and is fixed to the chassis with screws. After that, it can be connected to the trailer.
At a glance
+ Detailing
+ Functionality
+ Metal content
+ Features
On the left side, between the tandem axles, behind magnetic cabinet lids is a stowing compartment and on the right-hand side an operating panel for the cylinders that adjust the levels.
The tracks are covered with pierced metal sheeting and there are drive-up ramps as well as sufficient items to secure the loaded cars including 28 wheel chocks which fit into openings in the trailer's tracks and so keep the vehicles safe. Last come the safety railings which are just plugged in.
Paint and lettering of the tractor lorry and trailer are faultless and we hope that other colour variants follow soon.
The freight hauler Kaiko, Freiburg
Gone to the dogs
by Erich Urweider
In 2009 the cargo hauling business was in crisis mode. At that time, Michael Finkbeiner was working for the Häring Company and was told to hand back 'his' Scania R620. Since it was the newest lorry in the company, his boss thought that he would get the most money for it were he were to sell it. Since Michael had spruced up the lorry himself and invested some of his own money in it, he asked his boss how much he hoped to get for it.
His boss then suggested that Michael could take over the leasing installments and once the leasing time had run out, the truck would belong to Michael. He also would help him to become independent so that he could earn money with his vehicle. This discussion happened on a Friday and Michael asked to be given time until Monday to think it over. He talked about it with his brother who found the idea so interesting that he also wanted to join. So, together, they approached Michael's boss to inquire whether he had another lorry he wanted to get rid of. Finally, a cousin found out what the two were doing and was also interested. It all ended in three vehicles being taken over. Because of the legal hoops they all had to clear, the company only got to take its first paying trip after being established on the 1st of April 2010. Despite the date, the Kaiko hauling company was no April fool's joke.
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In the midst of the crisis year of 2010, three young drivers went independent. Under the name 'Kaiko', the young freight haulers soon became known among collectors because of several models released by WSI …
Searching for a name
Before arriving at Kaiko, a long search for a name took place. It should be not too long a name and should be easy to say and understand in both Spanish and Italian because the idea of the trio was to make regular trips in the direction of Spain and Italy. An acronym using the first letter of the first name of each of the three members was not feasible and 'Finkbeiner' already existed in various spellings in the trade. Something new had to be found. The three companions met to brainstorm with a bottle of Asbach brandy to increase the willingness to compromise. Everyone got a piece of paper was given the order to write down 10 proposed names. After a few minutes, the cousin's wife entered the room and with her the family Husky who was excited to see everyone, especially Michael Finkbeiner who tried to calm him down. "Yes, Kaiko nice …!" the rest of the sentence was drowned out by the wife's laughter: "You would be a bunch of 'nice' freight haulers if you named your company after a dog!" The three looked at each other and replied in unison: "Yes, Kaiko is the ideal name!"
The first years
For the first three years, driving independently was quite profitable and being their own boss meant that there are no ancillary wage costs to pay. The plan was to drive to Spain with one vehicle and to France with the second, and also to serve Switzerland. Initially, many transports were for a particle board factory. Later on, the company decided to pass on all logistic needs to a large hauling company.
In the third year, the cousin of the two brothers left the hauling company. Just married and with the second child was on the way, long-distance driving trips were no longer compatible with family life. At the same time, the brothers severed all ties with the Häring Company. Two vehicles were sold and only the lorry, baptized 'Black Devil' by Michael, remained. In 2013, a new Scania R560 was purchased for his brother, again on the 1st of April. From then
onwards the lorries were lettered as 'Kaiko'. After that a bit of an obstacle course with Scania followed because Michael wanted to letter the canvas covers with the slogan, 'King of the Road', but an agreement was finally reached. Michael remained true to his maxim, that is, to offer transportation service with well-maintained vehicles and within legal frameworks.
A standard is necessary
Beginning in 2013, a new vehicle joined the company fleet every year until it reached its maximum number of eight in January of 2020. In 2013, two apprentices were taken on and both successfully completed their apprenticeship. All drivers employed were trained lorry drivers, with one exception.
By the way, the drivers are allowed to choose their vehicles and most of them go to the Scania dealership. But you might be mistaken if you think that it is the drivers ordering eve-
That professionals were working in the company even came to the notice of the insurance company who called towards the middle of 2020 wanting to know if the vehicles were actually on the road because for the previous year and a half no claims had been filed. Since Michael Finkbeiner drives himself and generally contracts out the office work, he knows quickly if a problem crops up. Besides the drivers' drive and rest times which he controls very tightly, he keeps the vehicles in top shape. He does not like it if they are on the road with worn tires. If a driver reports a problem, it is not postponed but fixed immediately. He also takes great interest in the equipment of his vehicles, ensuring that it is well balanced and is up to snuff.
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rything that is good and expensive! On the contrary, it is Michael who insists that the lorries have additional features installed because they increase the re-sale value. The final TCO (total cost occurred?) for every vehicle can only be calculated when the unit stands in the second-hand dealer's yard.
Then there is a steerable axle on each trailer, and aluminum rims; these are not for optical reasons but so that the payload can remain around 24 tons. Equipping the trailers in such a way means more weight can be carried.
Also, Michael ensures that certain standard equipment is the same on all his units, for example, a 'Hawk Eye' brand cornering camera. At first glance, the semi-trailers from Schmitz do not look any different from the standard ones. Here too, Kaiko went the extra mile. For example, they have heavy-duty frames and floors. The large Daimler certification for load restraint is normal, as is the 'Safety roof' which prevents ice accumulations on the semi-trailer roof, and the back-up warning signal.
Pandemic 2020
Financially speaking, many freight haulers were already in deep water before the pandemic and then drowned at the beginning of the lockdown. Overnight, much more room for freight became available, but only 8% was offered by freight brokers. Logistics companies lowered their freight rates and payment practices deteriorated even further.
Last year in February, Kaiko had outstanding payments due to them of around 50'000 Euros, which would usually be paid within four weeks. The outstanding amounts due piled up until, in September, the amount was around 120'000 Euro and payments were delayed by up to nine weeks. This led to the 'small guy' (hauling company) bankrolling the 'big guy' (big corporations). Several smaller and medium freight hauling companies had to reduce their vehicle fleets.
In addition to this contract, the company was on the road with machinery, and the third leg of the business was freight for the Dachser Company for which one of the R500 Scanias was painted blue. However, the company switched to a cheaper contractor just before the pandemic.
Before the crisis, Keiko specialized in concert event transports, driving for a company which handled multiple-use beverage cups. They drove clean cups to the concert event and at the end of the concert, transported unwashed cups, cooled down to 5° C, to the nearest plant of the beverage cup company. There they were cleaned and treated so that they were absolutely hygienic again. Then, Kaiko drove them to the next concert event.
Since there have been no live concert events for a year now and many booked transports were cancelled, Kaiko had to look for work at the freight exchanges. By February 2020, one lorry was sold off and in March a second. Initially, both were supposed to be detailed for the show business ready to pull the fleet's existing 'Party semi-trailer'.
Kaiko 2021
Employees 2, including
management
Lorries
2
Founded in 2010
Homepage kaiko-transporte.de
In the second half of the year, two trailers had to be sold. Meanwhile, in February of 2021, three further lorries were disposed of thus cutting the fleet in half. It became clear that probably only Michael Finkbeiner and his brother would be needed to continue operating the company. But the outlook for small freight hauling companies is rather dim. When the company started out, the Freiburg location was perfect.
In the three-country triangle, France-Germany-Switzerland, there was always some freight to be hauled. Today, it is a great disadvantage because freight haulers arrive in Switzerland from the east and take return loads from the close-by German frontier area at almost any price. It is interesting that for the loads to Switzerland they receive a premium price to allow them an empty return trip. Many customers have gotten used to being charged transport price by kilometers and no longer want to pay per trip. Often, it is forgotten that in case of damaged freight, large hauling companies refund only the transportation cost,not the value of the merchandise transported.
Models
WSI is the exclusive modeler of the Kaiko vehicles. They took note of the relatively small freight hauler at the well-known trucker meet in Geiselwind. First released was a complete combination of lorry with semi-trailer in the 'Firebird' scheme followed by the silver 'Viking King'. The 'Black Devil,' Kaiko's first lorry followed and became a sales hit. Next, the 'Interceptor' was released; it was one of the first S-Versions of the Scania. Later came 'Bloodmoon' which did not attract as many fans as it looks rather dark. The next model scheduled to be released is the 'Interceptor II', which sold out very quickly at the factory. There is a plan to release the 'Guardians of the Galaxy' lorry as well.
Translation of pages 42 – 44
Attacking the crawler loaders
Hanomag B 8 b
by Ulf Böge
Crawler loader or wheel loader? This was the question from many construction companies during the late 50s. Hanomag had an answer …
Hanomag also quickly recognized the unbelievable potential of these quick and very mobile loading vehicles and, in 1955,
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began to put their first ideas into practice. The prototypes from the United States inspired Hanomag. Since the end of the 40s, a variety of different types of wheel loaders with many kinds of buckets had been in use there. Even though in Europe, machines with articulated joints, had already been developed, the designers in Hannover decided on a rear-axle steered, front-wheel drive. Their first attempt, named
R 60, was already designed in two different versions by the makers: a front loader and a swing loader. The latter variant was especially 'in vogue' at that time as it allowed for many equipment variations. However, both variants failed the field-testing stage. Every beginning is hard and so more experiments followed.
Loaders with crawler tracks were proven and easy to use. Wheel loaders, also called mobile loaders, were something very modern. The first examples of this type arrived in Europe from the US after the Second World War and astonished the construction industry in Germany. Many vehicle producers then began to engage with this new kind of construction machine in various ways.
In 1960, it was finally ready: the first Hanomag wheel loader
of type B 70 AF went into serial production and was introduced to the public. This time, the machine had four-wheel drive with planetary shafts and the two-cylinder Hanomag D 721 engine capable of 70 hp. Right from the first Hanomag wheel loader, the safety of the driver was paramount. Entry for the operator was made as comfortable as possible, and without the prevalent need to crawl over cylinders or the lifting gear.
Another important step was taken in 1964 with the further development that led to the B 8 Series b. Besides having the new Hanomag engine D 941 with 80 hp, the machine had a torque converter and power shift. New also was the construction of the lifting gear and the placement of the lifting cylinders. The efficiency of the Z-Kinematic which had already proven by the predecessors was markedly improved. Only two levers remained to operate the machine: left for the travel direction and right for all functions of the loading equipment.
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Translation of pages 42 – 44
The driver now was either seated under a roof covered with a kind of tarp and open sides, or in the nicely shaped all-steel cabin with manual air-conditioning which meant 'heater on- windows open, or heater off-windows closed.'
Off-road capabilities
The Hanomag B 8 b was more than convincing in off-road situations. The whole power of the engine was transferred to the four very large tires and the oscillating rear axle could conform to any unevenness of the ground. The steering was hydraulically assisted and the wheels had individual brakes. With a push of a button, the manoeuverability could be increased and the turning radius substantially reduced. When returning to drive on a road surface, a top speed of 40 km/h was possible. At that time, that was considered to be 'Autobahn-driving capable.
truction sites or in quarries, it was also capable of completing a loading cycle in a mere 54 seconds. Many alternative tools, in addition to the 1.0 m 3 standard bucket were available, among them rock forks, dozer blades, lifting hooks or lifting forks. With these tools, quite heavy loads could be moved. After all, the wheel loader had a lifting capacity of 6 t and a working weight of 7.6 t, without mudguards. The choice of tires was impressive with eight different types available. The basic cost of the wheel loader machine in 1968 was around 85'000 DM.
The Hanomag B 8 b was not only a handy loading machine on cons-
Little by little, the Hanomag B 8 b and the types that followed pushed the existing crawler loader out of the market. Its era had come to an end. 3,400 Hanomag B 8 bs were made in the factory at Hannover-Linden. The successor, the more angular looking B 8 c, was then also offered with rear-axle steering. Following the take-over by Massey-Ferguson in 1974, it mutated into the MF 33 B.
Downsville Dam
by Edgar Browning, format 21.5 x 28 cm, 140 pages, black & white pictures, soft cover, English language book ISBN 978-0-578-23093-1
Even though Edgar Bowen passed away last year, his 12th book has now been published. It follows the same pattern as his previous books and is about the construction of the earth dam near Downsville, in New York State, US, between 1947 and 1954. The reservoir lake is one of many which supply the town of New York with 4.5 billion litres of drinking water. To accomplish the massive earthmoving tasks, the following construction machines were used during peak times: 96 Euclid FDT bottom dumpers, 16 Euclid tippers, 9 LeTourneau Model Super Cs with Carryall Scraper, 3 Euclid BV Bandleaders as well as two Bucyrus Erie 54Bs and two P&H 1055 cable-operated excavators with front buckets. (up)
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Me, my Mack, Tehran and back!
by Andy McLean, published by Amazon Fullfillment, Format 15 x 22.6 cm, 332 pages, ca. 140 pictures, pocket book size English, ISBN 979-8-577-35465-7
Andy McLean trained to be a teacher but actually preferred the job work of a truck driver. He found it to be a good way to get paid for traveling. In his newest book, he takes us on a trip to Teheran and back. The load is especially urgent and he is the only driver with experience. As a special incentive, he is given the brand-new Mack of his employer, OHS. The trip starts out in November and his goal is that, come what may, he will be home for Christmas. The book is mainly illustrated with his own pictures. Written as a diary, the stories that go along with the pictures are easy to read. This English-language book is a must-have for friends of the Orient transports. It is available directly from the author or from Amazon. (eu)
IFA W50 / L60
by Frank Rönicke, published by Motorbuch Verlag, Format 29 x 22 cm, 144 pages, many pictures, hard cover, ISBN 978-3-613-04321-3
Almost 600,000 W50/ L60s left the Ludwigsfelde factory where the GDR lorries were built. The Peasant and Workers' State was only allowed to build lorries up to 5 ton carrying capacity, but the production was of political importance. To show off the advantages of Socialism, many IFAs ended up outside the GDR. The book also looks at the predecessors which, like a magician's rabbit out of hat, were produced in demolished factories immediately after the end of the Second World War. In the end, the W50 was made in over 50 different configurations; the most interesting have their own chapters. Rounding off the book is a description of the restoration of a 50W articulated lorry set. (eu)
Liebherr Hydraulikbagger, Volume 2
by Ulf Böge and Rainer Volkwein, published by Podszun Verlag, format 21 x 28 cm, 333 pages, 800 pictures, bound, ISBN 978-3-86133-983-0
Volume Two is dedicated to excavators in the following sectors: open cast mining, material handling, de-construction, and rail and tunnel construction. Each chapter begins with the machines used in the early Liebherr years. The most important excavators in the segment are pictured and described in running text. Of course, even the newest ones were included. For example, the mining excavator R 9600 is described although the release of the original happened only after the publication of this book. So, for a few days it was very current. A 17-page table at the end of this very comprehensive tome is a reference book of all the excavators. (up)
Converting a Ford F250 Pickup truck
Service Truck
by Urs Peyer
In 2016, Sword Models released the first version of the Ford F-250 Super Duty Pickup Truck. Currently, this model is available in about 100 paint scheme versions and lettered for many different companies. Among others, it is available in white with Liebherr lettering (2017). The F series from Ford is the top selling pickup in the US. The smaller brother of the F-250, the F-150 is about as popular in the US as is the VW Golf over here. The F-250 with Crew-cab (4 doors and a rear bench seat) is the preferred vehicle for foremen on large earth moving sites or on surface mining operations. It follows logically that the people responsible from the Liebherr service department are often on the road driving a heavyduty Ford to the large coal, oil or ore mines, there to service their dumpers and large excavators and, preferably, with extra-large tires on their trucks.
It was only a question when, and not if, someone would make a conversion kit with larger tires (21 mm diameter) for the Ford F-250 from Sword. In this case, it was the Jay Roltgen Company which produced the kit in question using a 3D printer. According to current announcements, Jay is planning to open its own Online Shop soon. The kit contains a new underside and four tires
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While car freaks in Europe do everything to lower their vehicles, the opposite is true in the US. Large rims and even larger tires are a must to go under the pickup so the driver almost needs a ladder to get into the cab …
with separate rims. While the tires and rims are made from a transparent material with a fine surface, the underside is black and has a slightly rough surface. This does not distract in the least as only the back bumper of the new part is visible. Wire axles are not included. Tires and rims need only minimal preparation and sanding with fine sandpaper before painting. The kit does not include any axles but the axle housings and rims are pre-drilled to Imperial System measurements which are not available here. It is therefore simplest to drill the holes out with a 2.0 mm drill and get suitable wire material.
new underside could be mounted to the rest of the truck using the two screws previously removed. The rims can then be attached to the 2.0 mm axles. On the surfaces where tires and rims meet, very little or no paint should be applied, so that, in the end, they still fit together. If need be, they can be fixed in place by a drop of glue. The Ford F-250 Liebherr is still available from Weiss Brothers in the US (www.weissbrothers.us). Other colour variants, as well as the silver-coloured tool box on the truck deck are available from DHS Diecast Collectibles (www.dhsdiecast.com).
The existing underframe can be removed from the upper chassis by removing two screws. The cabin interior with the seats and the two running boards sits directly on the new underside. Just a tip here: when handling the truck, it is important to be careful not to damage the fine radio antenna!
On the kit we had, it was necessary to remove some material from the suspension struts so that the
Tunnel construction in 1:50 – part 1
Mühlbergtunnel
by Markus Lindner
The many kinds of preparatory work that precede the actual tunneling work are also interesting to model. Reason enough to think about how such a construction project could be replicated in scale in your hobby room at home from the very first turning of the sod to the opening day for traffic.
Of course, it is not possible to build the several kilometer-long road and the complete tunnel section in which work sequences are repeated many times over. Instead, we concentrate on unquestionably the most interesting part: one of the tunnel portals, construction contract 'section 3.' By selectively compressing this section, it is quite easy to build it on a 65 x 100 cm diorama. The compact size has many advantages: it is compact enough to be handled by one person, can
Tunnel construction is without a doubt among the most spectacular of construction projects. One of the reasons, is that the special construction machines used for underground work are rarely be seen on dioramas …
The basic scenario imagined here is that the fictitious town of Neukirch, situated in a typical valley in the Mittelgebirgen (German Central mountain chain), needs to be relieved of heavy through traffic. The road running right through the middle of town is the Bundesstrasse B78 (Federal highway B78) and is supposedly to be diverted around town with a bypass called the B78n. The alignment that is the best solution for bypassing the town has a 1.2 kmlong road tunnel.
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be transported in a car without any problems but is still large enough to show the whole construction sequence without having to make serious compromises.
a seamless transition to the background easier. The whole is now covered with fine sifted earth.
For such a construction project, a large number and variety of machines are required. These are often on site at the same time. Keeping this in mind, an open or cutaway presentation of the way the road is going to run is important. Machines currently not in use can be 'parked' outside the diorama surface and are 'at work' there, while work on the visible section continues with other machines.
The actual tunnel diorama is more elaborate. The base and the landscape contours are made from the reliable, light Styrodur sheet stock in which the yet-to-be-built tunnel profile has already been shaped in the mountain part. The Styrodur landscape is then covered with coloured plaster and gets a coat of sifted earth.
An absolutely necessary part of such a tunnel construction site is a site camp with all its specialized equipment. Since there is no space for this on the planned diorama surface, a completely separate diorama with the same measurements will be built. It can be kept relatively simple: a Styrodur surface in which the later construction pits for foundations and such can be quite easily worked in. The landscape of piled-up earthworks slopes towards the outside edges to make
On the right-hand side, a semirelief industrial building indicates
The end of the diorama at the left rear will be a deciduous forest. The majority will be trees from the Heki Artline Series which are also suitable for the larger 1:50 scale. For the undergrowth, I used bushes from Heki Filigranbüschen (fine bush material) and pieces cut off of landscape mats from Martin Welberg. When choosing and placing the trees, it is important to remember that during the construction sequences of the tunnel portal, a tower crane will be used and it needs enough air space for its boom to turn around over the tree tops.
that there is a business park right beside the construction site giving a visual end to the background at that point. The construction of such a scratch-built building from card and Polystyrol parts has already been described in detail in an earlier project. Finally, the area leading to the cut and future tunnel portal that will be excavated also needs be filled with sifted ground cover. The open front edges are covered with thin Styrodur sheet stock and is just screwed on to the rest of the construction, closed in, and where it meets the landscape, sealed up. After this, all is complete. Nothing more stands in the way the beginning of construction work.
The very first job on hand necessitates the clear-cutting of the large construction area. For this, the contractors used typical logging equipment like a harvester from Valmet as well as a log forwarder from Rottne. Small diameter trees and bushes were removed by a Liebherr R 916 crawler excavator, equipped with a hydraulic mulching head. To remove the root system, a root-lifting rake was used. The stripping of the humus layer was done with a Komatsu D51 E-Xi crawler with rear ripping attachment.
with the help of a Cat D6T bulldozer. This is happening on a former farmer's field located right beside the construction site.
It will first be used as an intermediate storage place for logs and foliage material which will be shredded there and then transported off site. Now that the preparations are completed, further work can start: the construction of the tunnel approach, and at the same time, the erecting of the construction camp.
Parallel to the works on the actual right of way, the site for the construction camp is being prepared
New on the market
Translation of pages 52 – 53
Universal Hobbies 1:50
The mighty Komatsu WA 6008 is a favorite machine for use in quarries. There, machines whose tools are least affected by wear and tear are spared nothing. That is why Universal Hobbies now is releasing a variation of their models with a special rock bucket and stone block handler attachment in one set. Both tools are new and true to the original: the bucket has a finely pierced overflow fence, corner teeth and printed-on lettering; the forks of the block handler are plain and simple. To exchange the tools, two small Phillips screws have to
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be removed from the back of the tool attachment plate which is not that easy and therefore shouldn't be un-dertaken frequently. Prototypically, there is also additional ballast at the rear.
MT-Dioramenbau 1:50
It is said that there are some machine operators who step into the cabin of the construction machine, their realm, wearing only socks; rubber boots have to stay outside. And also, rubber boots can often be seen in neat rows outside construc-tion trailers. Therefore, Markus Thalmüller is offering this little detail for diorama builders and lovers of details: rubber booths from his 3-D printer.
([email protected] or over Facebook at mtdioramenbau.)
NZG 1:50
On the Meiller dumping semitrailer introduced in issue 1-2021 we critiqued that the lifting axle did not reach the floor, even with the holding screw is loosed. Following the advice of the producer, it came to light on a later test that some of the paint blocked the mechanism when the screw was undone. Once the paint was cleaned off, the mechanism of the lifting axle performed perfectly.
WSI/ FBM-Bacheli 1:50
Exclusively available from this Swiss dealer is the Scania R580 V8 6x2 articulated lorry of Anderegg Transporte in the livery of 'steffenris'. The certified series is lim-ited to 111 pieces.
Conrad is upgrading the MAN F8
In a social media posting, the producer thanks his fans for the many tips regarding the original of the MAN F8. It will now be produced even more accurately which why the delivery will probably be delayed until fall of this year.
IMC 1:50
This manufacturer is announcing that it will collaborate with Tadano and promises 'some nice models' in the future.
Collector's guide
Here is a list in short form of all the new construction and heavy haulage models announced since our last issue. For truck transport models we recommend that you consult the newsletters of the manufacturers.
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Our partner page
Blasting and covering work in the quarry
In springtime preparation work begins at the quarry so as to be ready for the quarrying season. The earth and humus are scraped off from the future quarry section and deposited at the bottom of the quarry as fill. The top-most rock layer has to be blasted. For years now we have subcontracted this work to Gasser Felstechnik (Rock technology). About 5,000 m 3 of material are loosened this way and then excavated and moved to the quarry bottom. This waste material
Volvo L25 electric
The Eberhard Unternehmungen received the first electric-powered Volvo compact loader in Switzerland. The official handover ceremony of the new Volvo L25 electric was held on February 22nd at the Aebi AG in Regensdorf. Thanks to its electric power, the 5.5 t compact wheel loader works 100% emission-free and is very quiet. The two electro motors, one for driving and the other for
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working the hydraulic system, can produce a maximum of 68 kW. Because of good experiences with the diesel-electric powered construction machines from Caterpillar (three D7E Bulldozers and one 988K XE wheel loader), the all-electric compact wheel loader is an ideal companion for them. It is environmentally friendly and ideal for inner city construction sites. As their contribution creates the places and roads for the current year's quarrying operation. This May, a new sawing machine will commence operation in our quarry. We will introduce it to you in one of the next issues.
to emission free construction sites, Volvo plans to switch all compact wheel loaders and mini excavators to electric power. The Eberhard Unternehmungen will follow all developments in the sectors of alternative fuels and power systems very intently. In the future, several more battery-powered machines will follow the Volvo L25.
News in brief
Caterpillar D 7
The D7 Dozer of the new generation was already be seen during the Las Vegas Conexpo in March of 2020. The official introduction in Europe followed only a year later. Caterpillar is going back to the Delta power for this unit and staying away from diesel electric power. A fully automatic four gear box regulates 197 kW (268 hp) of power produced by the engine. In addition to the standard version with a 7.4 m 3 blade, there is also an LGP version with 915 mm wide grouser track shoes available. As with the D5 and D6 versions, the D7 has a totally redesigned driver's cabin. A large offering of easy-to-use technologies and assistance systems are available for the driver of the new dozer. (up)
Demag PC 6800-1
Under contract to Van Oord Offshore Wind, Sarens NV used a Demag PC 6800-1 to insert 89 foundation piles in the Ijsselmeer. Because of the shallow water depth, the lattice mast crane of the 1,250-ton class worked on a 3,280 m 2 sized pontoon. The Demag was equipped with a 72 m main boom, a 40.5 m-long Superlift mast with a 24 m reach and a total of 610 t in ballast. The 39 m, 250 t steel pipes were taken directly from a freighter. A floating Sheerleg crane was used to lift, erect, position then ram them into the sea bed. Depending on the weather situation, lifting and erecting a pile took up to 90 minutes. (up)
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Renault's digital presentation Liebherr R9600
Renault Trucks went down a new road for their presentation of the Renault T and T High Evolution. It was held on-line in the computer game Euro Truck Simulator 2 (ETS2). The dealers of this virtual community of over 9 million players had hidden the new Renault beneath a red cloth since the 29th of March. There, ETS gamers can sit virtually in the cab of the new Renault T Evolutions. To what degree the ergonomic seats or the multi-function steering wheel could be tried out is disputable. But the design of the outside with the new headlights shows off very nicely on the virtual platform. As well as the presentation of the T and T High Evolution, the construction series C and K were also announced as Evolution series. (eu)
With this first large-size excavator of the new generation, Liebherr replaces the legendary models of the 600-t class, the R996 (introduced in 1995) and R996B (Successor from 2000 onwards). A backhoe bucket with 37.5 m 3 and a working weight of 633 t, and a clamshell bucket with 37 m 3 capacity and 645 t of working weight are available. To supply the necessary power are two QSK-50 engines from Cummins that when combined produce 2500 kW (3400 hp) of power. BHP and Thiess have tested one unit each for one year in Australia's iron ore and open pit coal mining settings. Liebherr is shipping a further six units to Australia by the summer of 2021. Since 1995, 115 units of the R996 alone have been sold Down Under! (up)
Freightliner eCascadia can now be ordered
Over 1.2 million km were logged during the test drives of 38 lorries used by customers both regionally and locally. As order-taking commences, Freightliner will prepare for production from the end of 2022 forwards. The time span will make it possible for customers to work out highly individualized solutions in co-operation with the Freightliner 'eConsulting-Team'. Both batteryoperated models have on-board technology developed in Detroit. The propulsion shaft is available with single or double motors and, with a torque of 31,000 Nm, produces sufficient power for the eCascadia's total weight of 38 t. With full batteries, the maximum distance available is around 400 km. (dw)
75 years of Pegaso
Iveco, true to tradition, informed us about the jubilee of the once big Spanish lorry brand. The first of the two lorries, the Pegaso I and Pegaso II, inherited the modern, flat cabin of the Hispano-Suiza 66-D. The pioneering spirit of Pegaso was especially at the forefront in 1952 when they produced prototypes of an electric-powered lorry. The Pegaso II could be charged in only five hours and had a range of 75 km. Even though it never went into production, it was used as a starting point for the development of trolley buses.
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More than One Sense Per Discourse
Robert Krovetz
NEC Research Institute
Princeton, NJ 08540
[email protected]
Abstract
Previous research has indicated that when a polysemous word appears two or more times in a discourse, it is extremely likely that they will all share the same sense [Gale et al. 92]. However, those results were based on a coarse-grained distinction between senses (e.g., *sentence* in the sense of a ‘prison sentence’ vs. a ‘grammatical sentence’). We report on an analysis of multiple senses within two sense-tagged corpora, Semcor and DSO. These corpora used WordNet for their sense inventory. We found significantly more occurrences of multiple-senses per discourse than reported in [Gale et al. 92] (33% instead of 4%). We also found classes of ambiguous words in which as many as 45% of the senses in the class co-occur within a document. We discuss the implications of these results for the task of word-sense tagging and for the way in which senses should be represented.
1 Introduction
When a word appears more than once in a discourse, how often does it appear with a different meaning? This question is important for several reasons. First, the interaction between lexical semantics and discourse provides information about how word meanings relate to a larger context. In particular, the interaction provides a better understanding of the types of inferences involved. Second, by looking at word senses that systematically co-occur within a discourse we get a better understanding of the distinction between homonymy and polysemy (unrelated vs. related word senses).\(^1\) Word senses that co-occur are more likely to be related than those that are not. Finally,
\(^1\)For example, *race* is homonymous in the sense of ‘human race’ vs. ‘horse race’. *Door* is polysemous in the contexts ‘paint the door’ vs. ‘go through the door’.
the question is important for word sense tagging. If a word appears with only one meaning in a discourse then we can disambiguate only one occurrence and tag the rest of the instances with that sense.
Prior work on the number of senses per discourse was reported in [Gale et al. 92]. Their work was motivated by their experiments with word sense disambiguation. They noticed a strong relationship between discourse and meaning and they proposed the following hypothesis: *When a word occurs more than once in a discourse, the occurrences of that word will share the same meaning.*
To test this hypothesis they conducted an experiment with five subjects. Each subject was given a set of definitions for 9 ambiguous words and a total of 82 pairs of concordance lines for those words. The subjects were asked to determine for each pair whether they corresponded to the same sense or not. The researchers selected 54 pairs from the same discourse and 28 were used as a control to force the judges to say they were different. The control pairs were selected from different discourses and were checked by hand to assure that they did not use the same sense. The result was that 51 of the 54 pairs were judged to be the same sense (by a majority opinion). Of the 28 control pairs, 27 were judged to be different senses. This gave a probability of 94% (51/54) that two ambiguous words drawn from the same discourse will have the same sense. [Gale et al. 92] then assumed that there is a 60/40 split between unambiguous/ambiguous words, so there is a 98% probability that two word occurrences in the same discourse will have the same sense.
[Gale et al. 92] suggested that these results could be used to provide an added constraint for improving the performance of word-sense disambiguation algorithms. They also proposed that it be used to help evaluate sense tagging. Only one instance of the word in a discourse would need to be tagged and the remaining instances could be tagged automatically with the same sense. This would provide a much larger set of training instances, which is a central problem for disambiguation.
In our own experiments with disambiguation we found a number of instances where words appeared in the same document with *more* than one meaning [Krovetz and Croft 92]. These observations were based on experiments with two corpora used in information retrieval. One corpus consisted of titles and abstracts from Communications of the ACM (a Computer Science journal). The other corpus consisted of short articles from TIME magazine. In the CACM corpus a word rarely appeared more than once in a document (since the documents were so short). However, in the TIME corpus we found a number of cases where words appeared in the same document with more than one meaning. A sample of these words is given below:
**party** dinner party / political party
**headed** headed upriver / headed by
**great** great grandson / Great Britain
great Irishmen / Great Britain
We even found one instance in which five different senses of a word occurred within the same document: ‘mile long cliff face’, ‘difficulties … is facing because’, ‘in the face of temptations’, ‘about face’, and ‘his pavilion facing lovely west lake’.
[Gale et al. 92]’s hypothesis raises the question: What is a sense? Most of the work on sense-disambiguation has focused on meanings that are unrelated, the so-called ‘Bank model’ (river bank vs. savings bank). But in practice word senses are often related. Unrelated senses of a word are homonymous and related senses are termed polysemous.\(^3\) In [Gale et al. 92]’s experiments they asked the subjects to determine whether the pairs of concordance lines exhibited the same sense or not. But human judgement will vary depending on whether the senses are homonymous or polysemous [Panman 82]. People will often agree about the sense of a word in context when the senses are unrelated (e.g., we expect that people will reliably tag ‘race’ in the sense of a horse race vs. human race), but people will disagree when the senses are related.
The disagreement between individuals about polysemous senses might be considered an impediment, but we prefer to view it as a source of data. We can use the judgements to help distinguish homonymous from polysemous senses. When the judgements are systematically inconsistent, we predict that the senses will be polysemous. In other words, the inconsistency in human judgement (with respect to determining the meaning of a word in context) can be viewed as a feature rather than a bug.
In addition, there are a variety of tests to help establish word sense identity. For example, we can conjoin two senses and note the anomaly (zeugma): “The newspaper fired its employees and fell off the table” [Cruse 86]. We can also determine whether a word is a member of a class that is systematically ambiguous (e.g., language/people or object/color - see [Krovetz 93]).
[Gale et al. 92]’s hypothesis also raises the question: What is a discourse? Is it a paragraph, a newspaper article, a document that is about a given topic, or something else? How do the concepts of discourse and topic relate to each other? Research on topic segmentation [Hearst 97] and work on text coherence [Morris and Hirst 91] addresses this question. We can’t provide an answer to how this work affects [Gale et al. 92]’s hypothesis, but the question of what constitutes a discourse is central to its testability.
\(^2\)These examples illustrate a difference from other work on word meanings. Most of that work has not considered any morphological variants for a word or differences across part of speech.
\(^3\)The word *polysemy* is itself polysemous. In general usage it is a synonym for lexical ambiguity, but in linguistics it refers to senses that are related.
This paper is concerned with the first question we raised - how does word sense identity affect [Gale et al. 92]'s results? In particular, what happens if we consider the distinction between homonymy and polysemy? We conducted experiments to determine whether [Gale et al. 92]'s hypothesis would hold when applied to finer grained sense distinctions. These experiments are described in the following section.
2 Experiments
Our experiments used two sense-tagged corpora, *Semcor* [Miller et al. 94] and *DSO* [Ng and Lee 96]. Both of these corpora used WordNet as a basis for the sense inventory [Miller 1990]. WordNet contains a large number of words and senses, and is comparable to a good collegiate dictionary in its coverage and sense distinctions. Semcor is a semantic concordance in which all of the open class words\(^4\) for a subset of the Brown corpus\(^5\) were tagged with the sense in WordNet. The DSO corpus is organized differently from Semcor. Rather than tag all open-class words, it consists of a tagging of 191 highly ambiguous words in English within a number of files. These files are drawn from the Brown corpus and the Wall Street Journal. The 191 words are made up of 121 nouns and 70 verbs.
We conducted experiments to determine how often words have more than one meaning per discourse in the two sense-tagged corpora. This was defined as more than one WordNet sense tag in a file from the Brown corpus (for Semcor) and in a file from either the Brown Corpus or the Wall Street Journal for DSO.
For Semcor we wrote a program to identify all instances in which a tagged word occurred in a file from the Brown corpus with more than one sense. The program determined the potential ambiguity of these words (the number of senses they had in WordNet) as well as the actual ambiguity (the number of senses for those words in Semcor). We then computed the proportion of the ambiguous words within the corpus that had more than one sense in a document.
For the DSO corpus we determined how many of the tagged words had more than one sense in a document. We also determined how many documents contained an instance of the tagged word with more than one sense.
3 Results
The statistics for the experiment are given in Table 1. We indicate the number of unique words with a breakdown according to part of speech. We also show the number of words that have more
\(^4\)Nouns, verbs, adjectives, and adverbs.
\(^5\)The Brown corpus consists of 500 discourse fragments of 2000 words, each.
than one sense in WordNet (potential ambiguity) and the number that have more than one sense in the corpus (actual ambiguity). Finally, we indicate the number of words that have more than one sense per discourse.
The statistics provide a strong contrast with the results from [Gale et al. 92]. About 33% of the ambiguous words in the corpus had multiple senses within a discourse. There was no difference in this respect for the different parts of speech.
However, the statistics do show significant differences between the different parts of speech with regard to potential vs. actual ambiguity. The proportion of ambiguous words in WordNet [potential ambiguity] was 47% for nouns, 66% for verbs, and 63% for adjectives. The proportion of potentially ambiguous words that were found to be ambiguous in the corpus was 41%, 50% and 18% for nouns, verbs, and adjectives (respectively). We do not have any explanation for why the actual ambiguity for adjectives is so low.
We also examined words that were ambiguous with regard to part-of-speech. There were 752 words in Semcor that were ambiguous between noun and verb. Of these words, 267 (36%) appeared in a document in both forms. There were 182 words that were ambiguous between noun and adjective. Of these words, 82 (45%) appeared in a document in both forms.
The results with the DSO corpus support the findings with Semcor. All of the 191 words were found to occur in a discourse with more than one sense. On average, 39% of the files containing the tagged word had occurrences of the word with different senses.
4 Analysis
When two senses co-occur in a discourse it is possible that the co-occurrence is accidental. We therefore examined those senses that co-occurred in four or more files (for nouns) and three or more
files (for verbs and adjectives).
For nouns, the systematic sense co-occurrences were primarily due to logical polysemy [Apresjan 75], [Pustejovsky 95] or to general/specific sense distinctions. A sample of these co-occurrences is given below\(^6\):
**Logical Polysemy**
- agent/entity (city, school, church)
- meal/event (dinner)
- language/people (Assyrian, English)
- figure/ground (door)
- result/process (measurement)
- metonymy (sun, diameter)
**General/Specific**
- day (solar day/mother’s day)
- question (the question at hand/ask a question)
- man (race of man/bearded man)
The figure/ground ambiguity refers to *door* as a physical object or to the space occupied by the door. The metonymic ambiguity for *sun* refers to the physical object as opposed to the rays of the sun. For *diameter* we can refer to the line or to the length of the line.
For verbs, the sense co-occurrences were more difficult to characterize. They generally seemed like active/passive distinctions. For example:
**see** ‘We saw a number of problems’ (recognize)
‘We saw the boat’ (perceive)
**know** ‘know a fact’ (be-convinced-of)
‘know the time’ (be-aware-of)
**remember** ‘remember to bring the books’ (keep-in-mind)
‘remember when we bought the books’ (recollect)
For adjectives the different senses reflect either differing dimensions, or absolute/relative distinctions:
\(^6\)Some of the examples occurred in less than four files, but we mention them because they help to illustrate the members of the class.
old not young vs. not new
long spatial vs. temporal
little not big vs. not much
same identical vs. similar
The noun/verb ambiguities often reflected a process/result difference (e.g., *smile, laugh*, or *name*). The noun/adjective ambiguities represent a number of systematic classes:
**nationality or religion** British, German, Catholic, American, Martian (!)
**belief** humanist, liberal, positivist
**made-of** chemical, liquid, metal
**gradable-scale** quiet, young, cold
We note that there are some cases where multiple senses *might* have been identified, but WordNet was not consistent in the distinctions in meaning. For example, *dinner* has the meal vs. event distinction, but the same ambiguity was not represented for *lunch* or *breakfast*. *Assyrian,* and *English* have the language/people distinction, but these senses were not provided for *Dutch* or *Korean.* These omissions are not a criticism against WordNet per se - dictionaries are not designed to contain systematic sense distinctions whenever we have logical polysemy. In our work with the Longman Dictionary [Procter 78] we noticed a number of cases where sense distinctions were not made systematically. These inconsistencies are a reflection of human judgement with regard to polysemy.
The polysemous relations we found for isolated words were also found for lexical phrases. Although phrases usually have only one meaning,\(^7\) we found instances in which they occurred with more than one sense within a discourse. Out of eight ambiguous lexical phrases in Semcor,\(^8\) three occurred with more than one sense in a discourse. These phrases were: *United States* (country vs. government), *interior design* (branch of architecture vs. occupation), and *New York* (city vs. state). The first two instances are similar to other classes of logical polysemy that have been reported in the literature. The country vs. government distinction is akin to the difference between *white*
\(^7\)This generalization is not true for phrasal verbs (verb-particle constructions).
\(^8\)These phrases are all nouns. We also noticed senses of verbs that co-occurred. However, it is especially difficult to analyze phrasal lexemes because they occur less frequently than isolated words. Co-occurrences for particular senses are even more infrequent.
house as a physical entity vs. as an agent (‘He entered the White House’ vs. ‘The White House dismissed the chief prosecutor’). The ambiguity between fields of knowledge and occupations is also common. Although lexical phrases have less ambiguity than isolated words, we observe that the different senses can still co-occur.
The co-occurrence of multiple senses within a discourse can be used as evidence for lexical semantic relations, and to help distinguish homonymy from polysemy. So quack as a noun and as a verb are related in the sense of a sound made by a duck, but not in the sense of a bad doctor. This is akin to gravity/gravitation being related in the sense of ‘the force of gravity’, but not with regard to the ‘gravity of the offense’. In our earlier work we established links between senses in the dictionary by looking for words which occurred in their own definition, but with a different part of speech. We in essence treated dictionary definitions as a small “discourse” (we can even find deictic relationships between dictionary definitions - see [Krovetz 93]). The hypothesis is that if senses co-occur within a discourse they will be related even if they differ in part-of-speech. For example, we would predict that paint as a noun and as a verb will co-occur in a discourse much more often than train as a noun and as a verb.
We can learn about lexical semantic relations by examining dictionary definitions of related senses. For example, the relationship between dust as a noun and as a verb can be one of covering or removing. The dictionary tells us that it has both meanings.
The biggest problem we encountered in our analysis was the number of tagged files. We wanted to ensure that the sense co-occurrences were not simply an accident, so we looked for sense pairs that co-occurred in several files. But the existing tagged corpora are not large enough to get reliable statistics. Dust as a verb only appears twice out of the 106,000 tagged word forms in Semcor. This is not often enough to get statistics about co-occurrence with a noun, much less co-occurrence with specific senses.
5 Conclusions and Future Work
[Gale et al. 92]’s hypothesis is probably correct for homonymous senses. It is unlikely that a document which mentions bank in the sense of a river bank will also use it in the sense of a savings bank. However, even with homonymous senses, we expect there will be certain cases that will predictably co-occur. For example, in legal documents support in the sense of child support can co-occur with support in the sense of supporting an argument. The work reported in this paper shows that the hypothesis is not true with regard to senses that are polysemous.
We do not want to give the impression that the distinction between homonymy and polysemy is straightforward. It is not. In practice the differences in meaning are not always clear. But that does not mean that the distinction between homonymy and polysemy is vacuous. We gain a
better understanding of the difference by looking at systematic classes of ambiguity. Another set of semantically tagged files was just released.\(^9\) These files will allow us to examine a larger number of words in which the multiple senses co-occurrences are systematic.
Our results indicate that we cannot simply adopt [Gale et al. 92]'s suggestion that we disambiguate one occurrence of a word in a discourse and then assign that sense to the other occurrences. However, we can leverage the systematic classes of ambiguity. If a word appears in a discourse and there are senses of that word that are systematically polysemous, we can attempt to tag the other occurrences in the discourse in light of this ambiguity. In the future we will examine rules associated with classes of polysemous words that will allow these occurrences to be tagged.
**Acknowledgements**
I am grateful to David Lebeaux and Christiane Fellbaum for their comments on this paper.
**References**
[Apresjan 75] Apresjan Ju, “Regular Polysemy”, *Linguistics*, Vol. 142, pp. 5-32, 1975.
[Cruse 86] Cruse David, *Lexical Smantics*, Cambridge University Press, 1986.
[Gale et al. 92] Gale William, Kenneth Church, and David Yarowsky, “One Sense Per Discourse”, in *Proceedings of the ARPA Workshop on Speech and Natural Language Processing*, pp. 233–237, 1992.
[Hearst 97] Hearst Marti, “TextTiling: Segmenting Text into Multi-paragraph Subtopic Passages”, *Computational Linguistics*, Vol. 23(1), pp. 33–64, 1997.
[Krovetz and Croft 92] Krovetz Robert and W. Bruce Croft, “Lexical Ambiguity and Information Retrieval”, *ACM Transactions on Information Systems*, pp. 145–161, 1992.
[Krovetz 93] Krovetz Robert, “Sense Linking in a Machine-Readable Dictionary”, in *Proceedings of the 33rd Annual Meeting of the Association for Computational Linguistics*, pp. 330–332, 1993.
[Miller 1990] Miller George, “WordNet: An on-line Lexical Database”, *International Journal of Lexicography*, Vol. 3(4), pp. 235-312, 1990.
\(^9\)Brown2, which consists of an additional 83 files.
[Miller et al. 94] Miller George, Martin Chodorow, Shari Landes, Claudia Leacock, and Robert Thomas, “Using a Semantic Concordance for Sense Identification”, in *Proceedings of the ARPA Human Language Technology Workshop*, 1994.
[Morris and Hirst 91] Morris Jane and Graeme Hirst, “Lexical Cohesion Computed by Thesaural Relations as an Indicator of the Structure of Text”, *Computational Linguistics*, Vol. 17(1), pp. 21–48, 1991.
[Ng and Lee 96] Ng Hwee Tou and Hian Beng Lee, “Integrating Multiple Knowledge Sources to Disambiguate Word Sense: An Exemplar-Based Approach”, in *Proceedings of the 34th Annual Meeting of the Association for Computational Linguistics*, pp. 40–47, 1996
[Panman 82] Panman Otto, “Homonymy and Polysemy”, *Lingua*, Vol. 58, pp. 105–136, 1982
[Procter 78] Procter Paul, *Longman Dictionary of Contemporary English*, Longman, 1978.
[Pustejovsky 95] Pustejovsky James, *The Generative Lexicon*, MIT Press, 1995
[Yarowsky 92] Yarowsky David, “Word Sense Disambiguation Using Statistical Models of Roget’s Categories Trained on Large Corpora”, in *Proceedings of the 14th Conference on Computational Linguistics, COLING-92*, pp. 454–450, 1992.
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2017 Seneca County Home & Living Expo March 3rd, 4th, & 5th
Sponsored By: Seneca County Home Builders Association Location: Tiffin University's Heminger Recreation Center
Hours of Expo: Friday 6pm-9pm / Saturday Noon-8pm / Sunday Noon-4pm
Business Name: ___________________________________________________________________
Business Address: _________________________________________________________________
Business Phone: ________________________________Email: ______________________________
Contact Person (s): _______________________________Phone: _____________________________
Business Website: _________________________________________________________________
Electricity available is 110V only and electricity is limited! Spaces will be sharing electrical outlets due to the limited number available. Vendor Booths are 10’ x 10’ in the main show area with divider curtains provided by SCHBA. Mini Booths are 8’ x 8’ spaces located behind the Vendor Booths. Other spacing options are available for dealerships wanting to display new cars, trucks, atvs, and/or motorcycles upon request. Special pricing would apply. There is NO FOOD allowed in this venue. Bottled water is allowed.
Home Show Vendor Booth
________No. Booths Requested ($300 per member / $500
per non-member / $250 per additional booth)
Home Show Mini Booth
________No. Booths Requested ($100 per booth)
Make checks payable to: Seneca County Home Builders Association or SCHBA. All entries must be accompanied with a $100 non-refundable deposit to guarantee a spot at this year’s show. All registration forms and checks can be sent to: 1458 State Hwy 568 Carey, OH 43316. Questions can be directed to Keith Bouillon at 419-618-5718 or [email protected].
The SCHBA will be providing bags for the event. If you are interested in becoming a Major Sponsor, your name/logo will be included on the bag and in show promotions. Only the first six will be guaranteed a spot on the bags. The Major Sponsor cost is $500. All exhibitors will be allowed to place a small filler item into each bag such as pens, small note pads, flyers, etc. All SCHBA members not taking part in the Home Expo can place an item in the bags for a cost of $50. Anyone taking part in these fillers will be limited to one item per bag per exhibitor/member.
*************************This space is for SCHBA Home Expo Committee Only**********************
Payment Received __/__/__ Check # _____ Booth(s) Assigned ____,____
SENECA COUNTY HOME BUILDERS ASSOCIATION P.O BOX 712 TIFFIN, OH 44883
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Location : Chennai
The flagship hospital of the Apollo Group, Apollo Hospitals Chennai, was established in 1983. Today it is one of the most respected hospitals in the world, and is also amongst the most preferred destinations for both patients from several parts of India, as well as for medical tourism and medical value travel. The hospital specializes in cutting-edge medical procedures. It has over 60 departments spearheaded by internationally trained doctors who are skillfully supported by dedicated patient-care personnel. It is one of the few hospitals in Chennai that have state of the art facilities for various health disorders.
It has been a pioneer among the hospitals in Chennai, and even in India, in many different treatments and procedures.
Apollo Hospitals Chennai – Milestones
* First hospital in India to perform Total Knee Replacement and the Illizarov Procedure.
* Pioneers of Birmingham Hip Resurfacing Procedure in India.
* Pioneers of multi-organ and cord blood transplants in India.
* Apollo Hospitals Chennai completed 10,000 Coronary Angioplasties in 2009. In the initial years, only Balloon Angioplasties were done, This progressed over the years to using metallic stents and medicated stents and further advanced in the recent past to doing many refined procedures like Multi-Vessel Angioplasty, Left Main Angioplasty and Bifurcation Lesions.
* Medical breakthrough was achieved in Cardiac Care at Apollo Hospitals Chennai – successfully completed 25,000 coronary bypass procedures including 10,000 beating heart coronary bypass operations.
* In less than three years since inception, the team at the Apollo Centre for Liver Disease and Transplantation, Chennai completed over 100 Liver Transplantations in June 2011, marking a noteworthy first-of-its-kind milestone in the city of Chennai.
* A 70% success rate in Bone Marrow Transplant.
* First Indian hospital to introduce newer techniques in coronary angioplasty, stereotactic radiotherapy and radio-surgery (for brain tumors).
* First Indian hospital to be awarded the 1S0 9002 and ISO 14001 Certifications.
* First hospital in South India to get accreditation from the Joint Commission International USA.
* Declared as a 'Centre of Excellence' by the Government of India.
* Rated as the "Best Private Sector Hospital in India" by The Week magazine.
* Winner of healthcare awards 2008, instituted by the Express Healthcare Publications (The Indian Express Group) for Overall Best Hospital of the year, Operational Excellence and Leveraging Global Opportunity
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Fr. Stephen Day, Parish Priest, Tel. 02476 411900 Email [email protected] Fr. Peter Conley, Assistant Priest at St Joseph's and at the University, Parish Mobile 07908 817344 Rev David Palmer, Parish Deacon & Catholic Chaplain University of Warwick, Mob 07831 726731 The Presbytery, 1 De Montfort Way, Coventry, CV4 7DU.
32 nd Sunday in Ordinary Time, Remembrance, 8 th November 2020 *** NO PUBLIC MASSES ARE PERMITTED DURING LOCKDOWN ***
Tel: 02476 419 111, email: [email protected]
Safeguarding Officer: Henry Whitney, email: [email protected], Tel: 02476 675 668
Hall Manager: The hall is currently shut.
Parish Website www.sjtwcoventry.org.uk Partner Parish Website www.stmcov.org www.coventry-catholicdeanery.org.uk www.birminghamdiocese.org.uk
I have come that they may have life and have it to the full. (John 10:10)
| Sunday, 8th November Remembrance Day | 10.45 am Live stream 12.30pm Livestream Watch here |
|---|---|
| Monday 9th Nov: Dedication of the Lateran Basilica | 9.00am Live stream at STM stmcov.org |
| Tuesday 10thNov: Pope Leo the Great | 10am Live stream |
| Wednesday 11thNov: St Martin of Tours | 6.30pm Live stream followed by Holy Hour |
| Thursday 12th Nov: St Josaphat | 10.00 am Live stream |
| Friday 13th Nov: Féria | 10.00am Live stream |
| Saturday 14th Nov: Our Lady on Saturday | 10.00am Live stream |
| Sunday, 15th November World Day of the Poor | 10.45 am Live stream 12.30pm Live stream |
WE ARE NOW LIVE ON THE INTERNET! ALL MASSES MAY BE JOINED USING THE WEB CAMERA
Click on the link from the website home page https://www.youtube.com/watch?v=APw4-ldW A m c&f e atu r e = you t u .be
Please pray for the departed, John Folliard, Elizabeth Piercy, Veronica Brownhill, Deacon Frank Lockett, Deacon Peter Kilgallon and all those who have died recently, and for all those whose anniversaries occur about this time: Thomas O'Neill, Alice Lilley, Henry Sherlock, Margaret Bradley, Bridget Kennedy, Francis Keegan, John (Jack) Gavin, Baby Megan Lucas, Rose Turley, Margaret McBride, William Hickey, Hope Twist, Liam Nicholson, Barbara O'Donnell, Doreen Askew, Catherine Robson, Kathleen Bonber, Hannah Lombard, Rev Derek Edwards, Rev John Drinkwater, Rev Petroc Howell, Rev Laurence Smith, Rev William Boyle. Eternal rest grant unto them, O Lord, and let perpetual light shine upon them. May they rest in peace.
Please pray for the sick, including: George Morton, Josie Dekkers, Kevon Perry, Bridget Cherry, Peter Kennedy, Jennifer Shaw, Danny & Mary Harrington, Paddy Beausang, Peter Nottingham and Margaret Dunne.
Prayer as you watch a Livestream Mass:
lmighty and eternal God, our refuge in every danger, to whom we turn in our distress; in faith we pray: look with compassion on the afflicted, grant eternal rest to the dead, comfort to mourners, healing to the sick, peace to the dying, strength to healthcare workers, wisdom to our leaders and the courage to reach out to all in love, so that together we may give glory to your holy name. Through our Lord Jesus Christ, your Son, who lives and reigns with you in the unity of the Holy Spirit, God, for ever and ever. Amen. A
y Jesus, I believe that You are present in the Most Holy Sacrament. I love You above all things, and I desire to receive You into my soul. Since I cannot at this moment receive You sacramentally, come into my heart. I embrace You as if You were already there and unite myself wholly to You. Never permit me to be separated from You. Amen Prayer in time of pandemic: M
The Sanctuary Candle is burning this week for The Sick of the Parish.
FR STEPHEN WRITES: Over just a few days, we have now been returned to 'lockdown' by the Government's decision agreed in Parliament last Wednesday. Despite the hard work of countless thousands of volunteers keeping churches a safe as possible, Masses and services with a congregation are now suspended, together with many other activities we once took for granted. The Cardinal asked for churches to be exempted, but they have not been, and we must, as good citizens, play our part for the common good. I thank the stewards and cleaners at St Joseph's, and I hope that more may join them once public Masses are allowed again. Their importance and the care with which they must do their work cannot be overstated. We have all benefitted from their efforts. We will need to pay special attention to the ways in which we have a duty to keep the congregation safe once public Masses resume.
So what can we do? First, pray. We are asked to set aside a moment at 6pm each day to pray for the end of the pandemic. An obvious thing to do at this time would be to recite the Angelus for that intention. Furthermore,
Saturday 21 November is to be a
National Day of
Prayer for the same intention. If you can access the internet, you may now join the celebration of every Mass at St Joseph's. Please use the web cam to unite yourself in prayer with the offering of Mass, to hear the Word of God proclaimed and, as a parish to unite in prayer at the same time. Use the Act of Spiritual Communion printed on the first page of this sheet. Just between the two partnered parishes of St Joseph's and St Thomas More, the intent will offer you something like 14 Masses and three Holy Hours a week, plus homilies and scriptural reflections. Go further afield and the opportunities are almost countless! St Thomas More webcam is viewable if you click here or via the website www.stmcov.org.
Without the internet, please still pause to pray at the time you would be at Mass: there is much to pray for in the Church, the parish, the world and our own lives, friends and families. Use the Act of Spiritual Communion too.
Secondly, we must also look out for each other. Is there someone you used to visit but can't now? Can you ring them up? Can you print this news sheet from the website and safely let a fellow parishioner with no computer have a copy? Is there someone you can help whose IT skills are not up to finding the parish website and webcam? Do you know of anyone who might need a hand in any other way? Fr Peter and I have been prevented from getting to know many of you by the Corona virus restrictions, so it is almost impossible for us to identify particular needs – but you might well be able to!
The Government has set the lockdown to end on 2 December. Please keep an eye on news and on the parish website to keep up to date. May this lockdown be as short and as successful as possible.
FR PETER REFLECTS: The punchline from a current TV Ad states that "the little things we do, protect the little things we love". We are all recognizing the preciousness of the most ordinary aspects of life we have previously taken for granted. The pandemic also makes us reassess our top priorities and gain a new perspective upon the divine gifts of family, friends and even time itself. St Teresa of Calcutta's daily mindset was "to do something beautiful for God". This profound 'catch phrase' challenges us as it nestles in our consciousness. Her words always have the potential to change our lives for good: "Yesterday is gone. Tomorrow has not yet come. We only have today. Let us begin."
NOVEMBER DEPARTED LIST If you wish to hand in names of the departed to be placed in the sanctuary during November, the month of the Holy Souls, please write your list on a piece of paper and put it through the Presbytery letter box. Thank you.
DURING THE CURRENT LOCKDOWN… GIVING TO THE PARISH During the suspension of public Masses, please do one of these things: put your weekly envelope through the Presbytery letterbox or save your envelopes until you return or you can set up a regular or a single donation on the diocesan website: (www.birminghamdiocese.org.uk) click on Donate (top right) and follow the instructions. When asked which church you're donating to, select 'Coventry: Canley'). Thank you for your giving: the parish still has the bills to pay, of course.
FUNERALS: These may still happen in church under the restrictions that applied to all public Masses with no more than thirty people present and stewards and cleaners are obligatory.
BAPTISMS AND WEDDINGS: These are now suspended except in cases of emergency.
CONFESSION: May be celebrated outdoors in a public space maintaining social distancing.
EMERGENCY PASTORAL CARE: This remains available of course, under the existing guidance for the safety of all involved – carers, relatives, priest and the person receiving the sacraments in an emergency. CHURCH WEBCAM It is now possible to join in with all the worship here over the internet via a link on the home page of the parish website. PLEASE TELL PEOPLE WHO ARE NOT ATTENDING IN PERSON THIS!
SING FOR FUN The sessions that happened in the hall will start as a Zoom session. Derek and Cathy have offered to lead this. If you'd like to join, text 'Singing' to 07930 632 153.
CHURCH WEEKLY COLLECTION:
Collection: £155.00
KNOW ANYONE STRUGGLING TO AFFORD FOOD?
Find out how to receive help from a foodbank and how to give help to support one by visiting coventry.foodbank.org.uk
KEEP IN TOUCH…
Fr Stephen and Fr Peter can be contacted by phone or email. You might find an answering machine sometimes, but we will get back to you.
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934
Date of Report (Date of earliest event reported): May 10, 2018
EDGEWATER TECHNOLOGY, INC.
(Exact name of registrant as specified in its charter)
Delaware (State or other jurisdiction of incorporation)
000-20971 (Commission File No.)
200 Harvard Mill Square, Suite 210 Wakefield, Massachusetts 01880 (Address of Principal Executive Offices)(Zip Code)
Registrant's telephone number, including area code: (781) 246-3343
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
☐ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2-(b))
☐ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
71-0788538 (IRS Employer Identification No.)
ITEM 1.01 ENTRY INTO A MATERIAL DEFINITVE AGREEMENT
Amendment to Credit Facility
On May 10, 2018, the Company and its domestic subsidiaries entered into Amendment No. 3 to Loan Agreement and Waiver to the Credit Facility (the "Third Amendment"), which amended the Company's secured revolving credit facility (the "Credit Facility") with Citizens Bank, N.A. ("Citizens").
The Third Amendment modified certain provisions of the Loan Agreement, including, among other things, the establishment of a cash collateral account, provided as security under the Credit Facility, in the amount of $4,000,000, which amount will be increased to $5,000,000 on or before May 21, 2018 (the "Cash Collateral").
The Credit Facility, as amended by the Third Amendment (the "Amended Credit Facility"), is secured by the personal property of the Company and its domestic subsidiaries, including the Cash Collateral, and is subject to normal covenants. The term of the Amended Credit Facility ends on December 21, 2018, at which point all outstanding amounts under the Amended Credit Facility will be due.
The foregoing description of the Third Amendment is qualified in its entirety by reference to the full text of the Third Amendment, which is filed as Exhibit 10.1 to this Current Report on Form 8-K and incorporated herein by reference.
ITEM 2.03 CREATION OF A DIRECT FINANCIAL OBLIGATION OR AN OBLIGATION UNDER AN OFF-BALANCE SHEET ARRANGEMENT OF A REGISTRANT
The information set forth in Item 1.01 of this Current Report on Form 8-K, including Exhibit 10.1 to this Current Report on Form 8-K, is incorporated herein by reference.
ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS
(d) Exhibits.
Exhibit Number
10.1
Description of Exhibit
Amendment No. 3 to Loan Agreement and Waiver, dated as of May 10, 2018, to Loan Agreement, dated as of September 23, 2013, among Edgewater Technology, Inc., its subsidiaries listed therein and Citizens Bank, N.A.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
Dated: May 14, 2018
EDGEWATER TECHNOLOGY, INC.
By: /s/ Jeffrey Rutherford
Name: Jeffrey Rutherford
Title: Interim President and
Chief Executive Officer
-3-
AMENDMENT NO. 3 TO LOAN AGREEMENT AND WAIVER
This Amendment No. 3 to Loan Agreement and Waiver dated and effective as of May 10, 2018 (this "Amendment") is made by and among Edgewater Technology, Inc., ("Edgewater") a Delaware corporation having an address of 200 Harvard Mill Square, Suite 210, Wakefield, Massachusetts 01880 and its Subsidiaries now or hereafter listed in Schedule 1 hereto (with Edgewater, collectively, the "Borrower") and Citizens Bank, N.A., formerly known as RBS Citizens, N.A. a national banking association with an address at 28 State Street, Boston, Massachusetts 02109 (the "Lender"). All capitalized terms used herein, and not otherwise defined herein, shall have the meanings ascribed to such terms in the Loan Agreement (as defined below).
RECITALS
The Borrower is indebted to Lender pursuant to a certain Loan Agreement dated as of September 23, 2013 by and among Lender and Borrower, as amended by Amendment No. 1 and Joinder dated December 21, 2015 and by Amendment No. 2 and Waiver dated March 16, 2018 (the "Loan Agreement"). The indebtedness described in the Loan Agreement has been further evidenced by an Amended and Restated Revolving Note dated as of December 21, 2015 in the principal amount of up to $15,000,000.00 (the "Revolving Note").
The Borrower has advised the Lender that the Borrower failed to comply with the Minimum Interest Coverage covenant contained in Section 6(j) of the Loan Agreement for the reporting period ended March 31, 2018. The Borrower has requested that the Lender agree to waive the Borrower's failure to comply with such covenant for such reporting period.
The Lender and the Borrower have agreed to modify certain other provisions of the Loan Agreement.
AGREEMENT
In consideration of the foregoing, of the undertakings of the parties hereunder and for other good and valuable consideration, the receipt and sufficiency of which are acknowledged, Borrower and Lender agree as follows:
A. Amendments to Loan Agreement.
1. The following new definition is hereby added to Section 1 of the Loan Agreement in appropriate alphabetical order:
"Cash Collateral" means a cash deposit in a segregated deposit account with the Lender in the amount of $4,000,000.00, which shall be increased to $5,000,000.00 on or before May 21, 2018.
2. The definition of the term "Collateral" contained in Section 1 of the Loan Agreement is hereby deleted and replaced with the following new definition for such term:
"Collateral" means any collateral pledged by the Borrower to the Lender as security for the Borrower's Obligations under this Agreement and the Note, including any collateral pledged pursuant to the Security Agreements and IP Security Agreements and the Cash Collateral."
3. Section 7(c) of the Loan Agreement is hereby deleted in its entirety and is replaced by the following new Section 7(c):
"(c) Set-off. In addition to any rights now or hereafter granted under the Loan Documents and under applicable law and not by way of limitation of any such rights, the Lender is hereby authorized at any time after the occurrence of an Event of Default, without presentment, demand, protest or other notice of any kind to the Borrower, all of which are hereby expressly waived, to set off and to appropriate and apply any and all deposits (general or special) and any other Indebtedness at any time held or owing by the Lender to or for the credit or the account of the Borrower against and on account of the Obligations and liabilities of the Borrower to the Lender under this Agreement or otherwise, irrespective of whether or not the Lender shall have made any demand under this Agreement and although said Obligations, liabilities or claims, or any of them, may then be contingent or unmatured and without regard for the availability or adequacy of other collateral. The Borrower grants to the Lender a security interest with respect to all of its deposits and securities or other property in the possession of the Lender from time to time, including without limitation thereof in the Cash Collateral, and, upon the occurrence of any Event of Default the Lender may exercise all rights and remedies of a secured party under the Uniform Commercial Code with respect thereto."
B. Waivers.
1. The Lender hereby waives the Borrower's failure to comply with the Minimum Interest Coverage covenant contained in Section 6(j) of the Loan Agreement for the reporting period ended March 31, 2018.
2. The waiver provided by the Lender in Section 1 above is a one-time waiver of such covenant, applicable only to the specific covenant and specific time period set forth in Section 1. The Lender's granting of such waiver shall not be deemed to constitute a course of conduct or dealing or to indicate that the Lender will be willing to waive the Borrower's failure to comply with such covenant or with any other terms or conditions of the Loan Agreement or the other Loan Documents at any other time. The Lender reserves the right to require strict compliance by the Borrower with each and every term and condition set forth in the Loan Documents.
3. As a condition to the within waiver, the Borrower has this day delivered to the Lender good and immediately available funds in the amount of $4,000,000.00 as Cash Collateral for the Obligations. The within waiver is subject to the further condition subsequent that the Borrower deposit with the Lender on or before May 21, 2018 and additional sum of $1,000,000.00 such that the Cash Collateral shall be at least $5,000,000.00 on or before May 21, 2018.
C. Miscellaneous.
1. Conditions of Effectiveness. This Amendment shall become effective when, and only when, Lender shall have received: (a) a counterpart of this Amendment executed by each Borrower, (b) deposit by the Borrower with the Lender of the initial Cash Collateral of $4,000,000.00, and (c) such other documents, instruments and agreements as Lender may reasonably request.
The within waiver and amendments are also subject to Borrower's reimbursement to Lender of reasonable legal fees, expenses and other disbursements in connection with this Amendment and closing of the transactions contemplated hereby.
2. No Other Changes. Except for the specific amendments contained herein, no other changes are hereby made to the Loan Agreement, and each Borrower reaffirms its obligations under the Loan Documents (as amended hereby) in their entirety. This Amendment is not intended to extinguish or affect any of the debt evidenced by the Notes or to otherwise modify any of the obligations under any of the Loan Documents, except as amended hereby.
3. Representations, Warranties and Releases. Each Borrower hereby represents and warrants as follows, giving effect to the within waiver: (a) the representations and warranties contained in Section 3 of the Loan Agreement are true, correct and complete in all material respects on and as of the date hereof as though made on and as of such date (except to the extent such representations and warranties relate to an earlier date, in which case they are true and correct as of such date); (b) no Default or Event of Default as described in the Loan Agreement has occurred and is continuing or would result from the signing of this Amendment or the transactions contemplated hereby; and (c) there has been no material adverse change in the condition of Borrower or the ability of Borrower to perform its respective Obligations as amended hereby since the date of the last financial statements furnished to Lender. Each Borrower further: (i) acknowledges and agrees that the Lender has performed all of its obligations under the Loan Documents through the date hereof (ii) acknowledges and agrees that the Borrower has no defense to the full and timely payment and performance of its Obligations under the Loan Documents and (iii) waives any and all defenses, setoffs and counterclaims, if any, against Lender arising out of or related to the Loan Documents or any actions taken by Lender to the date of the execution of this Agreement in connection therewith. Each Borrower hereby releases, remise and discharges the Lender and all past, present and future officers, directors, stockholders, agents, employees, attorneys, consultants, subsidiaries, affiliates, participants, successors and assigns of the Lender from any and all claims, demands and causes of action of any kind, whether known or unknown, arising out of or related to the Loan Documents up to the date of this Amendment.
4. Reference to and Effect on the Loan Agreement. Upon the effectiveness of this Amendment, each reference in the Loan Agreement to "this Agreement", "hereunder", "hereof", "herein" or words of like import shall mean and be a reference to the Loan Agreement as amended hereby. Except as specifically amended above, the Loan Agreement shall remain in full force and effect and is hereby ratified and confirmed. Except as expressly provided herein, the execution, delivery and effectiveness of this Amendment shall not operate as a waiver of any
3
right, power or remedy of Lender under the Loan Agreement, nor constitute a waiver of any provision of the Loan Agreement.
5. Costs, Expenses and Taxes. Borrower agrees to pay on demand all reasonable costs and expenses of Lender in connection with the preparation, execution and delivery of this Amendment and any other instruments and documents to be delivered hereunder, including, without limitation, the reasonable fees and out-of-pocket expenses of counsel for Lender with respect thereto and with respect to advising Lender as to its rights and responsibilities hereunder and thereunder.
6. Execution in Counterparts. This Amendment may be executed in any number of counterparts, each of which when so executed and delivered shall be deemed to be an original and all of which taken together shall constitute but one and the same instrument.
7. WAIVER OF JURY TRIAL. BORROWER AND LENDER HEREBY WAIVE ANY RIGHT TO A TRIAL BY JURY IN ANY ACTION, PROCEEDING OR COUNTERCLAIM OF ANY KIND OR NATURE RELATED DIRECTLY OR INDIRECTLY TO (a) THIS AMENDMENT, (b) THE TRANSACTIONS AND OBLIGATIONS CONTEMPLATED HEREBY AND BY THE OTHER LOAN DOCUMENTS, OR (c) ANY COURSE OF CONDUCT, COURSE OF DEALING, STATEMENTS (ORAL OR WRITTEN), OR ACTIONS OF LENDER OR BORROWER. THE WAIVER MADE HEREUNDER IS MADE KNOWINGLY, VOLUNTARILY, AND INTENTIONALLY FOR SUBSTANTIAL CONSIDERATION AND AS AN INDUCEMENT FOR LENDER TO ENTER INTO THIS AMENDMENT.
8. Governing Law. This Amendment shall be governed by, and construed in accordance with, the laws of the Commonwealth of Massachusetts.
[Signatures appear on the following Pages 5 and 6.]
IN WITNESS WHEREOF, this Note has been executed and delivered under seal May 10, 2018.
BORROWER:
Edgewater Technology, Inc.
/s/ Tom Reid
By /s/Paul McNeice
Witness
Name: Paul McNeice
Title: Interim Chief Financial Officer
Edgewater Technology (Delaware), Inc.
/s/ Tom Reid
By /s/Paul McNeice
Witness
Name: Paul McNeice
Title: Interim Chief Financial Officer
Edgewater Technology-Ranzal, LLC
/s/ Tom Reid
By /s/Paul McNeice
Witness
Name: Paul McNeice
Title: Interim Chief Financial Officer
Fullscope, Inc.
/s/ Tom Reid
By /s/Paul McNeice
Witness
Name: Paul McNeice
Title: Interim Chief Financial Officer
Edgewater Technology-Branchbird, Inc.
/s/ Tom Reid
By /s/Paul McNeice
Witness
Name: Paul McNeice
Title: Interim Chief Financial Officer
Edgewater Technology-M2, Inc.
/s/ Tom Reid
By /s/Paul McNeice
Witness
Name: Paul McNeice
Title: Interim Chief Financial Officer
Edgewater Technology-Zero2Ten, Inc.
/s/ Tom Reid
By /s/Paul McNeice
Witness
Name: Paul McNeice
Title: Interim Chief Financial Officer
5
IN WITNESS WHEREOF, this Note has been executed and delivered under seal May 10, 2018.
LENDER
Citizens Bank, N.A.
/s/ Tom Reid
By: /s/ Brendan Roche
Witness
Name: Brendan Roche
Title: SVP
Schedule 1 Schedule of Borrowers
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BRIAN SANDOVAL Governor
MEMBERS
Kevin E. Burke, Chairman Thomas "Jim" Alexander Margaret Cavin Donald L. Drake Nathaniel W. Hodgson, III Stephen P. Quinn Guy M. Wells
STATE OF NEVADA
STATE CONTRACTORS BOARD
MINUTES OF THE MEETING November 16, 2011
REPLY TO:
Southern Nevada 2310 Corporate Circle Suite 200 Henderson, Nevada 89074 (702) 486-1100 Fax (702) 486-1190
Investigations (702) 486-1110
www.nscb.state.nv.us
Northern Nevada 9670 Gateway Drive, Suite 100 Reno, Nevada 89521 (775) 688-1141 Fax (775) 688-1271 Investigations (775) 688-1150
CALL TO ORDER:
Hearing Officer Hodgson called the meeting of the State Contractors Board to order at 8:30 a.m., Wednesday, November 16, 2011, State Contractors Board, Henderson and Reno, Nevada. Exhibit A is the Meeting Agenda and Exhibit B is the Sign In Log.
BOARD MEMBERS PRESENT:
Mr. Nathaniel Hodgson, Hearing Officer
Mr. Donald Drake, Board Member
Ms. Margaret Cavin, Board Member
STAFF MEMBERS PRESENT:
Ms. Margi Grein, Executive Officer
Mr. Daniel Hammack, Chief of Enforcement
Mr. George Lyford, Director of Investigations
LEGAL COUNSEL PRESENT:
Mr. Jonathan Andrews, Esq., Legal Counsel
Mr. David Brown, Esq., Legal Counsel
Ms. Grein stated the agenda was posted in compliance with the open meeting law on November 10, 2011, at Las Vegas City Hall, Sawyer State Building and Clark County Library. The agenda was also posted in both offices of the Board, Henderson and Reno and on the Board Internet Website.
ADJUDICATING BOARD MEMBER: NATHANIEL HODGSON
1. DISCIPLINARY HEARING:
ATLAS BUILDING AND DEVELOPMENT, LLC, License No. 70308
DAVID PAUL KOERBER, OWNER, dba DAVID KOERBER, License No. 56597
Licensee was present with counsel, Keith Gregory, Esq.
One witness testified for the Board.
The following Agency Exhibits were entered:
Exhibit 1 – Board's Hearing File.
NEVADA STATE CONTRACTORS BOARD MINUTES OF NOVEMBER 16, 2011 PAGE
Exhibit 2 – Operating Agreement of Atlas Building and Development, LLC.
The following Respondent's exhibits were entered.
Exhibit A – David Paul Koerber's Answer to the Board's Amended Complaint dated September 27, 2011.
Hearing Officer Hodgson found Respondent guilty of one (1) violation of NRS 624.3016(1) any fraudulent act committed in the capacity of a contractor, misrepresentation or omission of a fact; one (1) violation of NRS 624.3011(1)(b)(2) willful disregard of the safety or labor laws of the State; one (1) violation of NRS 624.3013(5), as set forth in NAC 624.640(3) failure to notify Board of change of address or personnel; one (1) violation of NRS 624.3013(4) failure to keep bond in force; one (1) violation of NRS 624.3013(3) failure to establish financial responsibility. Respondent was assessed a fine of $1,000.00 for the First Cause of Action; a fine of $500.00 for each of the Second, Fourth and Fifth Causes of Action; a fine of $250.00 for the Third Cause of Action for total fines of $2,750.00 and investigative costs of $1,727.00. The Sixth Cause of Action was dismissed along with the Board's Complaint against David Paul Koerber, license number 56597. License number 70308, Atlas Building and Development, LLC was revoked. Audra Marie Tubin is required to make full restitution to all damaged parties and reimburse the Board for any monies paid out of the Residential Recovery Fund plus fines and investigative costs prior to consideration of future licensure.
2. DISCIPLINARY HEARING:
DANIEL SCOTT LARSON, OWNER, dba SOUTHWESTERN CONSTRUCTION. License Nos. 69555 and 74852
Licensee was not present.
One witness testified for the Board.
The following Agency Exhibits were entered:
Exhibit 1 – Board's Hearing File.
The following Respondent's Exhibits were entered:
Exhibit A – Respondent's Answer to the Board's Complaint dated October 14, 2011.
Exhibit B – Respondent's correspondence dated November 15, 2011.
Hearing Officer Hodgson found Respondent guilty of one (1) violation of NRS 624.3013(3) failure to establish financial responsibility; one (1) violation of NRS 624.302(5) failure to respond to a written request from the Board; one violation of NRS 624.3018(2) certain persons are prohibited from serving as officer, director, associate or partner of licensee. Respondent was assessed a fine of $500.00 for the First Cause of Action; a fine of $250.00 for the Second Cause of Action for total fines of $750.00 and investigative costs of $1,318.00 . Respondent must also pay investigative costs of $1,956.00 from the August 17, 2011 hearing. All costs and fines are to be paid within sixty (60) days of today's hearing or licenses shall be revoked.
ADJUDICATING BOARD MEMBER: MARGARET CAVIN
3. DISCIPLINARY HEARING:
HARDY CONSTRUCTION, INC., License No. 19407B
H. C. I. UNDERGROUND, LLC, License No. 51357A
Licensee was present with counsel, Keith Gregory, Esq.
Mr. Hodgson recused himself based on a past business relationship.
The following Agency Exhibits were entered:
Exhibit 1 – Board's Hearing File.
The following Respondent's Exhibits were entered:
Exhibit A – Respondent's Answer to the Board's Complaint dated September 9, 2011.
Exhibit B – Keith Gregory, Esq.'s correspondence to the Board dated November 7, 2011.
Hearing Officer Cavin found Respondent guilty of one (1) violation of NRS 624.3013(3) failure to establish financial responsibility. Respondent was assessed a fine of $500.00 for the First Cause of Action and investigative costs of $1,586.00. The Second and Third Causes of Action were dismissed. Hearing Officer Cavin accepted the lower limit of $3.8 million and ordered that a year end financial statement for 2011 be provided to the Board by March 15, 2012. Fines and costs are due within thirty (30) days of today's hearing or license number 19407B shall be suspended.
(Continued from September 21, 2011)
4. DISCIPLINARY HEARING:
AQUA BLUE PLUMBING, LLC, dba ORACLE PLUMBING, License Nos. 74101 and 74152
COBALT CONSTRUCTION MANAGEMENT, LLC, License No. 74100
MECHANICAL BUILDING SERVICES, LLC, License No. 68381
Licensee was not present.
Two witnesses testified for the Board.
The following Agency Exhibits were entered:
Exhibit 1 – Board's Hearing File.
Exhibit 2 – A September 27, 2011 e-mail from Ideal Supply Company.
The following Respondent's Exhibits were entered:
Exhibit A –A letter from Mechanical Building Services, LLC to the Board dated August 25, 2011.
Hearing Officer Hodgson found Respondent guilty of one (1) violation of NRS 624.3013(3) failure to establish financial responsibility; one (1) violation of NRS 624.3013(4) failure to keep bond in force; one (1) violation of NRS 624.302(5) failure to respond to a written request from the Board; two (2) violations of NRS 624.3018(2) certain persons are prohibited from serving as officer, director, associate or partner of licensee. Respondent was assessed a fine of $500.00 for each of the First and Second Causes of Action; a fine of $250.00 for the Third Cause of Action for total fines of $1,250.00 and investigative costs of $2,419.00. Mechanical Building Services, LLC, license number 68381 shall have thirty (30) days from today's hearing to replace Kevin Donaldson Hartshorn as the Qualified Individual on the license. If they fail to replace Mr. Hartshorn within thirty (30) days, license number 68381 shall be suspended until Mr. Hartshorn is replaced. If Mechanical Building Services, LLC complies with the Decision and Order the Fifth Cause of Action shall be dismissed. If Mr. Hartshorn
NEVADA STATE CONTRACTORS BOARD MINUTES OF NOVEMBER 16, 2011 PAGE 4
complies with the payment agreement with Ideal Supply, he may be considered to return on Mechanical Building Services, LLC's license. License numbers 74101 and 74152, Aqua Blue Plumbing, LLC, dba Oracle Plumbing, and license number 74100, Cobalt Construction Management, LLC, Barton Kay, Manager and Qualified Individual were revoked.
5. DISCIPLINARY HEARING: (Continued from June 22, 2011 and July 20, 2011)
SOUTHWEST STONE AND TILE, INC., License Nos. 46544 and 46545
Licensee was present with counsel, Charles Bennion, Esq.
Larry Halverson, CPA of Southwest Stone and Tile, Inc. was present.
Three witnesses testified for the Board.
The following Agency Exhibits were entered:
Exhibit 1 – Board's Hearing File.
The following Respondent's Exhibits were entered:
Exhibit A – A reorganization plan.
Exhibit B - Monthly operating statements.
This matter was continued for an additional one-hundred and twenty (120) days.
6. DISCIPLINARY HEARING: (Continued from October 20, 2011)
SACHAN CORPORATION, License No. 73733
Licensee was present.
One witness testified for the Board.
The following Agency Exhibits were entered:
Exhibit 1 – Board's Hearing File.
The following Respondent's Exhibits were entered:
Exhibit A – Respondent's Answer to the Board's Complaint dated July 27, 2011.
Hearing Officer Hodgson found Respondent guilty of one (1) violation of NRS 624.3015(2) bidding in excess of the limit placed on the license by the Board. Respondent was assessed a fine of $500.00 for the First Cause of Action and investigative costs of $1,000.00. The Second Cause of Action, NRS 624.3016(1) was dismissed. Fines and costs are due within sixty (60) days of today's hearing or license number 73733, Sachan Corporation, Shambhu Dayal Sachan, President and Qualified Individual will be suspended.
7. DISCIPLINARY HEARING – DEFAULT ORDERS:
a. ALLIED WEST CONSTRUCTION, INC., License Nos. 49422, 52233 and 69785
Licensee was not present.
The following Agency Exhibits were entered:
Exhibit 1 – Board Hearing File.
Exhibit 2 - Correspondence to the Board from Mr. Darden dated November 15, 2011 stipulating to the revocation of the licenses.
Hearing Officer Hodgson found Respondent Allied West Construction, Inc., license numbers 49422, 52233 and 69785 in default and adopted the Findings of Fact and Conclusion of Law as set forth in the Administrative complaint. The Respondent was found guilty of one (1) violation of NRS 624.3013(3) failure to establish financial responsibility; one (1) violation of NRS 624.3013(4) failure to keep bond in force; NRS 624.3018(2) certain persons are prohibited from serving as officer, director, associate or partner of licensee. Respondent was assessed a fine of $500.00 for each of the First and Second Causes of Action for total fines of $1,000.00 and investigative costs of $1,464.00. License numbers 49422, 52233 and 69785, Allied West Construction, Inc., were revoked. Respondent is required to make full restitution to all damaged parties and reimburse the Board for any monies paid out of the Residential Recovery Fund plus fines and investigative costs prior to consideration of future licensure.
b. ADAMS ENTERPRISES UNLIMITED, INC., dba SIGNATURE SIGNS SERVICES, License No. 70254
Licensee was not present.
The following Agency Exhibits were entered:
Exhibit 1 – Board Hearing File.
Hearing Officer Hodgson found Respondent Adams Enterprises Unlimited, Inc., dba Signature Signs Services, license number 70254 in default and adopted the Findings of Fact and Conclusion of Law as set forth in the Administrative complaint. The Respondent was found guilty of one (1) violation of NRS 624.3013(3) failure to establish financial responsibility; one (1) violation of NRS 624.3013(5), as set forth in NRS 624.263(3) a contractor shall notify the Board in writing upon filing of an application that initiates any proceedings or adjudication in bankruptcy court. Respondent was assessed a fine of $500.00 for First Cause of Action; a fine of $250.00 for the Second Cause of Action for total fines of $750.00 and investigative costs of $1,338.00. License number 70254, Adams Enterprises Unlimited, Inc., dba Signature Signs Services was revoked. Respondent is required to make full restitution to all damaged parties and reimburse the Board for any monies paid out of the Residential Recovery Fund plus fines and investigative costs prior to consideration of future licensure.
ADJOURNMENT
There being no further business to come before the Board, the meeting was adjourned by Hearing Officer Hodgson at 9:35 a.m.
Respectfully Submitted,
___________________________________
Janet Brinkley, Recording Secretary
APPROVED:
NEVADA STATE CONTRACTORS BOARD MINUTES OF NOVEMBER 16, 2011 PAGE 6
_____________________________________
Margi A. Grein, Executive Officer
_____________________________________
Nathaniel Hodgson, Hearing Officer
_____________________________________
Margaret Cavin, Hearing Officer
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535/2021/AR
Event: New contract signed (net PLN 2.2 million).
During yesterday's session LSI Software informed that it signed a contract with CCC.eu (Polkowice). According to the agreement LSI Software will deliver electronic devices to CCC. The contract will be settled until June 30, 2022. The value of the contract will amount to up to net US$ 0.56 million (PLN 2.2 million).
Expected impact: Slightly positive – discounted during yesterday's session. The Company usually earns high c. 30% margins on such contracts.
The report is not a recommendation within the meaning of Commission Delegated Regulation (EU) 2016/958 of 9 March 2016 supplementing Regulation (EU) No 596/2014 of the European Parliament and of the Council with regard to regulatory technical standards for technical arrangements for objective presentation of investment recommendations or other information recommending or suggesting an investment strategy and for disclosure of particular interests or indications of conflicts of interest.
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news release
contact: Glenn Schutz BPA Worldwide 203-447-2873 [email protected]
FOR IMMEDIATE RELEASE
gyro US's Kevin Fraser appointed to BPA Worldwide Board of Directors
Shelton, CT October 1, 2020 – Kevin Fraser, Head of Precision for gyro US, has been appointed to the BPA Worldwide Board of Directors, according to the global assurance provider.
Responsible for overseeing all media operations at gyro, Fraser has over 20 years of industry experience where he established a strong track record of developing innovative, strategically sound, brand-building programs.
"I am really excited to join the BPA Board of Directors," Fraser said. "I look forward to working with the rest of the Board members to help steer the organization to ever greater heights. I am confident this organization will continue to lead in new and innovative ways."
Fraser began his career at J. Walter Thompson where he was selected by agency leadership to serve as a Founding Member of their Communication Strategy Group, working hand-in-hand with creative teams to develop fully integrated, cross-dimensional campaign strategies. As a result, he has a deep understanding of conceptualizing "big idea" integrated programs to address clients' business objectives. Equally strong is Fraser's ability to lead and collaborate across functional areas internally and externally to create breakthrough imaginative ideas – regardless of whether he was at Dentsu, Interpublic Group or Omnicom.
Prior to gyro, Fraser served as SVP, Communications Planning Director at Carat where he oversaw the $400+ million Microsoft Consumer business, globally. He was also a core member of the pitch team that won the $3 billion global Volkswagen Group media business at PHD, the largest win in the agency's history.
"We are very happy to have Kevin join the BPA Board," said Glenn Hansen, BPA President and CEO. "He brings a wealth of experience and knowledge from the agency side of the business that will be an especially welcome addition to the Board."
About BPA Worldwide. BPA Worldwide is in the business of providing assurance. For 80+ years as a not-forprofit assurance service provider, BPA was originally created by advertisers, advertising agencies and the media industry to audit audience claims used in the buying and selling of advertising. Performing 2,100+ annual audits of media channels in more than 20 countries, BPA is a trusted resource for compliance and assurance services.
BPA's services have expanded with the launch of the iCompli brand to assist in the creation of standards and external assurance thereof. We do so for government and industry bodies. BPA iCompli Technology Assurance provides verification that companies are compliant with industry standards in the digital advertising ecosystem.
BPA iCompli Sustainability provides gap analysis, competitor benchmarking and external assurance for companies interested in following GRI, SASB, ASTM and ISO sustainability and corporate social responsibility guidelines and standards.
The latest innovation to move the industry forward is the BPA Media Exchange, an online private marketplace which offers automated media solutions for buyers and sellers of digital advertising.
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Hamiltonian Pontryagin’s Principles for Control Problems Governed by Semilinear Parabolic Equations.
J. P. Raymond*, H. Zidani*
Abstract
In this paper we study optimal control problems governed by semilinear parabolic equations. We obtain necessary optimality conditions in the form of an exact Pontryagin’s minimum principle for distributed and boundary controls (which can be unbounded) and bounded initial controls. These optimality conditions are obtained thanks to new regularity results for linear and nonlinear parabolic equations.
Keywords. Optimal control, nonlinear boundary controls, semilinear parabolic equations, Pontryagin’s minimum principle, unbounded controls.
1 Introduction.
In this paper we consider optimal control problems governed by semilinear parabolic equations with nonlinear boundary conditions. We obtain optimality conditions in the form of three decoupled Pontryagin minimum principles, one for distributed controls, the second one for boundary controls and the last one for initial controls.
The proof of these optimality conditions requires some new regularity results for linear and nonlinear parabolic equations, that we obtain in Section 3. Let us stress on that in nonlinear equations considered in Section 3, the nonlinear term in boundary conditions is neither monotone nor Lipschitz continuous. Moreover the distributed and the boundary controls are not necessarily bounded. To deal with such equations we first study linear equations in which some coefficients are not bounded, but only bounded from below (see Propositions 3.3 and 3.4). Since we plan to consider control problems with pointwise state constraints in future papers, we look for $C^0$-regularity results for the state variables when control variables belong to appropriate Lebesgue spaces. A first step to prove $C^0$-regularity results is often to prove $L^\infty$-estimates.
There are considerable contributions to the study of second order parabolic equations (see for example [22], [11], [19]). However we think that the regularity results stated in Section 3 for linear or nonlinear equation are new (Proposition 3.3, Proposition 3.4, Theorem 3.1). Indeed for linear equations, $L^\infty$-estimates can be obtained by the maximum principle ([22], Chapter 1), by a truncation method ([22], Chapter 3), ([11], Chapter 5). These results deal with Dirichlet boundary conditions or for Robin boundary conditions in the case of bounded coefficients and bounded data. Other results are given in [24] still in the case of bounded coefficients and bounded data. In the case of unbounded data, with Robin boundary conditions and an unbounded coefficient of order zero (which can be negative) in this boundary condition, the truncation method cannot be used.
to derive $L^\infty$-estimates. Here we use a semigroup approach coupled with a comparison principle (Proposition 3.1 and Proposition 3.2). For nonlinear equations some nonmonotone perturbations are considered in [2], [3] but not in the form considered here (it is often supposed that the nonlinear boundary term $g(\cdot, y)$ satisfies $g(\cdot, y)y \geq -c$ for $|y|$ big enough). We suppose here (in the case when $y \mapsto g(\cdot, y)$ is differentiable) that the nonlinear term in boundary conditions satisfies $g'_y(\cdot, y) \geq -c$, which corresponds to $g(\cdot, y)y \geq -c|y|^2$ for $|y|$ big enough. We next use these regularity results to establish in Section 4 some convergence properties for the state and adjoint equations when control variables are replaced by sequence of spike perturbations. We next prove pointwise Pontryagin principles.
Except for convex control problems [31] (with a convex cost functional and a linear state equation), the study of problems with unbounded controls seems to be recent. Their interest is clarified in a paper by H. O. Fattorini [15]. In the nonconvex case, for monotone equations we refer to [5]. Other optimality conditions for problems governed by abstract evolution equations are obtained in [12], [13], [14], [16]. For such problems, the Pontryagin principle is stated as for problems governed by ordinary differential equations except that the Hamiltonian is a functional defined on Banach spaces of infinite dimension. These results cannot be used for problems with nonlinear boundary controls as those considered here. Very recently H. O. Fattorini and T. Murphy have obtained a Pontryagin principle for problems with Dirichlet boundary condition [17] or with Neumann or Robin boundary conditions [18], in the presence of a terminal state constraint. They also prove $C^0$-regularity results for equations similar to those considered here, by using estimates on the Neumann function of the heat equation.
Let us finally mention that applications of results presented here, to optimal control problems with pointwise state constraints, are considered in [27] and [28].
2 Definition of the problem. Main results.
In all the sequel $\Omega$ denotes an open bounded subset in $\mathbb{R}^N$ ($N \geq 2$) of class $C^{2,\beta}$ for some $\beta > 0$ (that is, the boundary $\Gamma$ of $\Omega$ is an $(N - 1)$-dimensional manifold of class $C^{2,\beta}$ such that $\Omega$ lies locally on one side of $\Gamma$). A function is of class $C^{2,\beta}$ if it is of class $C^2$ and if its partial derivatives of second order are Hölder continuous of order $\beta$. An analogous definition takes place for $C^{1,\beta}$. We denote by $q$, $r$ positive numbers satisfying:
$$q > N/2 + 1 \quad \text{and} \quad r > N + 1.$$
We consider a second order differential operator defined by:
$$Ay(x) = -\sum_{i,j=1}^{N} D_i(a_{ij}(x)D_jy(x))$$
with coefficients $a_{ij}$ belonging to $C^{1,\beta}(\overline{\Omega})$ and satisfying the conditions:
$$a_{ij}(x) = a_{ji}(x) \quad \text{for every } i, j \in \{1, ..., N\},$$
$$m_0|\xi|^2 \leq \sum_{i,j=1}^{N} a_{ij}(x)\xi_j\xi_i \leq M|\xi|^2 \quad (1)$$
for all $x \in \overline{\Omega}$ and all $\xi \in \mathbb{R}^N$, with $0 < m_0 \leq M$, ($D_i$ denotes the partial derivative with respect to $x_i$).
2.1 Notation.
Let $T$ be a fixed positive constant. As usual we denote by $Q$ the cylinder $\Omega \times [0, T]$ and by $\Sigma$ the lateral surface $\Gamma \times [0, T]$. For every $1 \leq \tau, \tau_1 \leq \infty$, the norms in the spaces $L^\tau(\Omega)$, $L^\tau(\Gamma)$, $L^\tau(Q)$, $L^\tau(\Sigma)$, $L^\tau(0, T; L^{\tau_1}(\Omega))$, $L^\tau(0, T; L^{\tau_1}(\Gamma))$ will be denoted by $\|\cdot\|_{\tau, \Omega}$, $\|\cdot\|_{\tau, \Gamma}$, $\|\cdot\|_{\tau, Q}$, $\|\cdot\|_{\tau, \Sigma}$, $\|\cdot\|_{\tau, \tau_1, \Omega}$, $\|\cdot\|_{\tau, \tau_1, \Gamma}$. The Hilbert space $W(0, T; H^1(\Omega), (H^1(\Omega))') = \{y \in L^2(0, T; H^1(\Omega)) \mid \frac{dy}{dt} \in L^2(0, T; (H^1(\Omega))')\}$ will be denoted by $W(0, T)$.
Even if our notation is not usual, for every $0 \leq t_1 \leq t_2 \leq T$, we denote by $C(\overline{Q}_{t_1, t_2})$ the space
$$C(\overline{Q}_{t_1, t_2}) = \{y \in L^2(Q) \mid y \text{ is continuous on } \overline{\Omega} \times [t_1, t_2]\},$$
and we define the seminorm: $\|y\|_{C(\overline{Q}_{t_1, t_2})} = \sup\{|y(x, t)| \mid (x, t) \in \overline{\Omega} \times [t_1, t_2]\}$. It is clear that $C(\overline{Q}_{t_1, t_2})$ is a Banach space with the norm $\|\cdot\|_{L^2(Q)} + \|\cdot\|_{C(\overline{Q}_{t_1, t_2})}$.
In all the sequel, we denote by $C_i$, for $i \in N^*$, constants that intervene in the estimates in the various propositions, while the letters $K$ or $K_i$, $i \in N$, throughout the proofs denote various constants depending on known quantities.
2.2 State equation.
We consider a control system described by the parabolic equation:
$$\frac{\partial y}{\partial t} + Ay + f(x, t, y, u) = 0 \quad \text{in } Q,$$
$$\frac{\partial y}{\partial n_A} + g(s, t, y, v) = 0 \quad \text{on } \Sigma,$$
$$y(\cdot, 0) = w \quad \text{in } \Omega,$$
where $\frac{\partial y}{\partial n_A}(s, t) = \sum_{i,j} a_{ij}(s) D_j y(s, t) n_i(s)$ is the conormal derivative of $y$ associated with $A$, $n = (n_1, ..., n_N)$ is the outward unit normal to $\Gamma$. The control variables $u$, $v$ and $w$ respectively belong to $L^q(Q)$, $L^r(\Sigma)$ and $L^\infty(\Omega)$.
We make the following assumptions on $f$ and $g$.
(A1) - For every $(y, u) \in \mathbb{R}^2$, $f(\cdot, y, u)$ is measurable on $Q$. For almost every $(x, t) \in Q$, $f(x, t, \cdot)$ is continuous on $\mathbb{R} \times \mathbb{R}$. For almost every $(x, t) \in Q$ and every $u \in \mathbb{R}$, $f(x, t, \cdot, u)$ is of class $C^1$ on $\mathbb{R}$. The following estimates are verified
$$|f(x, t, 0, u)| \leq M_1(x, t) + m_1|u|,$$
$$C_0 \leq f_y'(x, t, y, u) \leq (M_1(x, t) + m_1|u|)\eta(|y|),$$
where $M_1$ belongs to $L^q(Q)$, $\eta$ is a nondecreasing function from $\mathbb{R}^+$ to $\mathbb{R}^+$, $m_1 \in \mathbb{R}^+$ and $C_0 \in \mathbb{R}$.
(A2) - For every $(y, v) \in \mathbb{R}^2$, $g(\cdot, y, v)$ is measurable on $\Sigma$. For almost every $(s, t) \in \Sigma$, $g(s, t, \cdot)$ is continuous on $\mathbb{R} \times \mathbb{R}$. For almost every $(s, t) \in \Sigma$ and every $v \in \mathbb{R}$, $g(s, t, \cdot, v)$ is of class $C^1$ on $\mathbb{R}$. The following estimates are verified
$$|g(s, t, 0, v)| \leq M_2(s, t) + m_1|v|,$$
$$C_0 \leq g_y'(s, t, y, v) \leq (M_2(s, t) + m_1|v|)\eta(|y|),$$
where $M_2$ belongs to $L^r(\Sigma)$, $C_0, m_1$ and $\eta$ are as in (A1).
**Remark 2.1.** Thanks to (A1)-(A2), we prove in Section 3.2 the existence and uniqueness in $W(0,T) \cap L^\infty(Q)$ of a weak solution for (2). In [18] existence of local solutions, for some nonlinear heat equations, is proved when the nonlinearity is locally Lipschitz continuous with respect to $y$. Here if we replace the above estimates on $f'_y$ and $g'_y$ by
$$C_0\eta(|y|) \leq f'_y(x,t,y,u) \leq (M_1(x,t)+m_1|u|)\eta(|y|), \quad C_0\eta(|y|) \leq g'_y(s,t,y,v) \leq (M_2(s,t)+m_1|v|)\eta(|y|),$$
and if $y_0 \in C(\overline{\Omega})$, then we can also prove that (2) admits a solution in $W(0,\tilde{T}) \cap C(\overline{\Omega} \times [0,\tilde{T}])$ for some $0 < \tilde{T} \leq T$.
### 2.3 The control problem.
We consider the functional $J$ defined on $(W(0,T) \cap L^\infty(Q)) \times L^q(Q) \times L^r(\Sigma) \times L^\infty(\Omega)$ by
$$J(y,u,v,w) = \int_Q F(x,t,y,u) \, dxdt + \int_\Sigma G(s,t,y,v) \, dsdt + \int_\Omega \ell(x,y(x,T),w(x))dx,$$
where $F$, $G$, $\ell$ satisfy the following assumptions.
**(A3)** - For every $(y,w) \in \mathbb{R}^2$, $\ell(\cdot,y,w)$ is measurable on $\Omega$. For almost every $x \in \Omega$, $\ell(x,\cdot)$ is continuous on $\mathbb{R} \times \mathbb{R}$. For almost every $x \in \Omega$ and every $w \in \mathbb{R}$, $\ell(x,\cdot,w)$ is of class $C^1$ on $\mathbb{R}$. The following estimates are verified
$$|\ell(x,0,w)| \leq M_3(x)(1+|w|), \quad |\ell'_y(x,y,w)| \leq (M_4+m_1|w|)\eta(|y|),$$
where $M_3 \in L^1(\Omega)$, $M_4 \in \mathbb{R}^+$ and $m_1, \eta$ are as in (A1).
**(A4)** - For every $(y,u) \in \mathbb{R}^2$, $F(\cdot,y,u)$ is measurable on $Q$. For almost every $(x,t) \in Q$, $F(x,t,\cdot)$ is continuous on $\mathbb{R} \times \mathbb{R}$. For almost every $(x,t) \in Q$ and every $u \in \mathbb{R}$, $F(x,t,\cdot,u)$ is of class $C^1$ on $\mathbb{R}$. The following estimates are verified
$$|F(x,t,0,u)| \leq M_5(x,t) + m_1|u|^q, \quad |F'_y(x,t,y,u)| \leq (M_1(x,t) + m_1|u|)\eta(|y|),$$
where $M_5 \in L^1(Q)$, $M_1, m_1$ and $\eta$ are as in (A1).
**(A5)** - For every $(y,v) \in \mathbb{R}^2$, $G(\cdot,y,v)$ is measurable on $\Sigma$. For almost every $(s,t) \in \Sigma$, $G(s,t,\cdot,\cdot)$ is continuous on $\mathbb{R} \times \mathbb{R}$. For almost every $(s,t) \in \Sigma$ and every $v \in \mathbb{R}$, $G(s,t,\cdot,v)$ is of class $C^1$ on $\mathbb{R}$. The following estimates are verified
$$|G(s,t,0,v)| \leq M_6(s,t) + m_1|v|^r, \quad |G'_y(s,t,y,v)| \leq (M_2(s,t) + m_1|v|)\eta(|y|),$$
where $M_6 \in L^1(\Sigma)$, $M_2, m_1$ and $\eta$ are as in (A2).
The sets of constraints on $u$, $v$ and $w$ are defined by
$$U_{ad} = \{ u \in L^q(Q) \mid u(x,t) \in K_U \text{ for a.e. } (x,t) \in Q \},$$
$$V_{ad} = \{ v \in L^r(\Sigma) \mid v(s,t) \in K_V \text{ for a.e. } (s,t) \in \Sigma \},$$
$$W_{ad} = \{ w \in L^\infty(\Omega) \mid w(x) \in K_W \text{ for a.e. } x \in \Omega \},$$
where $K_U$, $K_V$ and $K_W$ are nonempty closed subsets in $\mathbb{R}$.
We study the control problem:
\[(P) \quad \inf \{ J(y, u, v, w) \mid (y, u, v, w) \in (W(0, T) \cap L^\infty(Q)) \times U_{ad} \times V_{ad} \times W_{ad}, (y, u, v, w) \text{ satisfies (2)} \}.\]
**Remark 2.2.** Thanks to (A3)-(A5) and to Theorem 3.1, the infimum of $(P)$ will be finite if we suppose for example that
\[F(x, t, y, u) \geq m_2 |u|^q - m_3 |y|^{\tau_1}, \quad G(s, t, y, v) \geq m_4 |v|^r - m_5 |y|^{\tau_2}, \quad K_W \text{ is bounded in } \mathbb{R},\]
where $m_i$ (for $2 \leq i \leq 5$) are positive constants and $1 \leq \tau_1 < \min(q, r), 1 \leq \tau_2 < \min(q, r)$.
### 2.4 Pontryagin minimum principles.
We define a distributed Hamiltonian function, a boundary Hamiltonian function and an initial Hamiltonian function by:
\[H_Q(x, t, y, u, p) = F(x, t, y, u) - pf(x, t, y, u)\]
for every $(x, t, y, u, p) \in \Omega \times ]0, T[ \times \mathbb{R} \times \mathbb{R} \times \mathbb{R}$,
\[H_\Sigma(s, t, y, v, p) = G(s, t, y, v) - pg(s, t, y, v)\]
for every $(s, t, y, v, p) \in \Gamma \times ]0, T[ \times \mathbb{R} \times \mathbb{R} \times \mathbb{R}$, and
\[H_\Omega(x, y, w, p) = \ell(x, y, w) + pw\]
for every $(x, y, w, p) \in \Omega \times \mathbb{R} \times \mathbb{R} \times \mathbb{R}$.
In Section 4, we prove optimality conditions for $(P)$ in the form of three decoupled Pontryagin principles stated in the following Theorem.
**Theorem 2.1** If $(\bar{y}, \bar{u}, \bar{v}, \bar{w})$ is a solution of $(P)$, there then exists $\bar{p} \in W(0, T) \cap C_b(\bar{Q} \setminus (\bar{\Omega} \times \{T\}))$ satisfying the equation
\[-\frac{\partial p}{\partial t} + Ap + f'_y(x, t, \bar{y}, \bar{u})p = F'_y(x, t, \bar{y}, \bar{u}) \quad \text{in } Q,\]
\[\frac{\partial p}{\partial n_A} + g'_y(s, t, \bar{y}, \bar{v})p = G'_y(s, t, \bar{y}, \bar{v}) \quad \text{on } \Sigma,\]
\[p(T) = \ell'_y(x, \bar{y}, \bar{w}) \quad \text{in } \Omega,\]
and such that:
\[H_Q(x, t, \bar{y}(x, t), \bar{u}(x, t), \bar{p}(x, t)) = \min_{u \in K_U} H_Q(x, t, \bar{y}(x, t), u, \bar{p}(x, t)) \quad \text{for a.e. } (x, t) \in Q,\]
\[H_\Sigma(s, t, \bar{y}(s, t), \bar{v}(s, t), \bar{p}(s, t)) = \min_{v \in K_V} H_\Sigma(s, t, \bar{y}(s, t), v, \bar{p}(s, t)) \quad \text{for a.e. } (s, t) \in \Sigma,\]
\[H_\Omega(x, \bar{y}(x, T), \bar{w}(x), \bar{p}(x, 0)) = \min_{w \in K_W} H_\Omega(x, \bar{y}(x, T), w, \bar{p}(x, 0)) \quad \text{for a.e. } x \in \Omega.\]
3 State equation and linearized state equation.
3.1 Technical results for linear equations.
Let $\tilde{A}$ be the operator defined by
$$D(\tilde{A}) = \{ y \in C^2(\overline{\Omega}) \mid \frac{\partial y}{\partial n_A} + k_2 y = 0 \text{ on } \Gamma \}, \quad \tilde{A}y = Ay + k_1 y \quad \text{for every } y \in D(\tilde{A}),$$
where $k_1 \in \mathbb{R}$ and $k_2 \in \mathbb{R}$ are such that
$$\sum_{i,j} \int_{\Omega} a_{ij}(x)D_j y(x)D_i y(x) \, dx + \int_{\Omega} k_1 y(x)^2 \, dx + \int_{\Gamma} k_2 y(s)^2 \, ds \geq \frac{m_0}{2} ||y||^2_{H^1(\Omega)} \quad (4)$$
for every $y \in D(\tilde{A})$, ($m_0$ is the constant in (1)).
For $1 \leq l < \infty$, we denote by $A_l$ the closure of $\tilde{A}$ in $L^l(\Omega)$. The operator $(-A_l)$ is the infinitesimal generator of a strongly continuous semigroup $(S_l(t))_{t \geq 0}$. For $1 \leq l < \infty$, it is well known that this semigroup is analytic ([20], [4]) and the domain of $A_l$ is $D(A_l) = \{ y \in W^{2,l}(\Omega) \mid \frac{\partial y}{\partial n_A} + k_2 y = 0 \text{ on } \Gamma \}$. The case $l = 1$ is studied in [4], $(S_1(t))_{t \geq 0}$ is still analytic and the domain of $A_1$ is the set of functions $y \in L^1(\Omega)$ such that there exists $z \in L^1(\Omega)$ satisfying $\int_{\Omega} z(x)v(x) \, dx = \int_{\Omega} y(x)\tilde{A}v(x) \, dx$ for every $v \in D(\tilde{A})$ (remark that here the formal adjoint of $\tilde{A}$ is $\tilde{A}$ itself). Since the spectrum of $A_l$ does not depend on $1 \leq l < \infty$ (see [4], p. 240 and Corollary 9.3), thanks to (4), 0 belongs to the resolvent of $(-A_l)$ and we can define $A_l^\gamma$ (the $\gamma$-power of $A_l$). For $\gamma > 0$, $A_l^{-\gamma}$ is a bounded operator on $L^l(\Omega)$, it is one-to-one from $L^l(\Omega)$ onto its range; $A_l^\gamma$ is defined by $A_l^\gamma = (A_l^{-\gamma})^{-1}$, as a closed and unbounded operator in $L^l(\Omega)$ whose domain $X_\gamma^l$ is the range of $A_l^{-\gamma}$. Still with (4) (and because $\sigma(A_l) = \sigma(A_2)$ for $1 \leq l < \infty$), we have (see [21], Theorem 1.4.3):
$$||A_l^\gamma S_l(t)\varphi||_{l,\Omega} \leq C_1 t^{-\gamma} ||\varphi||_{l,\Omega}, \quad (5)$$
where $C_1$ only depends on $l, \gamma, N$ and $\Omega$ (let us mention that the estimate (5) holds for any analytic semigroup for which $\text{Re} \sigma(A_l) \geq \delta > 0$). For $l = \infty$, $A_l$ is the closure of $\tilde{A}$ in $C(\overline{\Omega})$, $(S_l(t))_{t \geq 0}$ is the semigroup in $C(\overline{\Omega})$ generated by $(-A_l)$. For every $t \geq 0$ and for $l = \infty$, $S_l(t)$ can be still considered as a continuous linear operator from $L^\infty(\Omega)$ into $L^\infty(\Omega)$ (but $(S_l(t))_{t \geq 0}$ is not a continuous semigroup in $L^\infty(\Omega)$).
**Lemma 3.1** For every $1 \leq l \leq \lambda \leq \infty$ with $l < \infty$, there exists a positive constant $C_2 = C_2(N, l, \lambda, \Omega, k_1, k_2)$ such that:
$$||S_l(t)\varphi||_{\lambda,\Omega} \leq C_2(t^{-\frac{N}{2}(\frac{1}{l} - \frac{1}{\lambda})})||\varphi||_{l,\Omega}, \quad (6)$$
for every $\varphi \in L^l(\Omega)$ and every $t > 0$. For every $1 \leq l \leq \lambda \leq \infty$ with $l < \infty$, for every $\alpha > 0$, there exists a positive constant $C_3 = C_3(N, l, \lambda, \alpha, \Omega, k_1, k_2)$ such that:
$$||A_l^\alpha S_l(t)\varphi||_{\lambda,\Omega} \leq C_3(t^{-\frac{N}{2}(\frac{1}{l} - \frac{1}{\lambda}) - \alpha})||\varphi||_{l,\Omega} \quad (7)$$
for every $\varphi \in L^l(\Omega)$ and every $t > 0$.
**Remark 3.1.** Here we prove (6) when $l < \infty$. From the proof of Proposition 3.1 (part (d)) it follows that (6) is still true for $l = \lambda = \infty$ (this result follows from estimates deduced from (6), (7) and from a comparison principle). But we cannot prove (7) for $l = \lambda = \infty$.
**Proof of Lemma 3.1.** The estimate (6) is proved in ([26] Lemma 1 and [4] Proposition 12.5) in the case when $1 \leq l < \lambda \leq \infty$. It can be extended to the case $1 \leq l \leq \lambda \leq \infty$ with $l < \infty$, by using the Hölder’s inequality. Thanks to (6), we have:
$$\|A_l^\alpha S_l(t)\varphi\|_{\lambda, \Omega} = \|A_l^\alpha S_l(t/2)S_l(t/2)\varphi\|_{\lambda, \Omega} = \|S_l(t/2)A_l^\alpha S_l(t/2)\varphi\|_{\lambda, \Omega} =$$
$$\leq C_2((t/2)^{-N/2(\frac{1}{l} - \frac{1}{\lambda})})\|A_l^\alpha S_l(t/2)\varphi\|_{l, \Omega}.$$
According to (5), it results that
$$\|A_l^\alpha S_l(t)\varphi\|_{\lambda, \Omega} \leq C_1C_2((t/2)^{-N/2(\frac{1}{l} - \frac{1}{\lambda}) - \alpha})\|\varphi\|_{l, \Omega}$$
$$\leq K_1(t^{-N/2(\frac{1}{l} - \frac{1}{\lambda}) - \alpha})\|\varphi\|_{l, \Omega}$$
(8)
for every $\alpha > 0$. □
**Proposition 3.1** Let $\phi$ be in $L^\mu(0, T; L^m(\Omega))$, $\psi$ be in $L^\sigma(0, T; L^\nu(\Gamma))$ and let $y_0$ be in $L^\infty(\Omega)$. If
$$\mu > 1, \quad m > 1, \quad \frac{m}{\mu'} > \frac{N}{2}, \quad \frac{\nu(2 - \sigma')}{\sigma'} > N - 1, \quad \text{and} \quad \sigma > 2,$$
if $k_1$ and $k_2$ are constants satisfying (4), then the weak solution in $C([0, T]; L^2(\Omega)) \cap L^2(0, T; H^1(\Omega))$ of
$$\frac{\partial y}{\partial t} + Ay + k_1y = \phi \quad \text{in } Q, \quad \frac{\partial y}{\partial n_A} + k_2y = \psi \quad \text{on } \Sigma, \quad y(0) = y_0 \quad \text{in } \Omega,$$
(9)
belongs to $L^\infty(Q) \cap C(\overline{Q}_{\varepsilon, T})$ (for every $\varepsilon > 0$) and verifies the estimate:
$$||y||_{\infty, \Sigma} + ||y||_{\infty, Q} \leq C_4(||\phi||_{\mu, m, \Omega} + ||\psi||_{\sigma, \nu, \Gamma} + ||y_0||_{\infty, \Omega}),$$
(10)
where $C_4 = C_4(N, \mu, m, \nu, \sigma, \Omega, T, k_1, k_2)$. In particular the estimate (10) is satisfied for $\mu = m = q > \frac{N}{2} + 1$ and $\sigma = \nu = r > N + 1$. In this case the weak solution belongs to $W(0, T)$. Moreover, if $y_0 \in C(\overline{\Omega})$, then $y \in C(\overline{Q})$.
**Remark 3.2.** The existence of a unique weak solution $y \in C([0, T]; L^2(\Omega)) \cap L^2(0, T; H^1(\Omega))$ of (9) is a classical result (see [22], Chapter 3, Theorem 5.1).
**Proof of Proposition 3.1.** We first prove the estimate in $L^\infty(Q)$. Since the equation is linear, we split the proof of this estimate in three parts.
a) If $y_0 = 0$ and $(\phi, \psi) \neq (0, 0)$, to get (10) we proceed by duality. Let $\varphi$ be a regular function and $z$ be the solution of
$$\frac{\partial z}{\partial t} + Az + k_1z = 0 \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + k_2z = 0 \quad \text{on } \Sigma, \quad z(0) = \varphi \quad \text{in } \Omega.$$
Since $z$ is regular and $y(x, 0) = 0$, we can write:
$$\int_\Omega \varphi(x)y(x, t) \, dx = \int_0^t \left\{ \frac{d}{d\tau} \int_\Omega z(x, t - \tau)y(x, \tau) \, dx \right\} d\tau$$
\[ = \int_0^t \left\{ \int_\Omega -\frac{\partial z}{\partial t}(x, t-\tau)y(x, \tau) + z(x, t-\tau)\frac{\partial y}{\partial t}(x, \tau) \, dx \right\} d\tau \]
\[ = \int_0^t \left\{ \int_\Omega [Az(x, t-\tau)y(x, \tau) - z(x, t-\tau)Ay(x, \tau) + \phi(x, \tau)z(x, t-\tau)] \, dx \right\} d\tau \]
\[ = \int_0^t \int_\Omega \phi(x, \tau)z(x, t-\tau) \, dx d\tau + \int_0^t \int_\Gamma \psi(x, \tau)z(x, t-\tau) \, dx d\tau, \]
(since we only need estimates on \( y \), by using density arguments, we can suppose that \( y \) is regular so that these calculations are justified).
b) Let us now suppose that \( y_0 = 0 \) and \( \psi = 0 \). With (6) in Lemma 3.1, we have:
\[ \|z(t-\tau)\|_{m', \Omega} \leq C_2(t-\tau)^{-\frac{N}{2}(1-\frac{1}{m'})}\|\varphi\|_{1, \Omega}. \]
From this estimate we deduce:
\[ \left| \int_0^t \int_\Omega z(x, t-\tau)\phi(x, \tau) \, dx d\tau \right| \leq \int_0^t \|\phi(\tau)\|_{m, \Omega} C_2(t-\tau)^{-\frac{N}{2m}} \, d\tau \|\varphi\|_{1, \Omega} \]
\[ \leq K\|\varphi\|_{1, \Omega}\|\phi\|_{\mu, m, \Omega} (t^{1-\frac{\mu'N}{2m}})^{\frac{1}{\mu'}}. \]
Since \( \frac{m}{\mu'} > \frac{N}{2} \), from the equality established in (a) and from the previous estimate we get:
\[ \|y(t)\|_{\infty, \Omega} = \sup\{ |\int_\Omega \varphi(x)y(x, t) \, dx| \mid \|\varphi\|_{1, \Omega} = 1 \} \]
\[ \leq K_1\|\phi\|_{\mu, m, \Omega} \quad \text{for every } t \in [0, T], \]
where \( K_1 \) only depends on \( N \), \( \mu \), \( m \), \( \Omega \), \( T \), \( k_1 \) and \( k_2 \). If we set \( \mu = m \), the condition \( \frac{m}{\mu'} > \frac{N}{2} \) gives \( \mu = m > \frac{N}{2} + 1 \).
c) Now we suppose that \( y_0 = 0 \) and \( \phi = 0 \). If \( 0 < \frac{1}{\rho} < 1 < 2\alpha < 2 \) and if \( \rho < N \), then the following imbeddings are continuous
\[ X^\rho_\alpha \hookrightarrow W^{1, \rho}(\Omega), \quad W^{-1-\frac{1}{\rho}, \rho}(\Gamma) \hookrightarrow L^{\frac{(N-1)\rho}{N-\rho}}(\Gamma), \]
where \( X^\rho_\alpha \) is the domain of \( A^\alpha_\rho \). The first imbedding can be deduced from [21], Theorem 1.6.1 (see also [25], Theorem 8.4.3). The second imbedding is classical [1], p. 218. The trace mapping is continuous from \( W^{1, \rho}(\Omega) \) onto \( W^{-1-\frac{1}{\rho}, \rho}(\Gamma) \). With these imbeddings and with (7) in Lemma 3.1, we get:
\[ \|z(t-\tau)\|_{\frac{(N-1)\rho}{N-\rho}, \Gamma} \leq K(t-\tau)^{-\alpha-\frac{N}{2\rho'}}\|\varphi\|_{1, \Omega}. \]
Thus we have:
\[ \left| \int_0^t \int_\Gamma \psi(x, \tau)z(x, t-\tau) \, dx d\tau \right| \leq K\|\varphi\|_{1, \Omega} \int_0^t (t-\tau)^{-\alpha-\frac{N}{2\rho'}}\|\psi(\tau)\|_{L^{\frac{(N-1)\rho}{N-\rho-N}}(\Gamma)} \, d\tau \]
\[ \leq K'\|\varphi\|_{1, \Omega}\|\psi\|_{L^\sigma(0, T; L^{\frac{(N-1)\rho}{N\rho-N}}(\Gamma))} (t^{1-\sigma'(\alpha+\frac{N}{2\rho'})})^{\frac{1}{\sigma'}}. \]
If we proceed as in (b), we obtain
\[ \|y(t)\|_{\infty, \Omega} \leq K_2\|\psi\|_{L^\sigma(0, T; L^{\frac{(N-1)\rho}{N\rho-N}}(\Gamma))}, \]
when the following conditions are satisfied:
\[
1 - \sigma'(\alpha + \frac{N}{2\rho'}) > 0, \tag{11}
\]
\[
\rho < N, \quad \frac{1}{\rho} < 1 < 2\alpha < 2. \tag{12}
\]
If \( \psi \in L^\sigma(0, T; L^\nu(\Omega)) \) with \( \frac{\nu(2-\sigma')}{\sigma'} > N-1 \) and \( \sigma > 2 \), we set
\[
\rho = \frac{N\nu}{N\nu - N + 1}.
\]
In this case we easily see that
\[
\rho < N \quad \text{and} \quad \frac{1}{\rho} < 1 < \frac{2}{\sigma'} - \frac{N}{\rho'} < 2,
\]
and we can find \( \alpha \) such that (11), (12) are satisfied. In conclusion, we have proved that
\[
\|y\|_{\infty,Q} \leq K\|\psi\|_{\sigma,\nu,\Gamma}
\]
if \( \frac{\nu(2-\sigma')}{\sigma'} > N-1 \) and \( \sigma > 2 \). If we set \( \sigma = \nu \), the condition \( \frac{\nu(2-\sigma')}{\sigma'} > N-1 \) gives \( \sigma = \nu > N+1 \).
d) Now we suppose that \( \phi = 0, \psi = 0 \). Since \( y_0 \in L^\infty(\Omega) \), then \( -\tilde{m} \leq y_0(x) \leq \tilde{m} \) for a.e. \( x \in \Omega \), with \( \tilde{m} = \|y_0\|_{\infty,\Omega} \). Obviously, \( y_1 = y + \tilde{m} \) is the weak solution of the equation:
\[
\frac{\partial y_1}{\partial t} + Ay_1 + k_1 y_1 = k_1 \tilde{m} \quad \text{in } Q, \quad \frac{\partial y_1}{\partial n_A} + k_2 y_1 = k_2 \tilde{m} \quad \text{on } \Sigma, \quad y_1(0) = y_0 + \tilde{m} \quad \text{in } \Omega.
\]
Since \( y_0 + \tilde{m} \geq 0 \), from the comparison principle stated in Proposition 3.2 we deduce that \( y_1 \geq \tilde{y}_1 \) where \( \tilde{y}_1 \) is the weak solution of :
\[
\frac{\partial \tilde{y}_1}{\partial t} + A\tilde{y}_1 + k_1 \tilde{y}_1 = k_1 \tilde{m} \quad \text{in } Q, \quad \frac{\partial \tilde{y}_1}{\partial n_A} + k_2 \tilde{y}_1 = k_2 \tilde{m} \quad \text{on } \Sigma, \quad \tilde{y}_1(0) = 0 \quad \text{in } \Omega.
\]
¿From (b) and (c) (with \( \mu = m = \nu = \sigma = \infty \)), we can see that there exists \( K_3 = K_3(N, \Omega, T, k_1, k_2) \) verifying
\[
\|\tilde{y}_1\|_{\infty,Q} \leq K_3 \tilde{m}.
\]
Then
\[
(-K_3 - 1)\tilde{m} \leq y(x,t) \quad \text{for a.e. } (x,t) \in Q.
\]
In the same way, we can prove that
\[
y(x,t) \leq (K_3 + 1)\tilde{m} \quad \text{for a.e. } (x,t) \in Q.
\]
Therefore
\[
\|y\|_{\infty,Q} \leq (K_3 + 1)\|y_0\|_{\infty,\Omega}.
\]
Thus (10) is established.
e) Now, to prove that \( y \in C(\overline{Q}_{\varepsilon,T}) \), we set \( y = \bar{y} + z \) where \( \bar{y} \) is the weak solution of (9) corresponding to \( (\phi = 0, \psi = 0, y_0) \) and \( z \) is the weak solution of (9) corresponding to \( (\phi, \psi, y_0 = 0) \). We consider a sequence \( (\phi_n)_n \) of regular functions converging to \( \phi \) in \( L^\mu(0, T; L^m(\Omega)) \) and a sequence \( (\psi_n)_n \) of regular functions with compact support in \( \Sigma \), converging to \( \psi \) in \( L^\sigma(0, T; L^\nu(\Gamma)) \). From a
well-known regularity result ([22], Theorem 4.5.3), the solution $y_n$ of (9) corresponding to $(\phi_n, \psi_n, 0)$, belongs to $C(\overline{Q})$. From (10) we easily see that $(y_n)_n$ converges to $z$ in $L^\infty(Q)$ and that $(y_n)_n$ is a Cauchy sequence in $C(\overline{Q})$. Thus $z$ belongs to $C(\overline{Q})$ and satisfies the estimate (10).
f) To prove that $\bar{y}$, the weak solution of (9) corresponding to $(\phi = 0, \psi = 0, y_0)$, belongs to $C(\overline{Q}_{\varepsilon,T})$, we first consider the case when $y_0 \in C(\overline{\Omega})$. In this case we can construct a sequence $(y_{0n})_n$ in $C^{2,\beta}(\overline{\Omega})$ and a sequence $(\psi_n)_n$ in $C^{2,\beta}(\overline{\Sigma})$, such that the pair $(y_{0n}, \psi_n)$ satisfies the compatibility condition of order zero stated in ([22], p. 320), such that $(y_{0n})_n$ converges to $y_0$ in $C(\overline{\Omega})$ and $(\psi_n)_n$ converges to zero in $L^r(0,T; L^r(\Gamma))$. The solution $y_n$ corresponding to $(\phi = 0, \psi_n, y_{0n})$ belongs to $C(\overline{Q})$. Moreover thanks to (10), $(y_n)_n$ is a Cauchy sequence in $C(\overline{Q})$. We can easily verify that $(y_n)_n$ converges in $C(\overline{Q})$ to $\bar{y}$.
g) If $y_0 \in L^\infty(\Omega)$, thanks to ([26], Lemma 1), $\bar{y}(\varepsilon) \in C(\overline{\Omega})$ for every $\varepsilon > 0$. Therefore it follows from (f) that $\bar{y} \in C(\overline{Q}_{\varepsilon,T})$. □
**Proposition 3.2** (Comparison principle). Let $a, \phi$ be in $L^q(Q)$, let $b, \psi$ be in $L^r(\Sigma)$, let $y_0$ be in $L^2(\Omega)$. We suppose that
$$a(x,t) \geq C_0 \text{ in } Q \quad \text{and} \quad b(s,t) \geq C_0 \text{ on } \Sigma.$$
Let $y$ be the weak solution in $C([0,T]; L^2(\Omega)) \cap L^2(0,T; H^1(\Omega))$ of
$$\frac{\partial y}{\partial t} + Ay + ay = \phi \quad \text{in } Q, \quad \frac{\partial y}{\partial n_A} + by = \psi \quad \text{on } \Sigma, \quad y(0) = y_0 \quad \text{in } \Omega.$$
If $\phi \leq 0$, $g \leq 0$ and $y_0 \leq 0$, then $y \leq 0$ a.e. in $Q$, $y|_\Sigma$ (the trace of $y$ on $\Sigma$) satisfies $y|_\Sigma \leq 0$ a.e. on $\Sigma$ and $y(\cdot, T) \leq 0$ a.e in $\Omega$.
**Remark 3.3.** The equation (14) admits a unique weak solution in $C([0,T]; L^2(\Omega)) \cap L^2(0,T; H^1(\Omega))$ (in the sense of [22]). The proof is given in ([22], Theorem 5.1, Chapter 3).
**Remark 3.4.** In the case when $A$ is the Laplace operator, when $a = 0$ and $b$ is nonnegative and bounded, Proposition 3.2 is the comparison principle proved in ([29], Appendix Theorem A.1). Even in this case it is noticed in ([29], p. 113) that a complete proof of comparison theorem for weak solutions is not easy to found in classical literature on parabolic equations. The proof of the comparison principle stated in ([29], Theorem A1, p. 113 and Theorem 2.4 p. 101) is based on an identity satisfied by $y^+$, the nonnegative part of $y$, where $y$ is the solution of the heat equation with a nonhomogeneous Neumann boundary conditions ([29], Propositon 2.3). The result of ([29], Proposition 2.3) is still valid if we replace the equation $\frac{\partial y}{\partial t} - \Delta y = 0, \quad \frac{\partial y}{\partial n} = h, \quad y(0) = y_0,$ (with $h \in L^2(\Sigma)$, $y_0 \in L^2(\Omega)$) by the equation $\frac{\partial y}{\partial t} + Ay + ay = \phi, \quad \frac{\partial y}{\partial n_A} + by = \psi, \quad y(0) = y_0.$ More precisely we can establish the following Lemma.
**Lemma 3.2** Let $a, \phi$ be in $L^q(Q)$. Let $b, \psi$ be in $L^r(\Sigma)$ and let $y_0$ be in $L^2(\Omega)$. Let $y$ be the weak solution in $C([0,T]; L^2(\Omega)) \cap L^2(0,T; H^1(\Omega))$ of (14). Then $y^+(x,t) = \max(0, y(x,t))$ satisfies the following identity:
$$\frac{1}{2} \int_\Omega (y^+(x,T)^2 + y^+(x,0)^2) \, dx + \sum_{i,j=1}^N \int_Q a_{ij}(x) D_j y^+(x,t) D_i y^+(x,t) \, dxdt +$$
$$+ \int_Q a(x,t) y^+(x,t)^2 \, dxdt + \int_\Sigma b(s,t) y^+(s,t)^2 \, dsdt =$$
Proof of Lemma 3.2. Since our equation is more general than the one given in [29], we slightly modify the proof given in [29] and we recall the main steps for the convenience of the reader.
Let us remark that the weak solution $y$ of (14) does not necessarily belong to $W(0, T)$ but belongs to $V_2^{1, \frac{1}{2}}(Q)$ (see [29], Theorem 5.1, Chapter 3), this regularity result is essential in the proof. Since $y \in C([0, T]; L^2(\Omega)) \cap L^2(0, T; H^1(\Omega))$ is the weak solution of (14) then, for every $z \in W^{1,2}(Q)$, we have
\[
-\int_Q y(x,t)\frac{\partial z}{\partial t}(x,t)\,dxdt + \int_\Omega y(x,T)z(x,T)\,dx + \sum_{i,j=1}^N \int_Q a_{ij}(x)D_jy(x,t)D_iz(x,t)\,dxdt +
\]
\[
+ \int_Q a(x,t)y(x,t)z(x,t)\,dxdt + \int_\Sigma b(s,t)y(s,t)z(s,t)\,dsdt =
\]
\[
= \int_\Omega y_0(x)z(x,0)\,dx + \int_\Sigma \psi(s,t)z(s,t)\,dsdt + \int_Q \phi(x,t)z(x,t)\,dxdt.
\] (16)
Let $T_1$ be a positive number such that $T_1 > T$. We consider the function $\tilde{y}^+$ defined by
\[
\tilde{y}^+(x,t) = \begin{cases}
y^+(x,t) & \text{on } Q, \\
y^+(x,T-(t-T)) & \text{on } \Omega \times [T, T_1].
\end{cases}
\]
Let $y^+_d$ be the average of $\tilde{y}^+$ defined by $y^+_d(\cdot, t) = \delta^{-1} \int_t^{t+\delta} \tilde{y}^+(\cdot, \tau)d\tau$. From Lemma 4.7 in ([22] p. 85), it follows that $y^+_d \in C([0, T]; L^2(\Omega)) \cap L^2(0, T; H^1(\Omega))$ and that $y^+_d$ converges to $y^+$ in $L^2(0, T; H^1(\Omega)) \cap C([0, T]; L^2(\Omega))$ as $\delta$ tends to zero. Moreover for a.e. $t \in [0, T]$ we have
\[
\frac{\partial y^+_d}{\partial t}(\cdot, t) = D_\delta \tilde{y}^+(\cdot, t) := \delta^{-1}[\tilde{y}^+(\cdot, t+\delta) - \tilde{y}^+(\cdot, t)],
\]
therefore $\frac{\partial y^+_d}{\partial t} \in L^2(Q)$. If we set $z = y^+_d(\cdot, t)$ in (16), we get:
\[
-\int_0^T y(x,t)D_\delta \tilde{y}^+(x,t)\,dxdt + \int_\Omega y(x,T)y^+_d(x,T)\,dx + \sum_{i,j=1}^N \int_Q a_{ij}(x)D_jy(x,t)D_iz^+_d(x,t)\,dxdt +
\]
\[
+ \int_Q a(x,t)y(x,t)y^+_d(x,t)\,dxdt = \int_\Sigma b(s,t)y(s,t)y^+_d(s,t)\,dsdt =
\]
\[
= \int_\Omega y_0(x)y^+_d(x,0)\,dx + \int_\Sigma \psi(s,t)y^+_d(s,t)\,dsdt + \int_Q \phi(x,t)y^+_d(x,t)\,dxdt.
\]
From convergence results mentioned above, we can easily verify that
\[
\sum_{i,j=1}^N \int_Q a_{ij}D_jy(D_iy^+_d - D_iy^+) \, dxdt - \int_Q \phi(y^+_d - y^+) \, dxdt - \int_\Sigma \psi(y^+_d - y^+) \, dsdt
\]
\[
+ \int_\Omega y(T)(y^+_d(T) - y^+(T)) \, dx - \int_\Omega y(0)(y^+_d(0) - y^+(0)) \, dx \longrightarrow 0
as $\delta$ tends to zero. Moreover, from Hölder inequality and from estimates given in ([22] p. 75 and p. 78), we get
\[
| \int_Q a(x,t)y(x,t)(y^+_\delta(x,t) - y^+(x,t))\,dxdt | \leq \|a\|_{N/2 +1,Q} \|y\|_{2(N+2)/N,Q} \|y^+_\delta - y^+\|_{2(N+2)/N,Q}
\]
\[
\leq K \|a\|_{N/2 +1,Q} \|y\|_{L^2(0,T;H^1(\Omega)) \cap L^\infty(0,T;L^2(\Omega))} \|y^+_\delta - y^+\|_{L^2(0,T;H^1(\Omega)) \cap L^\infty(0,T;L^2(\Omega))} \longrightarrow 0
\]
and
\[
| \int_\Sigma b(s,t)y(s,t)(y^+_\delta(s,t) - y^+(s,t))\,dsdt | \leq \|b\|_{N+1,\Sigma} \|y\|_{2(N+1)/N,\Sigma} \|y^+_\delta - y^+\|_{2(N+1)/N,\Sigma}
\]
\[
\leq K_1 \|b\|_{N+1,\Sigma} \|y\|_{L^2(0,T;H^1(\Omega)) \cap L^\infty(0,T;L^2(\Omega))} \|y^+_\delta - y^+\|_{L^2(0,T;H^1(\Omega)) \cap L^\infty(0,T;L^2(\Omega))} \longrightarrow 0
\]
as $\delta$ tends to zero. To complete the proof, it remains to pass to the limit in
\[
- \int_Q y(x,t) \frac{\partial y^+_\delta}{\partial t}(x,t)\,dxdt = - \int_Q y(x,t) D_\delta \tilde{y}^+(x,t)\,dxdt
\]
\[
= - \int_0^{T-\delta} \int_\Omega y(x,t) D_\delta y^+(x,t)\,dxdt - \int_{T-\delta}^T \int_\Omega y(x,t) D_\delta \tilde{y}^+(x,t)\,dxdt.
\]
Since $y \in V_2^{1,1/2}(Q)$, the first term $- \int_0^{T-\delta} \int_\Omega y(x,t) D_\delta y^+(x,t)\,dxdt$ converges to $\frac{1}{2} \int_\Omega [-y^+(x,T)^2 + y^+(x,0)^2]\,dx$ (see [29] p. 99). The term $\int_{T-\delta}^T \int_\Omega y(x,t) D_\delta \tilde{y}^+(x,t)\,dxdt$ tends to 0.
In all the sequel, if $a \in L^q(Q)$ and $b \in L^r(\Sigma)$, we shall say that $((a_{ij})_{i,j}, a, b)$ verifies the ellipticity condition $(Em_0)$ if
\[
\int_\Omega \sum_{i,j} a_{ij}(x) D_j \varphi(x) D_i \varphi(x)\,dx + \int_\Omega a(x,t) \varphi(x)^2\,dx + \int_\Gamma b(s,t) \varphi(s)^2\,ds \geq \frac{m_0}{2} \|\varphi\|^2_{H^1(\Omega)}
\]
for a.e. $t \in [0,T]$ and for every $\varphi \in H^1(\Omega)$, where $m_0$ is the constant in (1).
**Proof of Proposition 3.2.**
a) We first consider the case when $((a_{ij})_{i,j}, a, b)$ verifies the ellipticity condition $(Em_0)$. Thanks to Lemma 3.2, since $y_0 \leq 0$, we have:
\[
0 \leq \frac{1}{2} \int_\Omega (y^+(x,T)^2 + y^+(x,0)^2)\,dx + \sum_{i,j=1}^N \int_Q a_{ij}(x) D_j y^+(x,t) D_i y^+(x,t)\,dx\,dt
\]
\[
+ \int_Q a(x,t) y^+(x,t)^2\,dx\,dt + \int_\Sigma b(s,t) y^+(s,t)^2\,ds\,dt
\]
\[
\leq \int_Q \phi(x,t) y^+(x,t)\,dx\,dt + \int_\Sigma \psi(s,t) y^+(s,t)\,ds\,dt.
\]
Taking into account the ellipticity condition (17), we get:
\[
0 \leq \frac{1}{2} \int_\Omega (y^+(x,T)^2 + y^+(x,0)^2)\,dx + \frac{m_0}{2} ||y^+||^2_{L^2(0,T;H^1(\Omega))}
\[
\leq \int_{Q^+} \phi(x,t)y^+(x,t) \, dx \, dt + \int_{\Sigma^+} \psi(s,t)y^+(s,t) \, ds \, dt,
\]
where
\[ Q^+ = \{(x,t) \in Q \mid y(x,t) > 0 \}, \quad \Sigma^+ = \{(s,t) \in \Sigma^+ \mid y(s,t) > 0 \}. \]
Since \( \phi \leq 0 \) and \( \psi \leq 0 \), it results that meas \( Q^+ = 0 \) and meas \( \Sigma^+ = 0 \). In other words \( y^+ = 0 \) a.e. in \( Q \), \( (y|_\Sigma)^+ = 0 \) a.e. on \( \Sigma \) and \( y(T)^+ = 0 \) a.e. in \( \Omega \).
b) Now we consider the case when the condition (17) is not necessarily satisfied. We set \( z(x,t) = e^{-\theta t}y(x,t) \), where \( \theta \in \mathbb{R} \) will be precisely defined later. We remark that \( z \) is the weak solution of the equation:
\[
\frac{\partial z}{\partial t} + Az + (a + \theta)z = \phi e^{-\theta t} \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + bz = \psi e^{-\theta t} \quad \text{on } \Sigma, \quad z(0) = y_0 \quad \text{in } \Omega. \tag{18}
\]
Let us prove that \( \theta > 0 \) can be chosen in such a way that \( ((a_{ij})_{i,j}, a + \theta, b) \) satisfies the ellipticity condition \( (Em_0) \). Let \( \tilde{C} = \min(0, C_0) \) and let \( \varphi \) be in \( H^1(\Omega) \); then we have:
\[
\sum_{i,j} \int_{\Omega} a_{ij}(x)D_j\varphi(x)D_i\varphi(x) \, dx + \int_{\Omega} (a(x,t) + \theta)\varphi(x)^2 \, dx + \int_{\Gamma} b(s,t)\varphi(s)^2 \, ds
\]
\[
\geq m_0 \|D\varphi\|^2_{2,\Omega} + (\tilde{C} + \theta)\|\varphi\|^2_{2,\Omega} + \tilde{C}\|\varphi\|^2_{2,\Gamma}.
\]
Thanks to Lemma 3.3 (see below), we get:
\[
\sum_{i,j} \int_{\Omega} a_{ij}(x)D_j\varphi(x)D_i\varphi(x) \, dx + \int_{\Omega} (a(x,t) + \theta)\varphi(x)^2 \, dx + \int_{\Gamma} b(s,t)\varphi(s)^2 \, ds
\]
\[
\geq m_0 \|D\varphi\|^2_{2,\Omega} + (\tilde{C} + \theta)\|\varphi\|^2_{2,\Omega} + \frac{C_\Omega \tilde{C}}{\varepsilon} \|\varphi\|^2_{2,\Omega} + \tilde{C}C_\Omega \varepsilon \|D\varphi\|^2_{2,\Omega}.
\]
If \( \tilde{C} = 0 \), we recall that \( ((a_{ij})_{i,j}, a + m_0, b) \) satisfies (17). If \( \tilde{C} < 0 \), we set:
\[
\varepsilon = \frac{-m_0}{2C_\Omega \tilde{C}}, \quad \theta = \frac{m_0}{2} - \tilde{C} - \frac{C_\Omega \tilde{C}}{\varepsilon} = \frac{m_0}{2} - \tilde{C} + \frac{2\tilde{C}^2C_\Omega^2}{m_0}.
\]
With such values for \( \varepsilon \) and \( \theta \) we have:
\[
\sum_{i,j} \int_{\Omega} a_{ij}(x)D_j\varphi(x)D_i\varphi(x) \, dx + \int_{\Omega} (a(x,t) + \theta)\varphi(x)^2 \, dx + \int_{\Gamma} b(s,t)\varphi(s)^2 \, ds \geq \frac{m_0}{2} \|\varphi\|^2_{H^1(\Omega)}.
\]
Therefore (with (a)), the weak solution \( z \) of (18) in \( C([0,T]; L^2(\Omega)) \cap L^2(0,T; H^1(\Omega)) \) satisfies \( z(x,T) \leq 0 \) for a.e. \( x \in \Omega \), \( z(x,t) \leq 0 \) for a.e. \( (x,t) \in Q \) and \( z|_\Sigma(s,t) \leq 0 \) for a.e. \( (s,t) \in \Sigma \). Since \( y(x,t) = e^{\theta t}z(x,t) \), the proof is complete.
\[\square\]
**Lemma 3.3** There exists \( C_\Omega > 0 \), such that for every \( \varphi \in H^1(\Omega) \) and for every \( \varepsilon > 0 \), we have:
\[
\|\varphi\|^2_{2,\Gamma} \leq \frac{C_\Omega}{\varepsilon} \|\varphi\|^2_{2,\Omega} + C_\Omega \varepsilon \|D\varphi\|^2_{2,\Omega}.
**Proof of Lemma 3.3.** The result is classical for $\varepsilon = 1$. To prove Lemma 3.3 we rewrite the proof as in the case $\varepsilon = 1$ but with a slight modification at the end of the proof. Since $\Omega$ is regular there exist a finite number of regular open bounded subsets $\{O_i\}_{i=0}^I$ and regular inverse mappings $\phi_i$ from $O_i$ onto $B = B(0_{\mathbb{R}^N}, 1)$ (the unit ball in $\mathbb{R}^N$) such that:
$$O_0 \subset \Omega, \quad \Omega \subset \bigcup_{i=0}^I O_i,$$
for $1 \leq i \leq I$,
$$\phi_i(O_i \cap \Omega) = B \cap \mathbb{R}_+^N = \{\chi = (\chi', \chi_N) \in \mathbb{R}^N \mid |\chi| < 1, \chi_N > 0\},$$
$$\phi_i(O_i \cap \Gamma) = \{\chi = (\chi', \chi_N) \in \mathbb{R}^N \mid |\chi'| < 1, \chi_N = 0\},$$
and the mappings $\phi_i^{-1}$ are regular. Moreover there exist a partition of the unity $\{\alpha_i\}_{i=0}^I$ subordinate to the covering $\{O_i\}_{i=0}^I$ and a constant $K$ such that
$$\|\varphi\|_{2,\Gamma} \leq K \sum_{i=1}^I \|P((\alpha_i \varphi)o\phi_i^{-1})\|_{L^2(\mathbb{R}^{N-1})}$$
where $P((\alpha_i \varphi)o\phi_i^{-1})$ is the extension of $(\alpha_i \varphi)o\phi_i^{-1}$ by 0 to $\mathbb{R}^{N-1} \setminus \{\chi' \in \mathbb{R}^{N-1}, \ |\chi'| < 1\}$. Thus to prove the lemma it is sufficient to show that
$$\int_{\mathbb{R}^{N-1}} |\varphi(\chi', 0)|^2 d\chi' \leq \int_{\mathbb{R}_+^N} (\varepsilon |\frac{\partial \varphi}{\partial \chi_N}(\chi)|^2 + \frac{1}{\varepsilon} |\varphi(\chi)|^2) d\chi$$
(19)
for every $\varphi \in D(\overline{\mathbb{R}_+^N})$. Since by a direct calculation we have
$$|\varphi(\chi', 0)|^2 = -2 \int_0^\infty \varphi(\chi', \chi_N) \frac{\partial \varphi}{\partial \chi_N}(\chi', \chi_N) d\chi_N,$$
the lemma follows from the Young’s inequality.
$\square$
**Proposition 3.3** Let $a$ be in $L^q(Q)$, let $b$ be in $L^r(\Sigma)$ verifying $a(x, t) \geq C_0$ in $Q$ and $b(s, t) \geq C_0$ on $\Sigma$. There exists a positive constant $C_5 = C_5(N, q, r, \Omega, T, C_0)$ (independent of $a$ and $b$), such that for every $\phi \in L^q(Q)$, every $\psi \in L^r(\Sigma)$ and every $y_0 \in L^\infty(\Omega)$, the weak solution $y \in C([0, T]; L^2(\Omega)) \cap L^2(0, T; H^1(\Omega))$ of the equation (14) belongs to $L^\infty(Q) \cap C(\overline{Q}_{\varepsilon, T})$ (for every $\varepsilon > 0$) and satisfies the estimate:
$$\|y\|_{\infty, Q} + \|y\|_{\infty, \Sigma} \leq C_5(\|\phi\|_{q, Q} + \|\psi\|_{r, \Sigma} + \|y_0\|_{\infty, \Omega}).$$
(20)
Moreover, this solution belongs to $W(0, T)$.
**Proof of Proposition 3.3.** We set $\phi^+ = \max(0, \phi)$, $\phi^- = -\min(0, \phi)$, $\psi^+ = \max(0, \psi)$, $\psi^- = -\min(0, \psi)$, $y_0^+ = \max(0, y_0)$, $y_0^- = -\min(0, y_0)$. We denote by $y_1$ (respectively $y_2$) the solution of (14) corresponding to $\phi^+, \psi^+, y_0^+$ (respectively $\phi^-, \psi^-, y_0^-$). From Proposition 3.2 we deduce that $y_1 \geq 0$ in $Q$, $y_1|_\Sigma \geq 0$ on $\Sigma$, $y_2 \geq 0$ in $Q$ and $y_2|_\Sigma \geq 0$. Moreover $y$ (the solution of (14) corresponding to $(\phi, \psi, y_0)$) is equal to $y_1 - y_2$. Thus to prove Proposition 3.3 we have only to establish the estimate (20) for $y_1$ (the estimate for $y_2$ is obtained in the same way).
As in the proof of Proposition 3.2, we can find $\theta \in \mathbb{R}^+$ such that $((a_{ij})_{i,j}, C_0 + \theta, C_0)$ verifies the
ellipticity condition \((Em_0)\). In this case, (4) is satisfied for \(k_1 = C_0 + \theta\), \(k_2 = C_0\). We denote by \(z\) the weak solution of the equation:
\[
\frac{\partial z}{\partial t} + Az + (C_0 + \theta)z = e^{-\theta t}\phi^+ \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + C_0 z = e^{-\theta t}\psi^+ \quad \text{on } \Sigma, \quad z(0) = y_0^+ \quad \text{in } \Omega.
\]
From Proposition 3.2, it follows \(z \geq 0\) on \(Q\) and \(z|_\Sigma \geq 0\) in \(\Sigma\). Moreover thanks to \((Em_0)\) and to Proposition 3.1, we get \(z \in L^\infty(Q)\), \(z|_\Sigma \in L^\infty(\Sigma)\) and \(z\) satisfies the estimate
\[
\|z\|_{\infty,Q} + \|z\|_{\infty,\Sigma} \leq K(\|\phi^+\|_{q,Q} + \|\psi^+\|_{r,\Sigma} + \|y_0^+\|_{\infty,\Omega}).
\]
We set \(\varphi = e^{-\theta t}y_1 - z\); then \(\varphi\) satisfies:
\[
\frac{\partial \varphi}{\partial t} + A\varphi + (a + \theta)\varphi = (C_0 - a)z \quad \text{in } Q, \quad \frac{\partial \varphi}{\partial n_A} + b\varphi = (C_0 - b)z \quad \text{on } \Sigma, \quad \varphi(\cdot, 0) = 0 \quad \text{in } \Omega.
\]
Since \(C_0 - a(\cdot) \leq 0\), \(C_0 - b(\cdot) \leq 0\) and \(z \geq 0\), from Proposition 3.2 it follows \(\varphi \leq 0\) a.e. in \(Q\) and \(\varphi|_\Sigma \leq 0\) a.e. on \(\Sigma\). Therefore we have
\[
0 \leq y_1 \leq e^{\theta t}z \quad \text{a.e. in } Q \quad \text{and} \quad 0 \leq (y_1)|_\Sigma \leq e^{\theta t}z|_\Sigma \quad \text{a.e. on } \Sigma.
\]
Thus \(y_1 \in L^\infty(Q)\) and
\[
\|y_1\|_{\infty,Q} + \|y_1\|_{\infty,\Sigma} \leq K(\|\phi^+\|_{q,Q} + \|\psi^+\|_{r,\Sigma} + \|y_0^+\|_{\infty,\Omega}). \tag{21}
\]
Since \(y_1\) verifies the equation
\[
\frac{\partial \xi}{\partial t} + A\xi = \phi_1 \quad \text{in } Q, \quad \frac{\partial \xi}{\partial n_A} = \psi_1 \quad \text{on } \Sigma, \quad \xi(0) = y_0 \quad \text{in } \Omega,
\]
with \(\phi_1(x,t) = \phi^+(x,t) - a(x,t)y_1(x,t) \in L^q(Q)\), \(\psi_1(s,t) = \psi^+(s,t) - b(s,t)y_1(s,t) \in L^r(\Sigma)\), thanks to Proposition 3.1, we get \(y_1 \in C(\overline{Q}_{\varepsilon,T})\). Since \(y_1 \in L^\infty(Q)\) and \(y_1|_\Sigma \in L^\infty(\Sigma)\), it is clear that \(y \in W(0,T)\).
\[\square\]
**Remark 3.5.** If we proceed as above, we can show that if \(y_0 \in C(\overline{\Omega})\) then the solution of (14) belongs to \(C(\overline{Q})\).
**Proposition 3.4** Let \(a\) be in \(L^q(Q)\), let \(b\) be in \(L^r(\Sigma)\) verifying \(a(x,t) \geq C_0\) in \(Q\) and \(b(s,t) \geq C_0\) on \(\Sigma\) and let \(\varepsilon\) be such that \(0 < \varepsilon < T\). There exists a positive constant \(C_6(\varepsilon) = C_6(\varepsilon,N,q,r,\Omega,T,C_0)\) (independent of \(a\) and \(b\)), such that for every \(\phi \in L^q(Q)\), every \(\psi \in L^r(\Sigma)\) and every \(y_0 \in L^\infty(\Omega)\), the weak solution \(y \in W(0,T)\) of the equation (14) belongs to \(C(\overline{Q}_{\varepsilon,T})\) and satisfies the estimate:
\[
\|y\|_{C(\overline{Q}_{\varepsilon,T})} \leq C_6(\varepsilon)(\|\phi\|_{q,Q} + \|\psi\|_{r,\Sigma} + \|y_0\|_{2,\Omega}).
\]
**Proof of Proposition 3.4.** Thanks to Proposition 3.3 we have only to prove that the weak solution \(z\) of the equation:
\[
\frac{\partial z}{\partial t} + Az + az = 0 \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + bz = 0 \quad \text{on } \Sigma, \quad z(0) = y_0 \quad \text{in } \Omega,
\]
satisfies the estimate
\[
\|z(t)\|_{\infty,\Omega} \leq K(\varepsilon)\|y_0\|_{2,\Omega}
for every $t \in [\varepsilon, T]$. We proceed as in the proof of Proposition 3.3; we denote by $\bar{z}$ the weak solution of
$$\frac{\partial \bar{z}}{\partial t} + A\bar{z} + (C_0 + \theta)\bar{z} = 0 \quad \text{in } Q, \quad \frac{\partial \bar{z}}{\partial n_A} + C_0\bar{z} = 0 \quad \text{on } \Sigma, \quad \bar{z}(0) = y_0^+ \quad \text{in } \Omega,$$
where $\theta \geq 0$ is such that $((a_{ij})_{i,j}, C_0 + \theta, C_0)$ satisfies the ellipticity condition $(Em_0)$. If we take $\lambda = \infty, l = 2$ in (6) it follows that
$$\|\bar{z}(t)\|_{\infty, \Omega} \leq C_2(\varepsilon^{-\frac{N}{4}})\|y_0\|_{2, \Omega}$$
for every $\varepsilon \leq t \leq T$. Now, we consider the weak solution $z_1$ of
$$\frac{\partial z_1}{\partial t} + Az_1 + az_1 = 0 \quad \text{in } Q, \quad \frac{\partial z_1}{\partial n_A} + bz_1 = 0 \quad \text{on } \Sigma, \quad z_1(0) = y_0^+ \quad \text{in } \Omega.$$
As in the proof of Proposition 3.3, we get
$$0 \leq z_1(x, t) \leq e^{\theta t}\bar{z}(x, t) \leq C_2e^{\theta T}(\varepsilon^{-\frac{N}{4}})\|y_0\|_{2, \Omega}$$
for a.e. $(x, t) \in Q$. We obtain a similar estimate for the weak solution $z_2$ of
$$\frac{\partial z_2}{\partial t} + Az_2 + az_2 = 0 \quad \text{in } Q, \quad \frac{\partial z_2}{\partial n_A} + bz_2 = 0 \quad \text{on } \Sigma, \quad z_2(0) = y_0^- \quad \text{in } \Omega,$$
and finally we get
$$\|z(t)\|_{\infty, \Omega} \leq K(\varepsilon)\|y_0\|_{2, \Omega} \quad \forall t \in [\varepsilon, T]. \quad \square$$
### 3.2 State equation.
**Theorem 3.1** If the assumptions (A1) and (A2) are satisfied, if $u \in L^q(Q), \ v \in L^r(\Sigma)$ and $w \in L^\infty(\Omega)$, then the equation (2) admits a unique weak solution $y$ in $W(0, T) \cap L^\infty(Q)$, this solution belongs to $C(\overline{Q}_{\varepsilon, T})$ for every $\varepsilon > 0$ and satisfies the estimates
$$\|y\|_{\infty, Q} + \|y\|_{\infty, \Sigma} \leq C_7(|u|_{q, Q} + |v|_{r, \Sigma} + |w|_{\infty, \Omega} + 1),$$
$$\|y\|_{C(\overline{Q}_{\varepsilon, T})} \leq C_8(\varepsilon)(|u|_{q, Q} + |v|_{r, \Sigma} + |w|_{2, \Omega} + 1),$$
where $C_7 = C_7(N, q, r, \Omega, T, C_0)$ and $C_8(\varepsilon) = C_8(\varepsilon, N, q, r, \Omega, T, C_0)$ are positive constants.
**Proof of Theorem 3.1.**
a) Let us prove the uniqueness result. Let $y_1$ and $y_2$ be two weak solutions of (2) in $W(0, T) \cap L^\infty(Q)$. If we set $z = y_1 - y_2$, then $z$ satisfies:
$$\frac{\partial z}{\partial t} + Az + az = 0 \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + bz = 0 \quad \text{on } \Sigma, \quad z(0) = 0 \quad \text{in } \Omega,$$
with $a(x, t) = \int_0^1 f_y'(x, t, y_2 + \theta z, u)d\theta \geq C_0$ in $Q$ and with $b(s, t) = \int_0^1 g_y'(s, t, y_2 + \theta z, v)d\theta \geq C_0$ on $\Sigma$. Moreover, since $y_1, y_2$ belong to $W(0, T) \cap L^\infty(Q)$, thanks to (A1), (A2) we easily see that $a \in L^q(Q)$ and $b \in L^r(\Sigma)$. From Proposition 3.2 it follows $z = 0$, that is $y_1 = y_2$.
b) To prove existence of solution for (2), we cannot directly use the Faedo-Galerkin method as in ([23], Chapter 2, Theorem 1.2). Indeed, if we look for a solution $y$ in $W(0, T)$, the estimates on $f$ and $g$ are not sufficient to prove that the following integrals are well defined
$$\int_Q f(x, t, y(x, t), u(x, t))z(x, t) \, dxdt \quad \text{and} \quad \int_\Sigma g(s, t, y(s, t), v(s, t))z(s, t) \, dsdt$$
when $z \in L^2(0, T; H^1(\Omega))$. To overcome these difficulties, we have to consider equations with truncated and regularized functions. The details of the proof are given in Section 5. \quad \square
4 Proof of Theorem 2.1.
4.1 Hamiltonian variation and cost functional variation.
In this section, we derive a basic equality on the cost functional which will be used to prove the Pontryagin principles. Thanks to a Taylor formula we define $\tilde{F}_y(x,t,y_1,y_2,u)$ by:
$$F(x,t,y_1,u) - F(x,t,y_2,u) = \left( \int_0^1 F_y'(x,t,y_2 + \theta(y_1 - y_2),u) \, d\theta \right)(y_1 - y_2)$$
$$= \tilde{F}_y(x,t,y_1,y_2,u)(y_1 - y_2),$$
for every $x \in \Omega$, $t \in ]0,T[$, $u \in \mathbb{R}$, $y_1 \in \mathbb{R}$ and $y_2 \in \mathbb{R}$. We define $\tilde{G}_y(s,t,y_1,y_2,v)$, $\tilde{f}_y(x,t,y_1,y_2,u)$, $\tilde{g}_y(s,t,y_1,y_2,v)$ and $\tilde{\ell}_y(x,y_1,y_2,w)$ in a similar manner.
Let $(u_1,v_1,w_1)$, $(u_2,v_2,w_2)$ be two triplets of admissible controls. For $i = 1,2$, we denote by $y_i$ the weak solution of (2) corresponding to $(u_i,v_i,w_i)$. We define the intermediate adjoint state $p_{12}$ as the weak solution of the equation:
$$-\frac{\partial p}{\partial t} + Ap + \tilde{f}_y(x,t,y_1,y_2,u_1)p = \tilde{F}_y(x,t,y_1,y_2,u_1) \quad \text{in } Q,$$
$$\frac{\partial p}{\partial n_A} + \tilde{g}_y(s,t,y_1,y_2,v_1)p = \tilde{G}_y(s,t,y_1,y_2,v_1) \quad \text{on } \Sigma,$$
$$p(T) = \tilde{\ell}_y(x,y_1(T),y_2(T),w_1) \quad \text{in } \Omega.$$
Let us notice that if $u_1 = u_2$, $v_1 = v_2$ and $w_1 = w_2$ then $y_1 = y_2$ and $p_{12} = p_1$ is the so-called adjoint state associated with $(u_1,v_1,w_1)$.
**Proposition 4.1** The equation (22) admits a unique weak solution $p_{12}$ in $W(0,T) \cap C(\overline{Q}_{0,T-\varepsilon}) \cap L^\infty(Q)$. Moreover, $p_{12}$ satisfies the estimates:
$$\|p_{12}\|_{\infty,Q} \leq C_5(\|\tilde{F}_y(\cdot,y_1,y_2,u_1)\|_{q,Q} + \|\tilde{G}_y(\cdot,y_1,y_2,v_1)\|_{r,\Sigma} + \|\tilde{\ell}_y(\cdot,y_1(T),y_2(T),w_1)\|_{\infty,\Omega}),$$
$$\|p_{12}\|_{C(\overline{Q}_{0,T-\varepsilon})} \leq C_6(\varepsilon)(\|\tilde{F}_y(\cdot,y_1,y_2,u_1)\|_{q,Q} + \|\tilde{G}_y(\cdot,y_1,y_2,v_1)\|_{r,\Sigma} + \|\tilde{\ell}_y(\cdot,y_1(T),y_2(T),w_1)\|_{2,\Omega}),$$
where $C_5 = C_5(N,q,r,\Omega,T,C_0)$ and $C_6(\varepsilon) = C_6(\varepsilon,N,q,r,\Omega,T,C_0)$ are the same constants as in Propositions 3.3 and 3.4.
**Proof of Proposition 4.1.** ¿From assumptions (A1)-(A2), we first remark that
$$\tilde{f}_y(x,t,y_1,y_2,u_1) \geq C_0 \quad \text{a.e. in } Q, \quad \tilde{g}_y(s,t,y_1,y_2,v_1) \geq C_0 \quad \text{a.e. on } \Sigma$$
and $\tilde{f}_y(\cdot,y_1,y_2,u_1) \in L^q(Q)$, $\tilde{g}_y(\cdot,y_1,y_2,v_1) \in L^r(\Sigma)$. In the same way as in Proposition 3.4 we can prove that the equation (22) admits a unique weak solution $p_{12}$ in $W(0,T) \cap C(\overline{Q}_{0,T-\varepsilon}) \cap L^\infty(Q)$ and that $p_{12}$ satisfies the estimates stated in the proposition (Thanks to (A3)-(A5) the right sides of the above estimates are finite). □
**Proposition 4.2** If $(u_1,v_1,w_1)$ and $(u_2,v_2,w_2)$ are two triplets of admissible controls, if $y_1$ (respectively $y_2$) is the weak solution of (2) corresponding to $(u_1,v_1,w_1)$ (respectively $(u_2,v_2,w_2)$), then we have:
$$J(y_1,u_1,v_1,w_1) - J(y_2,u_2,v_2,w_2) = \int_Q \left\{ H_Q(x,t,y_2,u_1,p_{12}) - H_Q(x,t,y_2,u_2,p_{12}) \right\} dxdt$$
\[ + \int_{\Sigma} \{ H_{\Sigma}(s, t, y_2, v_1, p_{12}) - H_{\Sigma}(s, t, y_2, v_2, p_{12}) \} dsdt \]
\[ + \int_{\Omega} \{ H_{\Omega}(x, y_2(T), w_1, p_{12}(0)) - H_{\Omega}(x, y_2(T), w_2, p_{12}(0)) \} dx \]
where \( p_{12} \) is the intermediate adjoint state given by (22).
**Remark 4.1.** If \( v_2 = v_1 \) and \( w_2 = w_1 \) then
\[ J(y_1, u_1, v_1, w_1) - J(y_2, u_2, v_1, w_1) = \int_{Q} \{ H_Q(x, t, y_2, u_1, p_{12}) - H_Q(x, t, y_2, u_2, p_{12}) \} dx \ dt \]
where \( y_2 \) is the weak solution of (2) corresponding to \((u_2, v_1, w_1)\). In a similar manner, if \( u_2 = u_1 \) and \( w_2 = w_1 \) we have
\[ J(y_1, u_1, v_1, w_1) - J(y_2, u_1, v_2, w_1) = \int_{\Sigma} \{ H_{\Sigma}(s, t, y_2, v_1, p_{12}) - H_{\Sigma}(s, t, y_2, v_2, p_{12}) \} ds \ dt, \]
if \( u_2 = u_1 \) and \( v_2 = v_1 \) we have
\[ J(y_1, u_1, v_1, w_1) - J(y_2, u_1, v_1, w_2) = \int_{\Omega} \{ H_{\Omega}(x, y_2(T), w_1, p_{12}(0)) - H_{\Omega}(x, y_2(T), w_2, p_{12}(0)) \} dx. \]
This is the reason why we can obtain three decoupled Pontryagin minimum principles.
**Proof of Proposition 4.2.** The proof can be obtained by a straightforward calculation
\[ J(y_1, u_1, v_1, w_1) - J(y_2, u_2, v_2, w_2) = \]
\[ = \int_{Q} \{ F(x, t, y_1, u_1) - F(x, t, y_2, u_1) \} dxdt + \int_{Q} \{ F(x, t, y_2, u_1) - F(x, t, y_2, u_2) \} dxdt + \]
\[ + \int_{\Sigma} \{ G(s, t, y_1, v_1) - G(s, t, y_2, v_1) \} dsdt + \int_{\Sigma} \{ G(s, t, y_2, v_1) - G(s, t, y_2, v_2) \} dsdt + \]
\[ + \int_{\Omega} \{ \ell(x, y_1(T), w_1) - \ell(x, y_2(T), w_1) \} dx + \int_{\Omega} \{ \ell(x, y_2(T), w_1) - \ell(x, y_2(T), w_2) \} dx. \]
On the other hand, we have
\[ \int_{Q} \{ F(x, t, y_1, u_1) - F(x, t, y_2, u_1) \} dxdt = \int_{Q} \tilde{F}_y(x, t, y_1, y_2, u_1)(y_1 - y_2) \ dxdt \]
\[ = \int_{0}^{T} \left\langle -\frac{\partial p_{12}}{\partial t} + Ap_{12} + \tilde{f}_y(\cdot, t, y_1, y_2, u_1)p_{12}, y_1(t) - y_2(t) \right\rangle_{(H^1(\Omega))' \times H^1(\Omega)} \ dt \]
where \( p_{12} \) is the intermediate adjoint state. By using the Green formula, we obtain
\[ \int_{Q} \{ F(x, t, y_1, u_1) - F(x, t, y_2, u_1) \} dxdt = \int_{Q} p_{12}(x, t) \{ f(x, t, y_1, u_1) - f(x, t, y_2, u_1) \} dxdt \]
\[ + \int_{0}^{T} \left\{ \langle p_{12}, \frac{\partial(y_1 - y_2)}{\partial t} + A(y_1 - y_2) \rangle_{H^1(\Omega) \times (H^1(\Omega))'} - \langle \frac{\partial p_{12}(t)}{\partial n_A}, y_1(t) - y_2(t) \rangle_{H^{-\frac{1}{2}}(\Gamma) \times H^{\frac{1}{2}}(\Gamma)} \right\} \ dt \]
\[ + \int_{0}^{T} \langle \frac{\partial(y_1 - y_2)}{\partial n_A}(t), p_{12}(t) \rangle_{H^{-\frac{1}{2}}(\Gamma) \times H^{\frac{1}{2}}(\Gamma)} \ dt - \int_{\Omega} \{ p_{12}(T)(y_1(T) - y_2(T)) + p_{12}(0)(y_1(0) - y_2(0)) \} \ dx. \]
Since $y_1$ and $y_2$ are the weak solutions of (2) corresponding respectively to $(u_1, v_1, w_1)$ and to $(u_2, v_2, w_2)$ and since $p_{12}$ is the weak solution of (22), we get
\[
\int_Q \{F(x, t, y_1, u_1) - F(x, t, y_2, u_1)\} \, dxdt = \int_Q p_{12}(x, t) \{f(x, t, y_2, u_2) - f(x, t, y_2, u_1)\} \, dxdt
\]
\[
- \int_\Sigma \{G(s, t, y_1, v_1) - G(s, t, y_2, v_1)\} \, dsdt - \int_\Omega \{\ell(x, y_1(T), w_1) - \ell(x, y_2(T), w_1)\} \, dx
\]
\[
+ \int_\Sigma p_{12}(s, t) \{g(s, t, y_2, v_2) - g(s, t, y_2, v_1)\} \, dsdt + \int_\Omega p_{12}(0)(w_1 - w_2) \, dx.
\]
This equality, with the first one, proves the Proposition.
\[\square\]
### 4.2 Convergence results.
Let $(u^*, v^*, w^*)$ be a triplet of admissible controls and let $y^*$ be the associated state. We consider sequences $\{u_k, v_k, w_k\}_k$ of admissible controls such that:
\[
\lim_k \|u_k - u^*\|_{q,Q} = 0, \quad \lim_k \|v_k - v^*\|_{r,\Sigma} = 0,
\]
\[
\lim_k \|w_k - w^*\|_{2,\Omega} = 0 \quad \text{and} \quad \sup_k \|w_k\|_{\infty,\Omega} \leq C_{10}.
\]
For every $k \geq 1$ we denote by $y_k$ (respectively $y^k$) the weak solution of (2) corresponding to $(u_k, v_k, w^*)$ (respectively $(u^*, v^*, w_k)$) and by $p_k$ (respectively $p^k$) the weak solution of (22) corresponding to $y_2 = y^*$ and $y_1 = y_k$ (respectively $y_2 = y^*$, $y_1 = y^k$). Let us notice that the sequences $\{||u_k||_{q,Q}\}_k$, $\{||v_k||_{r,\Sigma}\}_k$ and $\{||w_k||_{\infty,\Omega}\}_k$ are uniformly bounded. Thus from Theorem 3.1 (respectively Proposition 4.1), it follows that $(y_k)_k$ and $(y^k)_k$ (respectively $(p_k)_k$ and $(p^k)_k$) are uniformly bounded in $L^\infty(Q)$.
We study the convergence of $(y_k)_k$, $(y^k)_k$, $(p_k)_k$ and $(p^k)_k$ in the following proposition.
**Proposition 4.3**
a) If $(y_k)_k$ and $(p_k)_k$ are defined as above then $(y_k)_k$ converges to $y^*$ in $L^\infty(Q)$, $(p_k)_k$ converges to $p^*$ in $L^\infty(Q)$ and $(p_k|_\Sigma)_k$ converges to $p^*|_\Sigma$ in $L^\infty(\Sigma)$, where $p^*$ is the weak solution of the equation:
\[
-\frac{\partial p}{\partial t} + Ap + f'_y(x, t, y^*, u^*)p = F'_y(x, t, y^*, u^*) \quad \text{in } Q,
\]
\[
\frac{\partial p}{\partial n_A} + g'_y(s, t, y^*, v^*)p = G'_y(s, t, y^*, v^*) \quad \text{on } \Sigma,
\]
\[
p(\cdot, T) = \ell'_y(x, y^*(x, T), w^*(x)) \quad \text{in } \overline{\Omega}.
\]
b) If $(y^k)_k$ and $(p^k)_k$ are defined as above then $(y^k(T))_k$ converges to $y^*(T)$ in $C(\overline{\Omega})$ and $(p^k(0))_k$ converges to $p^*(0)$ in $C(\overline{\Omega})$.
**Remark 4.2.** With Theorem 3.1 and Proposition 4.1 we have $\{(y_k)_k, (y^k)_k, y^*\} \subset C(\overline{\Omega} \times [0, T]) \cap L^\infty(Q)$, $\{(p_k)_k, (p^k)_k, p^*\} \subset C(\overline{\Omega} \times [0, T]) \cap L^\infty(Q)$ and the traces of $(y_k)_k, (y^k)_k, y^*, (p_k)_k, (p^k)_k$ and $p^*$ belong to $L^\infty(\Sigma)$.
**Proof of Proposition 4.3.**
i) For every \( k \geq 1 \), \( z = y_k - y^* \) is the weak solution of the equation:
\[
\frac{\partial z}{\partial t} + Az + a_k z = f(x, t, y^*, u^*) - f(x, t, y^*, u_k) \quad \text{in } Q,
\]
\[
\frac{\partial z}{\partial n_A} + b_k z = g(s, t, y^*, v^*) - g(s, t, y^*, v_k) \quad \text{on } \Sigma,
\]
\[
z(0) = 0 \quad \text{in } \Omega,
\]
where \( a_k(x, t) = \int_0^1 f_y'(x, t, y^* + \theta(y_k - y^*), u_k) \, d\theta \geq C_0 \), \( b_k(s, t) = \int_0^1 g_y'(s, t, y^* + \theta(y_k - y^*), v_k) \, d\theta \geq C_0 \). Thus, from Proposition 3.3 we get
\[
\|y_k - y^*\|_{\infty, Q} \leq C_5 \{ \|f(y^*, u^*) - f(y^*, u_k)\|_{q,Q} + \|g(y^*, v^*) - g(y^*, v_k)\|_{r,\Sigma} \}
\]
where \( f(y^*, u^*) \) denotes the function \( (x, t) \mapsto f(x, t, y^*(x, t), u^*(x, t)) \) and \( g(y^*, v^*) \) denotes the function \( (s, t) \mapsto g(s, t, y^*(s, t), v^*(s, t)) \); we use the same kind of notation for others functions throughout the proof. Since \( (u_k)_k \) converges to \( u^* \) in \( L^q(Q) \) and \( (v_k)_k \) converges to \( v^* \) in \( L^r(\Sigma) \), with estimates in (A1) and (A2) we can prove by classical arguments that
\[
\lim_{k \to \infty} \|f(y^*, u^*) - f(y^*, u_k)\|_{q,Q} = 0, \quad \lim_{k \to \infty} \|g(y^*, v^*) - g(y^*, v_k)\|_{r,\Sigma} = 0.
\]
Therefore, \( (y_k)_k \) converges to \( y^* \) in \( L^\infty(Q) \). As previously, \( p = p_k - p^* \) is the weak solution of
\[
-\frac{\partial p}{\partial t} + Ap + \tilde{f}_y(y_k, y^*, u^*)p = \tilde{F}_y(y_k, y^*, u^*) - F'_y(y^*, u^*) + (f'_y(y^*, u^*) - \tilde{f}_y(y_k, y^*, u^*))p^*
\]
\[
\frac{\partial p}{\partial n_A} + \tilde{g}_y(y_k, y^*, v^*)p = \tilde{G}_y(y_k, y^*, v^*) - G'_y(y^*, v^*) + (g'_y(y^*, v^*) - \tilde{g}_y(y_k, y^*, v^*))p^*
\]
\[
p(T) = \tilde{\ell}_y(y_k(T), y^*(T), w^*) - \ell'_y(y^*(T), w^*).
\]
To complete the proof, it remains to show that \( \|p_k - p^*\|_{\infty, \Sigma} + \|p_k - p^*\|_{\infty, Q} \to 0 \) as \( k \to \infty \). From Proposition 4.1, we get
\[
\|p_k - p^*\|_{\infty, \Sigma} + \|p_k - p^*\|_{\infty, Q} \leq
\]
\[
C_5 \left\{ \| \tilde{F}_y(y_k, y^*, u^*) - F'_y(y^*, u^*) \|_{q,Q} + \| \tilde{G}_y(y_k, y^*, v^*) - G'_y(y^*, v^*) \|_{r,\Sigma} + \right.
\]
\[
+ \| \tilde{f}_y(y_k, y^*, u^*) - f'_y(y^*, u^*) \|_{q,Q} \|p^*\|_{\infty, Q} + \| \tilde{g}_y(y_k, y^*, v^*) - g'_y(y^*, v^*) \|_{r,\Sigma} \|p^*\|_{\infty, \Sigma} +
\]
\[
+ \| \tilde{\ell}_y(y_k(T), y^*(T), w^*) - \ell'_y(y^*(T), w^*) \|_{\infty, \Omega} \right\}.
\]
Since \( (y_k)_k \) converges to \( y^* \) in \( L^\infty(Q) \) and since \( \{(y_k)_k, y^*\} \subset C(\overline{\Omega} \times [0, T]) \) then the right-hand side of the above inequality converges to 0 as \( k \) tends to infinity and part (a) of Proposition 4.3 is proved.
ii) Now we prove part (b). We first remark that \( z = y^k - y^* \) is the solution of the equation
\[
\frac{\partial z}{\partial t} + Az + a^k z = 0 \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + b^k z = 0 \quad \text{on } \Sigma, \quad z(0) = w_k - w^* \quad \text{in } \Omega,
\]
(where \( a^k(x, t) = \int_0^1 f_y'(x, t, y^* + \theta(y^k - y^*), u^*) \, d\theta \geq C_0 \), \( b^k(s, t) = \int_0^1 g_y'(s, t, y^* + \theta(y^k - y^*), v^*) \, d\theta \geq C_0 \)). Moreover \( p = p^k - p^* \) is the weak solution of the equation
\[
-\frac{\partial p}{\partial t} + Ap + \tilde{f}_y(y^k, y^*, u^*)p = \tilde{F}_y(y^k, y^*, u^*) - F'_y(y^*, u^*) + (f'_y(y^*, u^*) - \tilde{f}_y(y^k, y^*, u^*))p^*
\[
\frac{\partial p}{\partial n_A} + \tilde{g}_y(y^k, y^*, v^*)p = \tilde{G}_y(y^k, y^*, v^*) - G'_y(y^*, v^*) + (g'_y(y^*, v^*) - \tilde{g}_y(y^k, y^*, v^*))p^*
\]
\[p(T) = \tilde{\ell}_y(y^k(T), y^*(T), w^*) - \ell'_y(y^*(T), w^*).\]
From Proposition 3.4, it follows that
\[
||y^k - y^*||_{C(\overline{Q}_{\varepsilon,T})} \leq C_6(\varepsilon)||w_k - w^*||_{2,\Omega}
\]
for every $\varepsilon > 0$ and from Proposition 4.1
\[
||p^k(0) - p^*(0)||_{C(\overline{\Omega})} \leq
\]
\[
\leq C_6(\varepsilon) \left\{ ||\tilde{F}_y(y^k, y^*, u^*) - F'_y(y^*, u^*)||_{q,Q} + ||\tilde{G}_y(y^k, y^*, v^*) - G'_y(y^*, v^*)||_{r,\Sigma}
\right.
\]
\[
+ ||\tilde{f}_y(y^k, y^*, u^*) - f'_y(y^*, u^*)||_{q,Q}||p^*||_{\infty,Q} + ||\tilde{g}_y(y^k, y^*, v^*) - g'_y(y^*, v^*)||_{r,\Sigma}||p^*||_{\infty,\Sigma}
\]
\[
+ ||\tilde{\ell}_y(y^k(T), y^*(T), w^*) - \ell'_y(y^*(T), w^*)||_{2,\Omega} \right\}.
\] (24)
Thus $(y^k)_k$ converges to $y^*$ almost everywhere in $Q$, $(y^k|_\Sigma)_k$ converges to $y^*|_\Sigma$ almost everywhere in $\Sigma$ and $y^k(T)$ converges to $y^*(T)$ in $C(\overline{\Omega})$. Therefore, the right-hand side in (24) converges to 0. This completes the proof.
For any $(x_0, t_0) \in \overline{Q}$, we consider a sequence of balls $(S_k(x_0, t_0))_k$ centered at $(x_0, t_0)$ such that $\lim_k \mathcal{L}^{N+1} S_k(x_0, t_0) = 0$ (where $\mathcal{L}^{N+1}$ is the $(N+1)-$dimensional Lebesgue measure in $\mathbb{R}^{N+1}$). For any $(s_0, t_0) \in \Sigma$, we consider the sequence $B_k(s_0, t_0) = S_k(s_0, t_0) \cap \Sigma$. For any $x_0 \in \Omega$, we consider a sequence of balls $(W_k(x_0))_k$, centered at $x_0$, such that $\lim_k \mathcal{L}^N W_k(x_0) = 0$.
Let $u$ be in $K_U$, $v$ be in $K_V$ and $w$ be in $K_W$, we define the sequence $(u_k)_k$, $(v_k)_k$ and $(w_k)_k$ of admissible controls by:
\[
u_k(x, t) = \begin{cases}
u^*(x, t) & \text{on } Q \setminus S_k(x_0, t_0), \\
u & \text{on } S_k(x_0, t_0),
\end{cases}
\] (25)
\[
v_k(s, t) = \begin{cases}
v^*(s, t) & \text{on } \Sigma \setminus B_k(s_0, t_0), \\
v & \text{on } B_k(s_0, t_0),
\end{cases}
\] (26)
\[
w_k(x) = \begin{cases}
w^*(x) & \text{on } \Omega \setminus W_k(x_0), \\
w & \text{on } W_k(x_0).
\end{cases}
\] (27)
In the literature on optimal control the sequences defined in (25), (26), (27) are called spike perturbations. Other kind of perturbations (more sophisticated) are also used to prove Pontryagin’s principles [10], [18], [14], [28]. These different methods can also be used here. In this case the Pontryagin’s principles are first obtained in integral form, spike perturbations must be next used to recover pointwise Pontryagin’s principles. Here the method of spike perturbations seems to be the most direct one.
**Proposition 4.4** Let \((u^*, v^*, w^*)\) be a triplet of admissible controls, let \(u\) be in \(K_U\), \(v\) be in \(K_V\) and \(w\) be in \(K_W\).
a) There exists a subset \(Q(u^*, u) \subset Q\) (only depending on \(u^*\) and \(u\)) satisfying \(\mathcal{L}^{N+1}(Q(u^*, u)) = \mathcal{L}^{N+1}(Q)\) and such that for every \((x_0, t_0) \in Q(u^*, u)\), we have
\[
\lim_k \frac{1}{\mathcal{L}^{N+1}(S_k(x_0, t_0))}[J(y_k, u_k, v^*, w^*) - J(y^*, u^*, v^*, w^*)] =
\]
\[
H_Q(x_0, t_0, y^*(x_0, t_0), u, p^*(x_0, t_0)) - H_Q(x_0, t_0, y^*(x_0, t_0), u^*(x_0, t_0), p^*(x_0, t_0)),
\]
where \((u_k)_k\) is the sequence defined in (25), \(y_k\) is the weak solution of (2) corresponding to \((u_k, v^*, w^*)\).
b) There exists a subset \(\Sigma(v^*, v) \subset \Sigma\) (only depending on \(v^*\) and \(v\)) satisfying \(\mathcal{L}^N(\Sigma(v^*, v)) = \mathcal{L}^N(\Sigma)\) and such that for every \((s_0, t_0) \in \Sigma(v^*, v)\), we have
\[
\lim_k \frac{1}{\mathcal{L}^N(B_k(s_0, t_0))}[J(y_k, u^*, v_k, w^*) - J(y^*, u^*, v^*, w^*)] =
\]
\[
H_\Sigma(s_0, t_0, y^*(s_0, t_0), v, p^*(s_0, t_0)) - H_\Sigma(s_0, t_0, y^*(s_0, t_0), v^*(s_0, t_0), p^*(s_0, t_0)),
\]
where \((v_k)_k\) is the sequence defined in (26), \(y_k\) is the weak solution of (2) corresponding to \((u^*, v_k, w^*)\).
c) There exists a subset \(\Omega(w^*, w) \subset \Omega\) (only depending on \(w^*\) and \(w\)) satisfying \(\mathcal{L}^N(\Omega(w^*, w)) = \mathcal{L}^N(\Omega)\) and such that for every \(x_0 \in \Omega(w^*, w)\), we have
\[
\lim_k \frac{1}{\mathcal{L}^N(W_k(x_0))}[J(y^k, u^*, v^*, w_k) - J(y^*, u^*, v^*, w^*)] =
\]
\[
H_\Omega(x_0, y^*(x_0, T), w, p^*(x_0, 0)) - H_\Omega(x_0, y^*(x_0, T), w^*(x_0), p^*(x_0, 0)),
\]
where \((w_k)_k\) is the sequence defined in (27), \(y^k\) is the weak solution of (2) corresponding to \((u^*, v^*, w_k)\).
**Proof of Proposition 4.4.**
i) If \(u \in K_U\), we denote by \(Q(u^*, u)\) the intersection of the sets of Lebesgue points in \(Q\) for the functions:
\[
(x, t) \longmapsto f(x, t, y^*(x, t), u), \quad (x, t) \longmapsto H_Q(x, t, y^*(x, t), u^*(x, t), p^*(x, t)),
\]
\[
(x, t) \longmapsto f(x, t, y^*(x, t), u^*(x, t)), \quad (x, t) \longmapsto H_Q(x, t, y^*(x, t), u, p^*(x, t)).
\]
Taking into account assumptions (A1) and (A2), we have \(\mathcal{L}^{N+1}(Q(u^*, u)) = \mathcal{L}^{N+1}(Q)\). Let \((x_0, t_0)\) be in \(Q(u^*, u)\). With Proposition 4.2, we have
\[
J(y_k, u_k, v_k, w_k) - J(y^*, u^*, v^*, w^*) = \int_Q \{H_Q(x, t, y^*, u_k, p_k) - H_Q(x, t, y^*, u^*, p_k)\} \, dx \, dt
\]
\[
= \int_{S_k(x_0, t_0)} \{H_Q(x, t, y^*, u, p_k) - H_Q(x, t, y^*, u^*, p_k)\} \, dx \, dt
\]
\[
= \int_{S_k(x_0, t_0)} \{H_Q(x, t, y^*, u, p^*) - H_Q(x, t, y^*, u^*, p^*)\} \, dx \, dt
\]
\[
+ \int_{S_k(x_0, t_0)} (p^* - p_k)f(x, t, y^*, u) \, dx \, dt + \int_{S_k(x_0, t_0)} (p_k - p^*)f(x, t, y^*, u^*) \, dx \, dt,
where \( p_k \) is the solution of (22) corresponding to \((y_2 = y_k, y_1 = y^*)\). Then
\[
\lim_{k} \frac{1}{L^{N+1}(S_k(x_0, t_0))}[J(y_k, u_k, v_k, w_k) - J(y^*, u^*, v^*, w^*)] =
\]
\[
= \lim_{k} \frac{1}{L^{N+1}(S_k(x_0, t_0))} \int_{S_k(x_0, t_0)} \{H_Q(x, t, y^*, u, p^*) - H_Q(x, t, y^*, u^*, p^*)\} \, dx \, dt
\]
\[
+ \lim_{k} \frac{1}{L^{N+1}(S_k(x_0, t_0))} \left\{ \int_{S_k(x_0, t_0)} (p^* - p_k)f(x, t, y^*(x, t), u) \, dx \, dt \right.
\]
\[
+ \left. \int_{S_k(x_0, t_0)} (p_k - p^*)f(x, t, y^*(x, t), u^*(x, t)) \, dx \, dt \right\}.
\]
We already know that \((p_k)_k\) converges to \(p^*\) in \(L^\infty(Q)\) (see Proposition 4.3). Since \((x_0, t_0) \in Q(u^*, u)\), we have
\[
\frac{1}{L^{N+1}(S_k(x_0, t_0))} \left| \int_{S_k(x_0, t_0)} (p^* - p_k)f(x, t, y^*, u) \, dx \, dt \right| \leq
\]
\[
\frac{1}{L^{N+1}(S_k(x_0, t_0))} \int_{S_k(x_0, t_0)} |f(x, t, y^*, u)| \, dx \, dt ||(p^* - p_k)||_{\infty, Q} \longrightarrow 0 \quad \text{as } k \longrightarrow \infty,
\]
and
\[
\frac{1}{L^{N+1}(S_k(x_0, t_0))} \left| \int_{S_k(x_0, t_0)} (p_k - p^*)f(x, t, y^*, u^*) \, dx \, dt \right| \leq
\]
\[
\frac{1}{L^{N+1}(S_k(x_0, t_0))} \int_{S_k(x_0, t_0)} |f(x, t, y^*, u^*)| \, dx \, dt ||(p^* - p_k)||_{\infty, Q} \longrightarrow 0 \quad \text{as } k \longrightarrow \infty.
\]
Therefore it follows
\[
\lim_{k} \frac{1}{L^{N+1}(S_k(x_0, t_0))}[J(y_k, u_k, v_k, w_k) - J(y^*, u^*, v^*, w^*)] =
\]
\[
= \lim_{k} \frac{1}{L^{N+1}(S_k(x_0, t_0))} \int_{S_k(x_0, t_0)} \{H_Q(x, t, y^*, u, p^*) - H_Q(x, t, y^*, u^*, p^*)\} \, dx \, dt
\]
\[
= H_Q(x_0, t_0, y^*(x_0, t_0), u, p^*(x_0, t_0)) - H_Q(x_0, t_0, y^*(x_0, t_0), u^*(x_0, t_0), p^*(x_0, t_0)).
\]
Assertions (b) can be proved in the same way.
ii) Let \(\Omega(w^*, w)\) be the intersection of sets of Lebesgue points in \(\Omega\) for the functions:
\[
x \longmapsto w^*(x), \quad x \longmapsto H_\Omega(x, y^*(x, T), w, p^*(x, 0)), \quad x \longmapsto H_\Omega(x, y^*(x, T), w^*(x), p^*(x, 0)).
\]
Let \(x_0\) be in \(\Omega(w^*, w)\). From Proposition 4.2, we deduce:
\[
J(y^k, u^*, v^*, w_k) - J(y^*, u^*, v^*, w^*) = \int_{\Omega} \{H_\Omega(x, y^*(T), w_k, p^k(0)) - H_\Omega(x, y^*(T), w^*, p^k(0))\} \, dx
\]
\[
= \int_{W_k(x_0)} \{H_\Omega(x, y^*(T), w, p^k(0)) - H_\Omega(x, y^*(T), w^*, p^k(0))\} \, dx
\]
\[
= \int_{W_k(x_0)} \{H_\Omega(x, y^*(T), w, p^*(0)) - H_\Omega(x, y^*(T), w^*, p^*(0))\} \, dx
\]
\[
+ \int_{W_k(x_0)} (p^*(x, 0) - p^k(x, 0))(w^*(x) - w) \, dx,
\]
where \(p^k\) is the solution of (22) corresponding to \((y_2 = y^k, y_1 = y^*)\). By using the same arguments as above and taking into account Proposition 4.3, we end the proof. \(\square\)
4.3 Proof of Theorem 2.1
Let \((\bar{y}, \bar{u}, \bar{v}, \bar{w})\) be a solution of \((P)\) and let \(\bar{p}\) be its associated adjoint state. Thanks to Proposition 4.4, for every \(u \in K_U\), every \(v \in K_V\) and every \(w \in K_W\) we have:
\[H_Q(x, t, \bar{y}(x, t), \bar{u}(x, t), \bar{p}(x, t)) \leq H_Q(x, t, \bar{y}(x, t), u, \bar{p}(x, t))\]
for every \((x, t) \in Q(\bar{u}, u)\),
\[H_\Sigma(s, t, \bar{y}(s, t), \bar{v}(s, t), \bar{p}(s, t)) \leq H_\Sigma(s, t, \bar{y}(s, t), v, \bar{p}(s, t))\]
for every \((s, t) \in \Sigma(\bar{v}, v)\) and
\[H_\Omega(x, \bar{y}(x, T), \bar{w}(x), \bar{p}(x, 0)) \leq H_\Omega(x, \bar{y}(x, T), w, \bar{p}(x, 0))\]
for every \(x \in \Omega(\bar{w}, w)\).
i) Let \((u_k)_{k \geq 1}\) be a countable dense subset of \(K_U\). With the above inequality for \(H_Q\), we get
\[H_Q(x, t, \bar{y}(x, t), \bar{u}(x, t), \bar{p}(x, t)) \leq H_Q(x, t, \bar{y}(x, t), u_k, \bar{p}(x, t))\]
for every \((x, t) \in Q(\bar{u}, u_k)\). Let us set \(Q_0 = \bigcap_{k \geq 1} Q(\bar{u}, u_k)\), we have \(\mathcal{L}^{N+1}(Q_0) = \mathcal{L}^{N+1}(Q)\) and
\[H_Q(x, t, \bar{y}(x, t), \bar{u}(x, t), \bar{p}(x, t)) \leq H_Q(x, t, \bar{y}(x, t), u_k, \bar{p}(x, t))\]
for every \((x, t) \in Q_0\) and for every \(k \geq 1\). Since the Hamiltonian \(H_Q\) is continuous with respect to the control variable \(u\), we have
\[H_Q(x, t, \bar{y}(x, t), \bar{u}(x, t), \bar{p}(x, t)) = \min_{u \in K_U} H_Q(x, t, \bar{y}(x, t), u, \bar{p}(x, t))\]
for every \((x, t) \in Q_0\).
ii) The boundary Pontryagin principle and the Pontryagin principle for the initial condition can be shown in a similar manner.
5 Appendix.
Let \(f^*\) and \(g^*\) be two functions defined respectively on \(\Omega \times ]0, T[ \times \mathbb{R}\) and on \(\Gamma \times ]0, T[ \times \mathbb{R}\). We suppose that \(f^*, g^*\) verify the following assumptions.
(A1') - For every \(y \in \mathbb{R}\), \(f^*(\cdot, y)\) is measurable on \(Q\). For almost every \((x, t) \in Q\), \(f^*(x, t, \cdot)\) is of class \(C^1\) on \(\mathbb{R}\) and we have the following estimates
\[|f^*(x, t, 0)| \leq M_1^*(x, t), \quad C_0 \leq f_y^{**}(x, t, y) \leq M_1^*(x, t),\]
where \(M_1^*\) belongs to \(L^{2q}(Q)\), \(C_0\) is as in (A1).
(A2') - For every \(y \in \mathbb{R}\), \(g^*(\cdot, y)\) is measurable on \(\Sigma\). For almost every \((s, t) \in \Sigma\), \(g^*(s, t, \cdot)\) is of class \(C^1\) on \(\mathbb{R}\) and we have the following estimates
\[|g^*(s, t, 0)| \leq M_2^*(s, t), \quad C_0 \leq g_y^{**}(s, t, y) \leq M_2^*(s, t),\]
where \(M_2^*\) belongs to \(L^{2r}(\Sigma)\), \(C_0\) is as in (A1).
**Lemma 5.1** Let $y_0$ be in $L^\infty(\Omega)$. Under the assumptions $(A1') - (A2')$, the equation
$$\frac{\partial y}{\partial t} + Ay + f^*(x, t, y) = 0 \quad \text{in } Q, \quad \frac{\partial y}{\partial n_A} + g^*(s, t, y) = 0 \quad \text{on } \Sigma, \quad y(0) = y_0 \quad \text{in } \Omega,$$
admits a unique weak solution $y$ in $W(0, T)$, this solution belongs to $L^\infty(Q)$ and satisfies the estimate
$$\|y\|_{\infty, Q} + \|y\|_{\infty, \Sigma} + \|y(T)\|_{\infty, \Omega} + \|y\|_{L^2(0, T; H^1(\Omega))} \leq C_{11}(\|f^*(\cdot, 0)\|_{q, Q} + \|g^*(\cdot, 0)\|_{r, \Sigma} + \|y_0\|_{\infty, \Omega}),$$
where $C_{11} = C_{11}(N, q, r, \Omega, T, C_0)$.
**Proof of Lemma 5.1.** We can suppose, without loss of generality, that $((a_{ij})_{i,j}, C_0, C_0)$ verifies the ellipticity condition $(Em_0)$ (see part (i) below in the proof of Theorem 3.1). In this case, the proof of existence result is similar to the one given in ([23], Chapter 2, Theorem 1.2). We denote by $y$ the weak solution of (28). We remark that $y$ is also the weak solution of the following equation:
$$\frac{\partial z}{\partial t} + Az + a^*z = -f^*(x, t, 0) \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + b^*z = -g^*(s, t, 0) \quad \text{on } \Sigma, \quad z(0) = y_0 \quad \text{in } \Omega,$$
where $a^*(x, t) = \int_0^1 f_y^{*'}(x, t, \theta y) \, d\theta \geq C_0$ and $b^*(s, t) = \int_0^1 g_q^{*'}(s, t, \theta y) \, d\theta \geq C_0$. From Proposition 3.3 and Proposition 3.4, we deduce $y \in C(\overline{Q}_{\varepsilon, T}) \cap L^\infty(Q)$, $y|_\Sigma \in L^\infty(\Sigma)$ and
$$\|y\|_{\infty, Q} + \|y\|_{\infty, \Sigma} + \|y(T)\|_{\infty, \Omega} \leq K(\|f^*(\cdot, 0)\|_{q, Q} + \|g^*(\cdot, 0)\|_{r, \Sigma} + \|y_0\|_{\infty, \Omega}).$$
The estimate in $L^2(0, T; H^1(\Omega))$ is immediate. □
**Proof of existence result of Theorem 3.1.**
i) If $((a_{ij})_{i,j}, C_0, C_0)$ does not verify the ellipticity condition $(Em_0)$, we set $z(x, t) = e^{-\theta t}y(x, t)$, where $\theta$ is chosen so that $((a_{ij})_{i,j}, C_0 + \theta, C_0)$ satisfies $(Em_0)$. We remark that $y$ is a weak solution of (2) if and only if $z$ is a weak solution of
$$\frac{\partial z}{\partial t} + Az + \tilde{f}(x, t, z, u) = 0 \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + \tilde{g}(s, t, z, v) = 0 \quad \text{on } \Sigma, \quad z(0) = y_0 \quad \text{in } \Omega,$$
with
$$\tilde{f}(x, t, z, u) = e^{-\theta t}f(x, t, e^{\theta t}z, u) + \theta z, \quad \tilde{g}(s, t, z, v) = e^{-\theta t}g(s, t, e^{\theta t}z, v).$$
It is clear that
$$\tilde{f}_z'(x, t, z, u) \geq C_0 + \theta, \quad \tilde{g}_z'(s, t, z, v) \geq C_0.$$
Thus, without loss of generality, we can suppose that $((a_{ij})_{i,j}, C_0, C_0)$ verifies the ellipticity condition $(Em_0)$.
ii) To use the previous lemma, we consider an equation with truncated and regularized functions. For this we set:
$$f_k(x, t, y, u) = \begin{cases}
f(x, t, k, u) + f_y'(x, t, k, u)(y - k) & \text{if } y > k, \\
f(x, t, y, u) & \text{if } |y| \leq k, \\
f(x, t, -k, u) + f_y'(x, t, -k, u)(y + k) & \text{if } y < -k,
\end{cases}$$
\[ g_k(s, t, y, v) = \begin{cases}
g(s, t, k, v) + g'_y(s, t, k, v)(y - k) & \text{if } y > k, \\
g(s, t, y, v) & \text{if } |y| \leq k, \\
g(s, t, -k, v) + g'_y(s, t, -k, v)(y + k) & \text{if } y < -k.
\end{cases} \]
Let \( u \) be in \( L^q(Q) \), \( v \) in \( L^r(\Sigma) \) and \( w \) in \( L^\infty(\Omega) \). We want to prove that the equation
\[
\frac{\partial y}{\partial t} + Ay + f_k(x, t, y, u) = 0 \quad \text{in } Q, \quad \frac{\partial y}{\partial n_A} + g_k(s, t, y, v) = 0 \quad \text{on } \Sigma, \quad y(0) = w \quad \text{in } \Omega,
\] (29)
admits a weak solution in \( W(0, T) \cap L^\infty(Q) \). Lemma 5.1 cannot be directly applied to equation (29), first we must regularize \( f_k \) and \( g_k \). For every \( k \geq 1 \), we consider the sequences of functions \( (f^n_k)_{n \geq 1} \) and \( (g^n_k)_{n \geq 1} \) defined by
\[ f^n_k(x, t, y) = \theta_n * f_k(\cdot, y, u(\cdot))(x, t), \]
\[ g^n_k(s, t, y) = \tilde{\theta}_n * g_k(\cdot, y, v(\cdot))(s, t), \]
where \( (\theta_n)_n \) is a sequence of nonnegative regularizing kernels in \( \mathbb{R}^N \times \mathbb{R} \) and \( (\tilde{\theta}_n)_n \) is a sequence of nonnegative regularizing kernels in \( \Gamma \times \mathbb{R} \) (\( f_k(\cdot, y, u(\cdot)) \) and \( g_k(\cdot, y, v(\cdot)) \) are extended by zero outside \( Q \) and \( \Sigma \)). We consider the equation
\[
\frac{\partial y}{\partial t} + Ay + f^n_k(x, t, y) = 0 \quad \text{in } Q, \quad \frac{\partial y}{\partial n_A} + g^n_k(s, t, y) = 0 \quad \text{on } \Sigma, \quad y(0) = w \quad \text{in } \Omega.
\] (30)
Since \( f^n_k \) verifies (A1’) and \( g^n_k \) verifies (A2’) for every \( k \geq 1 \) and every \( n \geq 1 \), from Lemma 5.1 equation (30) admits a unique weak solution in \( W(0, T) \) denoted by \( y^n_k \). Moreover,
\[
\|y^n_k\|_{\infty, Q} + \|y^n_k\|_{\infty, \Sigma} + \|y^n_k(T)\|_{\infty, \Omega} + \|y^n_k\|_{L^2(0, T; H^1(\Omega))} \leq
\]
\[
\leq K(\|f^n_k(\cdot, 0)\|_{q, Q} + \|g^n_k(\cdot, 0)\|_{r, \Sigma} + \|w\|_{\infty, \Omega}),
\]
\[
\leq K_1(\|f(\cdot, 0, u(\cdot))\|_{q, Q} + \|g(\cdot, 0, v(\cdot))\|_{r, \Sigma} + \|w\|_{\infty, \Omega} + 1).
\] (31)
For every \( k \geq 1 \) and every \( n \geq 1 \), we define the nonlinear operator \( A^n_k \) from \( L^2(0, T; H^1(\Omega)) \) into \( L^2(0, T; (H^1(\Omega))') \) such that, for every \( z, \varphi \in L^2(0, T; H^1(\Omega)) \), we have
\[
\langle A^n_k(z), \varphi \rangle = \sum_{i,j} \int_Q a_{ij}(x)D_jz(x, t)D_i\varphi(x, t) \, dxdt +
\]
\[
+ \int_Q f^n_k(x, t, z(x, t))\varphi(x, t) \, dxdt + \int_\Sigma g^n_k(s, t, z(s, t))\varphi(s, t) \, dsdt
\]
where \( \langle \cdot, \cdot \rangle \) is the duality product between \( L^2(0, T; H^1(\Omega)) \) and \( L^2(0, T; (H^1(\Omega))') \). From (Emo), we see that for every \( k \geq 1 \) and every \( n \geq 1 \), \( A^n_k \) is well defined and is monotone. Equation (30) can be written in the form:
\[
\frac{dy}{dt} + A^n_k(y) = 0 \quad \text{in } L^2(0, T; (H^1(\Omega))'), \quad y(0) = w \quad \text{in } \Omega,
\]
and we have
\[
\left\| \frac{dy^n_k}{dt} \right\|_{L^2(0, T; (H^1(\Omega))')} = \|A^n_k(y^n_k)\|_{L^2(0, T; (H^1(\Omega))')} \leq
\[
\leq K_2 \left\{ \| \int_0^1 (f^n_k)'_y(\cdot, \theta y^n_k) \, d\theta \|_{2,Q} \| y^n_k \|_{\infty,Q} + \| f^n_k(\cdot, 0) \|_{2,Q} + \| g^n_k(\cdot, 0) \|_{2,\Sigma} \right. \\
+ \| \int_0^1 (g^n_k)'_y(\cdot, \theta y^n_k) \, d\theta \|_{2,\Sigma} \| y^n_k \|_{\infty,\Sigma} + \| y^n_k \|_{L^2(0,T;H^1(\Omega))} \left\} \right.
\]
\[
\leq K_1 K_2 \left\{ \| \int_0^1 f'_{ky}(\cdot, \theta y^n_k, u) \, d\theta \|_{2,Q} + \| \int_0^1 g'_{ky}(\cdot, \theta y^n_k, v) \, d\theta \|_{2,\Sigma} + \| f(\cdot, 0, u) \|_{2,Q} + \| g(\cdot, 0, v) \|_{2,\Sigma} \right\}
\]
\[
\times \{ \| f(\cdot, 0, u) \|_{q,Q} + \| g(\cdot, 0, v) \|_{r,\Sigma} + \| w \|_{\infty,\Omega} + 1 \}.
\]
From the above estimates, it follows that, for every \( k \geq 1 \), the sequences \( \{ A^n_k(y^n_k) \}_n \), \( \{ y^n_k \}_n \), \( \{ y^n_k|_\Sigma \}_n \) and \( \{ y^n_k(T) \}_n \) are bounded respectively in \( L^2(0,T;(H^1(\Omega))') \), in \( W(0,T) \cap L^\infty(Q) \), in \( L^\infty(\Sigma) \) and in \( L^2(\Omega) \). For every \( k \geq 1 \), there then exist subsequences, still indexed by \( n \) to simplify the notation, \( y_k \in W(0,T) \cap L^\infty(Q) \) and \( \chi_k \in L^2(0,T;(H^1(\Omega))') \) such that
\[ y^n_k \rightharpoonup y_k \text{ in } W(0,T), \quad y^n_k \rightharpoonup y_k \text{ weakly star in } L^\infty(Q), \]
\[ y^n_k|_\Sigma \rightharpoonup y_k|_\Sigma \text{ weakly star in } L^\infty(\Sigma), \]
\[ A^n_k(y^n_k) \rightharpoonup \chi_k \text{ weakly in } L^2(0,T;(H^1(\Omega))'), \quad y^n_k(T) \rightharpoonup y_k(T) \text{ weakly in } L^2(\Omega). \]
Recall that \( y^n_k \) is the weak solution of (30), hence for every \( \varphi \in L^2(0,T;H^1(\Omega)) \) we have
\[
\langle \frac{dy^n_k}{dt} + A^n_k(y^n_k), \varphi \rangle_{L^2(0,T;(H^1(\Omega))') \times L^2(0,T;H^1(\Omega))} = 0.
\] (32)
Thus, by passing to the limit in this equality when \( n \) tends to infinity, we get
\[
\frac{dy_k}{dt} = -\chi_k \quad \text{in } L^2(0,T;(H^1(\Omega))').
\]
To prove that \( y_k \) is the weak solution of (29), it is sufficient to prove that \( \chi_k \) coincides with \( A_k(y_k) \), where \( A_k \) is the operator from \( L^2(0,T;H^1(\Omega)) \cap L^\infty(Q) \) into \( L^2(0,T;(H^1(\Omega))') \) defined by
\[
\langle A_k(z), \varphi \rangle = \sum_{i,j} \int_Q a_{ij}(x) D_j z(x,t) D_i \varphi(x,t) \, dxdt +
\]
\[
+ \int_Q f_k(x,t,z(x,t),u(x,t)) \varphi(x,t) \, dxdt + \int_\Sigma g_k(s,t,z(s,t),v(s,t)) \varphi(s,t) \, dsdt
\]
for every \( z \in L^2(0,T;H^1(\Omega)) \cap L^\infty(Q) \) and every \( \varphi \in L^2(0,T;H^1(\Omega)) \). Let us notice that, when \( n \) tends to infinity, \( \{ f^n_k(\cdot, z) \}_n \) converges to \( f_k(\cdot, z) \) in \( L^q(Q) \) and \( \{ g^n_k(\cdot, z) \}_n \) converges to \( g_k(\cdot, z) \) in \( L^r(\Sigma) \). Therefore, for every \( z \in L^2(0,T;H^1(\Omega)) \cap L^\infty(Q) \), \( \{ A^n_k(z) \}_n \) strongly converges to \( A_k(z) \) in \( L^2(0,T;(H^1(\Omega))') \). Taking into account the monotony of \( A^n_k \), for \( z \in L^2(0,T;H^1(\Omega)) \cap L^\infty(Q) \) we have
\[
\langle A^n_k(z) - A^n_k(y^n_k), z - y^n_k \rangle \geq 0.
\]
With this inequality and with (32), we get
\[
\frac{1}{2} \| w \|_{2,\Omega}^2 - \frac{1}{2} \| y^n_k(T) \|_{2,\Omega}^2 - \langle A^n_k(y^n_k), z \rangle + \langle A^n_k(z), z - y^n_k \rangle \geq 0.
\]
By passing to the limit when \( n \) tends to infinity, since \( \liminf_n \| y^n_k(T) \|_{2,\Omega}^2 \geq \| y_k(T) \|_{2,\Omega}^2 \), it results that:
\[
\frac{1}{2} \| w \|_{2,\Omega}^2 - \frac{1}{2} \| y_k(T) \|_{2,\Omega}^2 - \langle \chi_k, z \rangle + \langle A_k(z), z - y_k \rangle \geq 0.
Thus, we have:
\[
\langle A_k(z) - \chi_k, z - y_k \rangle \geq 0 \quad \text{for every } z \in L^2(0,T; H^1(\Omega)) \cap L^\infty(Q). \tag{33}
\]
Let \( \psi \) be in \( L^2(0,T; H^1(\Omega)) \cap L^\infty(Q) \) and let \( \lambda > 0 \). We put \( z = y_k - \lambda \psi \) in (33):
\[
\langle A_k(y_k - \lambda \psi) - \chi_k, \psi \rangle \leq 0.
\]
If \( \lambda \) tends to 0, we get
\[
\langle A_k(y_k) - \chi_k, \psi \rangle = 0 \quad \text{for every } \psi \in L^2(0,T; H^1(\Omega)) \cap L^\infty(Q).
\]
Finally, by denseness arguments we obtain
\[
A_k(y_k) = \chi_k \quad \text{in } L^2(0,T;(H^1(\Omega))').
\]
Therefore we have proved that \( y_k \) is the weak solution in \( W(0,T) \cap L^\infty(Q) \) of (29). Moreover \( y_k \) verifies the estimate (31). It is clear that if \( k \geq K_1(||f(\cdot,0,u)||_{q,Q} + ||g(\cdot,0,v)||_{r,\Sigma} + ||w||_{\infty,\Omega} + 1) \), then \( f_k(x,t,y_k,u) = f(x,t,y_k,u) \), \( g_k(s,t,y_k,v) = g(s,t,y_k,v) \) and \( y_k \) is also the weak solution of (2).
ii) It is easy to see that the weak solution of (2) is also the weak solution of the following linear equation
\[
\frac{\partial z}{\partial t} + Az + az = -f(x,t,0,u) \quad \text{in } Q, \quad \frac{\partial z}{\partial n_A} + bz = -g(s,t,0,v) \quad \text{on } \Sigma, \quad z(0) = y_0 \quad \text{in } \Omega,
\]
where \( a(x,t) = \int_0^1 f'_y(x,t,\theta y,u) \, d\theta \geq C_0 \) and \( b(s,t) = \int_0^1 g'_y(s,t,\theta y,v) \, d\theta \geq C_0 \). From Proposition 3.4 and taking in account the assumptions (A1)-(A2), the regularity and the estimate in \( C(\overline{Q}_{\varepsilon,T}) \) are immediate.
**Acknowledgments.** The authors wish to thank P. Benilan for helpfull discussions concerning regularity results for parabolic equations, in particular for giving them the idea to use duality arguments and imbedding theorems to obtain estimates in Proposition 3.1. The authors also thank an anonymous Referee for his remarks, questions and suggestions which are at the origin of several improvements.
**References**
[1] R. A. Adams, "Sobolev Spaces", Academic Press, New-York, 1975.
[2] N. U. Ahmed, X. Xiang, Existence of Solutions for a Class of Nonlinear Evolution Equation with Nonmonotone Perturbations, Nonlin. Anal., T. M. A., Vol. 22 (1994), p. 81-89.
[3] N. D. Alikakos, Regularity and Asymptotic Behavior for the Second Order Parabolic Equation with Nonlinear Boundary Conditions in \( L^p \), J. Diff. Equat., Vol. 39 (1981), p. 311-314.
[4] H. Amann, Dual Semigroups and Second Order Linear Elliptic Boundary Value Problems, Is. J. Math., Vol. 45 (1983), p. 225-254.
[5] V. Barbu, Analysis and Control of Nonlinear Infinite Dimensional Systems, Academic Press, Boston/San Diego/New York, 1993.
[6] J. F. Bonnans, E. Casas, Un Principe de Pontryagin pour le Contrôle des Systèmes Semilinéaires Elliptiques, J. Diff. Eq., Vol. 90 (1991), p. 288-303.
[7] J. F. Bonnans, E. Casas, A Boundary Pontryagin’s Principle for the Optimal Control of State Constrained Elliptic Systems, in Proc. French-Romanian Conference on Optimization, Optimal Control and Partial Equations, V. Barbu et al. Eds., Birkhäuser, Basel, 1992, p. 241-249.
[8] J. F. Bonnans, E. Casas, An Extension of Pontryagin’s Principle for State Constrained Optimal Control of Semilinear Elliptic Equations and Variational Inequalities, SIAM J. Cont. and Optim., Vol. 33 (1995).
[9] J. F. Bonnans, D. Tiba, Pontryagin’s Principle in the Control of Semilinear Elliptic Variational Equations, Appl. Math. Optim., Vol. 23 (1991), p. 299-312.
[10] E. Casas, Pontryagin’s Principle for State-Constrained Boundary Control Problems of Semilinear Parabolic Equations, to appear.
[11] E. DiBenedetto, Degenerate Parabolic Equations, Springer-Verlag, New York, 1993.
[12] H. O. Fattorini, The Maximum Principle for Nonlinear Nonconvex Systems in Infinite Dimensional Spaces, in “Distributed Parameter Systems”, F. Kappel et al. Eds, Springer-Verlag, Berlin/Heidelberg/New-York, 1985, p. 162-178.
[13] H. O. Fattorini, Optimal Control Problems for Distributed Systems Governed by Semilinear Parabolic Equations in $L^1$ and in $L^\infty$ Spaces, in “Optimal Control of Partial Differential Equations”, Springer-Verlag, Berlin/Heidelberg/New-York, 1991, p. 68-80.
[14] H. O. Fattorini, Optimal Control Problems for Distributed Parameter Systems in Banach Spaces, Appl. Math. Optim., Vol. 28 (1993), p. 215-257.
[15] H. O. Fattorini, Nonlinear Infinite Dimensional Optimal Control Problems with State Constraints and Unbounded Control Sets, to appear.
[16] H. O. Fattorini, H. Frankowska, Necessary Conditions for Infinite-Dimensional Control Problems, Math. Control, Signals and Systems, Vol. 4 (1991), p. 41-67.
[17] H. O. Fattorini, T. Murphy, Optimal Control Problems for Nonlinear Parabolic Boundary Control Systems: The Dirichlet Boundary Condition, Diff. and Integ. Equat., Vol 7 (1994), p. 1367-1388.
[18] H. O. Fattorini, T. Murphy, Optimal Problems for Nonlinear Parabolic Boundary Control Systems, SIAM J. Control and Optim., Vol. 32 (1994), p. 1577-1596.
[19] A. Friedman, Partial Differential Equations of Parabolic Type, Prentice-Hall, Inc., Englewood Cliffs, N. J., 1964.
[20] A. Friedman, Partial Differential Equations, Holt, Rinehart and Winston, New York, 1969.
[21] D. Henry, Geometric Theory of Semilinear Parabolic Equations, Springer-Verlag, Berlin/Heidelberg/New-York, 1981.
[22] O. A. Ladyženskaya, V. A. Solonnikov, and N. N. Ural’ceva, "Linear and Quasilinear Equations of Parabolic Type," Translations of Mathematical Monographs, Vol. 23, Amer. Math. Soc., Providence, R. I., 1968.
[23] J. L. Lions, "Quelques Méthodes de Résolution des Problèmes aux Limites non Linéaires", Dunod Gauthier-Villars, Paris, 1969.
[24] U. Mackenroth, Convex Parabolic Boundary Control Problems with Pointwise State Constraints, J. Math. Anal. Appli., Vol. 87 (1982), p. 256-277.
[25] A. Pazy, "Semigroups of Linear Operators and Applications to Partial Differential Equations", Springer-Verlag, Berlin/Heidelberg/New-York, 1983.
[26] F. Rothe, Uniform Bounds from Bounded $L_p$-functionals in Reaction-Diffusion Equations, J. Diff. Equat., Vol. 45 (1982), p. 207-233.
[27] J. P. Raymond, Nonlinear Boundary Control of Semilinear Parabolic Problems with Pointwise State Contraints, to appear in Disc. Cont. Dyn. Syst..
[28] J. P. Raymond, H. Zidani, Pontryagin’s Principle for State-Constrained Control Problems Governed by Parabolic Equations with Unbounded Controls, preprint 96.
[29] E. J. P. G. Schmidt, Boundary Control for the Heat Equation with Nonlinear Boundary Condition, J. Diff. Equat., Vol. 78 (1989), p. 89-121.
[30] F. Tröltzsch, On the Semigroup Approach for the Optimal Control of Semilinear Parabolic Equations Including Distributed and Boundary Control, Zeitschrift für Analysis und ihre Anwendungen, Vol. 8 (1989), p. 431-443.
[31] Z. S. Wu, K. L. Teo, Optimal Control Problems Involving Second Boundary Value Problems of Parabolic Type, SIAM J. Control and Optim., Vol. 21 (1983), p. 729-757.
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Case 2:18-cv-00279-SAB ECF No. 25 filed 01/08/20 PageID.229 Page 1 of 4
FILED IN THE
EASTERN DISTRICT OF WASHINGTON
U.S. DISTRICT COURT
Jan 08, 2020
SEAN F. MCAVOY, CLERK
UNITED STATES DISTRICT COURT EASTERN DISTRICT OF WASHINGTON
KELLY O'KELL,
NO. 2:18-CV-00279-SAB
Plaintiff, v.
DAVID BERNHARDT, in his official capacity as Secretary of the United States Department of the Interior,
Defendant.
17
18 19 20 21 22 23 24 25 26 27 28 Before the Court is Defendant's Motion to Exclude Testimony of Deborah Diamond under Federal Rule of Evidence 702, ECF No. 20. Defendant requests the Court exclude Plaintiff's expert witness Deborah Diamond, an HR expert with years of experience in the industry. Defendant argues Ms. Diamond's testimony is unhelpful and irrelevant due to its allegedly inadequate methodology, Ms. Diamond's lack of peer-reviewed publications, Ms. Diamond's use of published agency guidance regarding impartiality in investigations issued after the relevant investigations were conducted in this case, and her failure to account for an explanation regarding what Ms. Diamond opined was the lack of timeliness of the investigations. For the reasons described herein, the Court denies the motion. //
ORDER DENYING MOTION TO EXCLUDE Ԅ 1
ORDER DENYING MOTION TO EXCLUDE
1
2
3
4
5
(a) the expert's scientific, technical, or other specialized knowledge will help the trier of fact to understand the evidence or to determine a fact in issue;
6
Case 2:18-cv-00279-SAB ECF No. 25 filed 01/08/20 PageID.230 Page 2 of 4
Fed. R. Evid. 702 governs the admission of expert testimony. It states:
A witness who is qualified as an expert by knowledge, skill, experience, training, or education may testify in the form of an opinion or otherwise if:
(b) the testimony is based on sufficient facts or data;
7 (d) the expert has reliably applied the principles and methods to the facts of the case.
(c) the testimony is the product of reliable principles and methods; and
8
ER 702.
9 10 11 12 13 14 15 16 17 Although Rule 702 should be applied with a "liberal thrust" favoring admission, Daubert v. Merrell Down Pharm., Inc., 509 U.S. 579, 588 (1993), it requires that expert testimony be both relevant and reliable. Primiano v. Cook, 598 F.3d 558, 564 (9th Cir. 2010). "Expert opinion testimony is relevant if the knowledge underlying it has a valid connection to the pertinent inquiry. And it is reliable if the knowledge underlying it has a reliable basis in the knowledge and experience of the relevant discipline." Id. at 565. The inquiry should focus on the soundness of the methodology, not the correctness of the expert's conclusions. Primiano, 598 F.3d at 564-65.
18 19 20 21 22 23 24 25 26 27 28 In evaluating whether the testimony should be admitted, the trial court acts as "a gatekeeper, not a fact finder." Id. at 565. To aid courts in exercising this role, the Supreme Court has suggested a non-exclusive and flexible list of factors that it may consider when determining the reliability of expert testimony, including: (1) whether the theory or technique employed by the expert is generally accepted in the scientific community; (2) whether it's been subjected to peer review and publication; (3) whether it can be and has been tested; and (4) whether the known or potential rate of error is acceptable. Daubert v. Merrell Down Pharm., Inc., 509 U.S. at 593-95. The court should also consider whether experts are testifying "about matters growing naturally" out of their own independent research, or if "they have developed their opinions expressly for purposes of testifying." Wendell
ORDER DENYING MOTION TO EXCLUDE Ԅ 2
Case 2:18-cv-00279-SAB ECF No. 25 filed 01/08/20 PageID.231 Page 3 of 4
1 v. GlaxoSmithKline LLC, 858 F.3d 1227, 1232 (9th Cir. 2017) (citing Daubert v. Merrell Dow Pharmaceuticals, Inc., 43 F.3d 1311, 1317 (1995)).
ORDER DENYING MOTION TO EXCLUDE Ԅ 3 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 "Shaky, but admissible evidence is to be attacked by cross examination, contrary evidence, and attention to the burden of proof, not exclusion." Primiano, 598 F.3d at 564. An opinion is not excludable merely because it is impeachable. Alaska Rent-A-Car, Inc. v. Avis Budget Grp., Inc., 738 F.3d 960, 969 (9th Cir. 2013) "After an expert establishes admissibility to the judge's satisfaction, challenges that go to the weight of the evidence are within the province of a fact finder, not a trial court judge. A district court should not make credibility determinations that are reserved for the jury." Pyramid Technologies, Inc. v. Hartford Cas. Ins. Co., 752 F.3d. 807, 814 (9th Cir. 2014). "Basically, the judge is supposed to screen the jury from unreliable nonsense opinions, but not exclude opinions merely because they are impeachable. The district court is not tasked with deciding whether the expert is right or wrong, just whether his testimony has substance such that it would be helpful to the jury." Alaska Rent-A-Car, Inc., 738 F.3d at 969-70. Defendant's arguments primarily go to the weight of Ms. Diamond's testimony, not her expertise or the relevance of the testimony to this case. Notwithstanding Ms. Diamond's lack of peer-reviewed articles, in the field of her expertise, her years of experience render he qualified to testify as to industry standards in conducting investigations of alleged discrimination. The Court finds that Ms. Diamond's methodology, applying her years of expertise to the facts of the case after reviewing to form her opinion, adequate. Likewise, her use of the 2018 guidance does not taint the entirety of Ms. Diamond's testimony, though it may be used as impeachment at trial. Nor does her failure to account for one possible explanation for the investigations' alleged untimeliness render her opinion that the investigations were untimely so unreliable as to be inadmissible. //
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Case 2:18-cv-00279-SAB ECF No. 25 filed 01/08/20 PageID.232 Page 4 of 4
As this is a bench trial, there is substantially less danger in admitting such allegedly shaky testimony at this stage of the proceedings, because a trial court is less likely to be "unduly impressed by the expert's testimony or opinion" than a jury. F.T.C. v. BurnLounge, Inc., 753 F.3d 878, 888 (9th Cir. 2014).
Accordingly, IT IS ORDERED:
1. Defendant's Motion to Exclude Testimony of Deborah Diamond under Federal Rule of Evidence 702, ECF No. 20, is DENIED.
IT IS SO ORDERED. The District Court Clerk is hereby directed to enter this Order and to provide copies to counsel.
DATED this 8th day of January 2020.
Stanley A. Bastian United States District Judge
ORDER DENYING MOTION TO EXCLUDE Ԅ 4
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International Inline Skater Hockey Federation
Communication 2019-14
12th August 2019
Topics:
1. IISHF U13 European Cup 2020 – Application received.
2. NMA Membership Information required.
1
1. IISHF U13 European Cup 2020 – Application received
Crefelder SC (Germany) has delivered an application for the hosting of the IISHF U13 European Cup 2020 in Krefeld (Germany) on 12-14 June 2020. Any other application for this event has to be delivered within 3 weeks – thus deadline shall be Monday 02.09.2019.
2. NMA Membership Information required
The IISHF Presidium has decided that all National Member Associations (NMA's) shall deliver the same information that is required when new potential member associations apply for membership of IISHF as given in the §5.1 and §5.5 IISHF Constitution. We have regularly to check if all NMA's complete comply with the IISHF requirements. Thus please kindly provide us the following information:
- The official address of the NMA
- A copy of its current Constitution, Regulations and Rules Book
- Information about number of teams
- Confirmation that they are the only single controlling authority for Inline Skater Hockey in the country
Please kindly provide this requested information until Monday 30.09.2019 - thank you in advance for your cooperation. Please note that is an "official" fixed deadline according to the IISHF Regulations.
On behalf of the IISHF Presidium Erik Sommer (President)
2
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The Anarchist Library (Mirror)
Anti-Copyright
Le CLODO The CLODO Speaks October 1983
www.processedworld.com Processed World, issue #10. –translated and introduced by
Maxine Holz usa.anarchistlibraries.net
The CLODO Speaks
Le CLODO
October 1983
Sporadic acts of sabotage against companies involved in nuclear plant construction began to take place in the region of Toulouse, France in mid-1979. This occurred at the height of vigorous, broad-based regional opposition to the construction of the GOLFECH nuclear power plant on the Garonne River. But the local anti-nuke movement reached an impasse in early 1981, when it became clear that GOLFECH would continue unabated. Despite, or because of this impasse, sabotage became more frequent and the targets more diverse.
In June, 1983, a stolen bust of Jean Jaures, famous socialist of the 1900s, appeared hanging by the neck from a tree in front of city hall. A "suicide note," signed by Jaures and "edited" by the "Association of Mischief Makers," denounced the current socialist government [of Francois Mitterand] for repressive, authoritarian policies. According to the note, Jaures regretted a life wasted on the futile path of advancing the social-democratic cause, which had come to such an ignominious end.
In the following months, several attacks on Catholic bookstores and religious statues (including the bust of Pontius Pilate near the famous religious shrine at Lourdes), signed by a "Stop the Priests" campaign, protested the visit of the Pope and the "Vatican Multinational Corporation." That same summer a number of companies and governmental offices that were directly or indirectly involved in the GOLFECH construction suffered serious damage by explosion or fire.
While different groups, often with humorous names ("A Heretofore Unknown Group") and punning acronyms, have claimed responsibility for these actions, the tone and content of their communiques reflect a common perspective. The "Committee for the Liquidation and Subversion of Computers," known by its French acronym CLODO (an untranslatable slang term which means something like "bum") has claimed responsibility for six actions over the past three years, most of them involving torching or otherwise destroying computer centers. The most recent action occurred in October 1983 when the offices of SPERRY–a U.S.-owned computer manufacturer–went up in flames. Nearby, graffiti read "Reagan attacks Grenada, SPERRY multinational is an accomplice."
Though CLODO's emphasis on computer technology reflects a specific area of expertise and interest, they are ideologically close to the other saboteurs of the region: they claim to work as an ad hoc grouping, associating around particular actions and interests, and eschew the notion of themselves as a formal organization. They have no rigid rules and principles and tolerate considerable diversity among individual participants; they distinguish themselves from traditional left groups by their rejection of a "vanguard" role, their explicitly anti- authoritarian playfulness and a sense of humor that they wield as an ideological weapon.
One French newspaper described the saboteurs as part of an "anarcho-libertarian" movement that is based in Toulouse. In another "interview" with a group that conducted simultaneous "fireworks" at two sites of nuclear-related production in August 1983, "Groucho" explains:
"People talk a lot about the silent majority and it gets a lot of press. But there is also a muzzled minority that can only
How do you situate your actions in the context of France and the rest of the world?
Computerization is world-wide. In the Third World, it helps to reinforce the ideological and economic domination of the West, especially the U.S., and to a lesser extent, of local power. We therefore consider that our struggle is global, even if that sounds exaggerated given the pin pricks we actually accomplish.
What are your projects for the future?
Little by little the theory of computerization that we have been developing for several years is getting fleshed out. On the whole, though, it remains unchanged since computers are still basically being used by the same people for the same things. So there is no reason not to continue in the same direction. With more imagination, and at our own pace, even if the result is less spectacular than our previous actions. The rapid pace of automation and the forthcoming explosion of telecommunications opens a wider field of action and revolt. We will try to fight in these areas, knowing that our efforts are partial. There's room for all rebels!
What are your chances of success? Aren't you afraid of getting caught?
Our chances are fine, thank you. We've got the motives and the ideas, and among the blind, the one-eyed are kings. For more than three years a security court of the State (may it rest in peace) and several dozen mercenaries have been looking for us: their material resources are sophisticated but pretty insufficient and our last action against the information center of the Haute Garonne municipality must have shown them we know more about them than they know about us! We are nonetheless conscious of the risks we run and the scope of the arsenal we are running up against. May our next interview not be with a police magistrate!
-Toulouse, August 1983
express itself through political and social rejection, because it rejects the sham of democracy. It doesn't demand the right to free speech, the right to justice, the rights of man–it takes these rights, or at least it tries to. This minority exists, be it organized or disorganized, atomized in the social fabric, revolutionary or deviant. In our practice, we affirm its specific character. We have no illusions about the propaganda of ideas, but we support everyone who can no longer stand injustices and contributes their little recipes to subvert a capitalized daily life."
French authorities denounce the saboteurs as deranged and inhuman, always pretending that it's only by chance that no one gets injured. In fact, the obvious caution demonstrated by this particular brand of sabotage (there have been no human casualties in the acts described here) is clearly distinct from the bombs in trains and other public places worldwide that continue to claim innocent lives in the name of this or that "liberation organization."
The following "interview" was sent to the French magazine, Terminal 19/84 and appeared in the October 1983 issue.
Why did you accept this interview?
We've always felt that acts speak for themselves, and we decided to write a communique only because a (presumed?) member of a so-called armed, and in any case ephemeral, organization tried to pass off our acts as something they aren't. In the face of the propaganda of Power, which is particularly stupefying when it is about computers, and to end some myths about us, we felt some explanations have become necessary.
Why do you do computer sabotage?
To challenge everyone, programmers and non-programmers, so that we can reflect a little more on this world we live in and which we create, and on the way computerization transforms this society.
The truth about computerization should be revealed from time to time. It should be said that a computer is just a bunch
of metal that severs only to do what one wants it to do, that in our world it's just one more tool, a particularly powerful one, that's at the service of the dominators.
We are essentially attacking what these tools lead to: files, surveillance by means of badges and cards, instrument of profit maximization for the bosses and of acclerated pauperization for those who are rejected…
The dominant ideology has clearly understood that, as a simple tool, the computer didn't serve its interests very well. So the computer became a parahuman entity (cf. the discussion on artificial intelligence), a demon or an angel–but capable of domestification (computer games and telecommunications were supposed to persuade us of this)–anything but a zealous servant of the system we live in. In this way, they hope to transform the values of the system into a system of values.
By our actions we have wanted to underline the material nature of the computer-tools on the one hand, and on the other, the destiny of domination which has been conferred on it. Finally, though what we do is primarily propaganda through action, we also know that the damage we cause leads to setbacks and and substantial delays.
Doesn't the spectacular, radical aspect of the destruction you cause seem a bit outrageous?
These actions are only the visible tip of the iceberg! We ourselves and others fight daily in a less ostensible way. With computers, like with the army, police or politics, in fact, like with all privileged instruments of power, errors are the rule, and working them out takes up the majority of programmers' time! We take advantage of this, which undoubtedly costs our employers more than the material damage we cause. We'll only say that the art consists of creating bugs that will only appear later on, little time-bombs.
To get back to your question–what could be more ordinary than throwing a match on a package of magnetic tapes? Anybody can do it! The act appears excessive only for those who don't know, or who don't want to know, what most computer systems are used for.
Then how do you explain the fact that others haven't done similar things?
To tell the truth, it's hard to explain. We are in a good position to know that most computer workers really participate with their "work tools" and rarely use their gray matter to reflect on what they do (they generally would rather not know about it!). As for those who don't work with computers, they are unconcerned or they passively accept the dominant propaganda. But that doesn't explain everything, and even those who do resist the soporifics of power are still scared of police uniforms!
Aren't you really a bit retro, like the machine breakers of the 19 th Century?
Faced with the tools of those in power, dominated people have always used sabotage or subversion. It's neither retrograde nor novel. Looking at the past, we see only slavery and dehumanization, unless we go back to certain so-called primitive societies. And though we may not all share the same "social project," we know that it's stupid to try and turn back the clock.
Computer tools are undoubtedly perverted at their very origin (the abuse of the quantitative and the reduction to the binary are proof of this) but they could be used for other ends than the ones they now serve. When we recognize that the most computerized sector is the army, and that 94% of civilian computer-time is used for management and accounting, we don't feel like the loom-breakers of the 19 th century (even though they fought against dehumanization in their jobs). Nor are we defenders of the computer-created unemployed… if microprocessors create unemployment, instead of reducing everyone's working-time, it's because we live in a brutal society, and this is by no means a reason to destroy microprocessors.
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The Celebration of the Eucharist:
Monday through Friday: 8:00 a.m. and 12:10 p.m.
Saturday: 8:00 a.m.; Vigil Mass at 4:00 p.m.
Sunday: 8:00 am, 10:00 a.m. (Family Mass), 12:00 pm (Adult Choir) and 7:30 pm (Contemporary Choir)
Sacrament of Baptism:
Baptisms are celebrated on the First and Third Sunday of the month at 2:00 p.m. Parents are asked to contact the Parish Office to make the necessary arrangements.
Sacrament of Reconciliation:
Confessions are heard in the church on Saturdays from 3:00 – 4:00 p.m. and during the week at the Parish House or by appointment with a priest
Sacrament of Marriage:
Couples planning to get married are asked to contact the Parish Office at least six months prior to their wedding date to begin their marriage preparation.
Sacrament of the Anointing of the Sick:
Parishioners, especially those who are entering the hospital, who wish to receive the Anointing of the Sick are asked to contact the Parish Office.
Exposition of the Blessed Sacrament:
Saturday from 3:00 – 3:45 p.m.
Novenas:
Our Lady of the Miraculous Medal: Monday after the 8:00 am and 12:10 pm Masses.
Our Lady of Perpetual Help: Wednesday after the 12:10 p.m. Mass
Parish House (Rectory):
239 East 21st Street, New York, NY 10010-6463
(between Second and Third Avenues)
Office Hours: Monday-Friday 9:00 am - 1:00 pm and 2:00 pm - 5:00 pm
The Parish Office is closed Saturday, Sunday, and Holidays
Telephone: 212-475-1966 Fax: 212-477-0537
Website: www.epiphanychurchny.org
E-mail: [email protected]
The Epiphany School:
234 East 22nd Street; New York, NY 10010-5601
Telephone: 212-473-4128
141 East 28th Street; New York, NY 10016-8138
Telephone: 212-725-7220
Website: www.theepiphanschool.org
Cardinal’s Annual Appeal – We’re Almost There!
Our current totals as this bulletin goes to press: 231 families and individuals have contributed $123,875 (of which $104,085 has been paid) which is 93% of our parish goal of $134,000. We have $10,125 to go in order to reach that goal.
We are extremely grateful to all those who have contributed thus far. Your great generosity is the reason we are only 9% away from reaching our goal.
We continue to reach out to those who have not yet made a gift to the Cardinal’s Appeal. No gift is too small and every gift is a helping hand to our needy sisters and brothers in Christ.
If you have not yet contributed to the Appeal, please consider doing so in the next few weeks. Contribution envelopes are available in the narthex. All you need to do is drop it in the basket on Sunday.
*We will have a final “in pew” Sunday next weekend, June 13th and 14th. This can very well put us over the top.*
Epiphany has a tradition of always reaching and even exceeding our goal. Let’s try and keep this wonderful tradition alive.
Thanks to Our Choirs
Today is the last Sunday that our Adult and Children’s Choirs will be singing at Mass until the Fall. We wish to thank them for their dedication, hard work, and love for their parish. The women, men, and children who make up our choirs have a love of music and for using their talents to help us raise our hearts and our voices in praise of God at the Family Mass and 12:00 Noon Mass. We are blessed to have such an excellent liturgical music program at our parish. The individual we are most grateful to is Mrs. Bogna McGarrigle, our organist and Director of Music. Her position here is not just a job, it is her vocation, that of a church musician. One of Mrs. McGarrigle’s great accomplishments this year was starting our Children’s Choir which was a tremendous success. We also are grateful to Miss Natalie Pavalek who is our cantor and the assistant director of the Children’s Choir.
Congratulations Class of 2015
We congratulate the young men and women of the Epiphany School who graduated this Saturday. May God go with them as they move on to high school in the Fall. We also extend our congratulations to all our parishioners who have recently graduated from high school, college, university, graduate school, medical school, law school and any other institute of higher education. We pray that God will bless their future endeavors with much happiness and success.
Archdiocesan Family Day
In celebration of our faith and family values, the Archdiocese of New York will be hosting the first Archdiocesan Family Day on Saturday, June 27, from 11:30 am to 5:30 pm at the San Silverio Shrine in Dover Plains, NY. This will be a fun filled event complete with food, games, and Mass celebrated by Bishop Peter Byrne with Cardinal Dolan as the homilist. Admission is $10 per person; children under 3 years old are free. Space is limited. To purchase tickets or for information go to archnyfamilyday.eventbrite.com.
Fortnight for Freedom
*Fortnight 2015: Freedom to Bear Witness* will take place from June 21 to July 4, 2015, a time when our liturgical calendar celebrates a series of great martyrs who remained faithful in the face of persecution by political power—St. Thomas Moore and St. John Fisher, Saint John the Baptist, Saints Peter and Paul, and the First Martyrs of the Church of Rome. The theme of this year’s Fortnight will focus on the “freedom to bear witness” to the truth of the Gospel. For additional information and resources please visit www.usccb.org/freedom.
**Announced Mass Intentions**
**Monday, June 8, 2015**
- 8:00 am Joseph McCarthy
- 12:10 pm Deborah Callahan (Tenth Anniversary)
**Tuesday, June 9, 2015**
- 8:00 am Vincent M. Guglielmo (42nd Anniversary)
- 12:10 pm Kathleen Maier
**Wednesday, June 10, 2015**
- 8:00 am Frank Golden
- 12:10 pm Vincent M. Guglielmo
**Thursday, June 11, 2015**
*St. Barnabas, Apostle*
- 8:00 am Sofronio Guerra
- 12:10 pm Rosario Ridon
**Friday, June 12, 2015**
*The Most Sacred Heart of Jesus*
- 8:00 am Special Intention to Saint Anthony
- 12:10 pm Leon and Helen Daiuta
**Saturday, June 13, 2015**
*St. Anthony of Padua, Priest and Doctor of the Church*
- 8:00 am Mary T. Walsh
---
**Relics of Saint Anthony**
The Franciscan Friars invite you to join them in welcoming the relic of Saint Anthony of Padua from his Basilica in Padua, Italy on the occasion of his Feast Day, June 13th. The relic will be at Our Lady of Victory Church at 60 William Street on Thursday, June 11th and at the Church of St., Francis of Assisi on Saturday, June 13th. For further information contact the Anthonian Association at 347-738-4306.
**Alleluia! Gala Concert**
You are invited to join Cardinal Dolan, Archbishop Blair, Bishop Caggiano, Bishop O’Connell and 600 performers from around the world for *Alleluia!*, a celebration of classical and newly composed Catholic music which will take place in Carnegie Hall on Monday, June 29, 2015 at 7:30 pm.
This concert will feature an unprecedented 400 voice International Festival Chorus composed of renowned choirs including the 150 voice National Children’s Chorus, along with over 200 hand bell players and a full symphony orchestra. The program includes the world premiere of the first orchestral setting of the revised English Order of the Mass.
*Alleluia!* Formally launches the Center for Music and Liturgy, a Yale University based initiative to support musical excellence in the worldwide Church through free online access to sheet music and musical instruction.
Do not miss this historical international musical collaboration. Tickets for *Alleluia!* at Carnegie Hall are available online at www.carnegiehall.org or by calling 212-247-7800.
---
**Stewardship**
The way we offer our thanks to God by sharing our time, talent, and treasure.
The collection for May 24, 2015 - $9,652.00
May 31, 2015 - $9,873.00
We encourage parishioners to make their contributions using ParishPay.
The Solemnity of Corpus Christi
Today’s feast is a “repeat” of what we just celebrated back in April on Holy Thursday. Jesus does something new and unimaginably significant: He gives himself—his very Body and Blood—to us as our heavenly food. This is the mystery we celebrate Holy Thursday and today. Today’s Gospel, however, gives us a different context and some different details that move us deeper into the mystery.
How confidently does Jesus send his disciples “into the city” to prepare for their celebration of Passover! How wondrously does God provide for the unfolding of salvation! The identifying sign for the man of the house where they would have this meal with Jesus is a jar of water. Our own identifying sign as disciples is the waters of baptism, marking us as belonging to Christ and his mystery. The room where Jesus would celebrate the Passover with his disciples is described as a guest room. Guest rooms are not where we are at home; they are transition rooms, temporary quarters, gifts of another’s generosity. We are always guests in God’s accommodations. We are to stay only temporarily, to move on from one place to another, from one person to another to witness God’s mighty deeds of salvation. God’s gifts to us are not so that we can settle in, stay put, become inert. God’s gifts always impel us to move on, to spread the Good News, to “pass over” into someone new.
Jesus wants to eat the Passover meal with his disciples. This annual festival celebrates the Jewish people “passing over” from lives of slavery and drudgery in Egypt to lives of freedom and abundance in the Promised Land. This meal portends another Passover—Jesus’ own passing over from suffering and death to risen life. Through our baptism we enter into Jesus’ mystery of dying and rising. And yet another passover: our passover from new self to old self, from the life of sin to the life of grace. Each Eucharist, each time we eat and drink the Body and Blood of Christ, we embrace anew our passing over to new life.
Each celebration of the Eucharist is a passover for us. It celebrates our plunging ever more deeply into the paschal mystery, into Jesus’ passing from death to risen life. It celebrates our embrace of the new identity baptism first bestows on us and Eucharist celebrates and nourishes: that we ourselves are members of the Body of Christ. As Jesus continually gives himself to us in the mystery of his Body and Blood, so does the Eucharist call us to the same self-giving. It is through this self-giving that we worship the living God.
Living Liturgy 2015
VILLA BERULIA RESTAURANT
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HELP PROTECT
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Connors & Sullivan
Attorneys At Law
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Home & Hospital Interviews Available
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7408 5TH Ave., Brooklyn, NY
718-238-6500
Peter Jarema Funeral Home, Inc.
“A Family Concern Serving All Communities”
Family Owned since 1906
Daniel Buzzetta, Owner
129 East 7th Street • New York, NY 10009
(212) 674-2568
[email protected] • Jaremafuneralhome.com
Italian Restaurant
Handmade Pasta
Open for Lunch Monday - Friday and Dinner starting at 5:30
Monday - Friday; 5pm Saturday; & 3pm Sunday
122 East 27th St (Between Park & Lex Aves)
212-481-7372 • iTrulli.com
PROTECTING SENIORS
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For Advertising Information, call PAUL KERWICK at LPi today!
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PROTECTING SENIORS
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THIS SPACE IS AVAILABLE
Wills, Trusts, Guardianships
Probate of Estates
Medicaid Planning
Richard Bryan Attorney, P.C.
237 1st Ave., Suite 201 (14th St.)
212-979-2868
OVER TWENTY YEARS OF TRUSTED
HOMECARE NURSING SERVICE IN YOUR AREA
N.P. AGENCY PROVIDES A COURTEOUS and EXPERIENCED STAFF OF
Registered Nurses
Home Health Aides • Personal Care Aides
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(24 hour, 7 days a week )
LONG TERM INSURANCE CLAIMS PROCESSED
BACKGROUND AND HEALTH SCREENING ALL STAFF
Licensed by New York State Dept of Health
CALL US AT: 212 838 8083
visit our webpage @ www.npagencyonline.com
353 East 58th Street, NY, NY 10022
Kay Brooks RN
Karen Ferguson RN, Visiting Nurse
Integrated HVAC
MIKE BEYER, CSBA
President
52 Columbia Street, Islip, NY 11751
Office 631-859-8800 • Cell 631-484-8276
Fax 631-859-8806
email: [email protected]
Environment • Economy • Equity
Where Children Learn and Grow
Celebrating 10 Years.
Newly renovated classrooms and outdoor play space.
Drop off programs for Twos, Threes, and Pre-K and classes from five months to five years.
128 East 38th St., NYC, 10016
212-779-3434
www.weeonesclub.com
The Gannon Funeral Home Inc.
(212) 532-6579
Wm. P. Gannon, Owner
152 East 28th Street, New York, New York 10016
“Serving Epiphany Parish Members Since 1924”
www.gannonfuneralhome.com
BUY-RITE DISCOUNT
INDIVIDUALLY OWNED
THOMAS J. McADAM LIQUOR CO.
BOB FINK
NY STATE RETAIL SHOP LIC.802
398 Third Avenue (Between 28th & 29th Streets)
MOLLY’S pub RESTAURANT shebeen
287 Third Avenue
New York, NY 10010
Phone: (212) 889-3361
Fax: (212) 545-9464
Peter O’Connell
Jody O’Connell
www.mollysshebeen.com
The Bluebell Café
293 Third Avenue
New York, NY 10010
Phone: (646) 649-2389
Fax: (646) 649-2427
Email: [email protected]
Manager: Sheila McDonagh
www.thebluebellcafenyc.com
find out how far your heart can reach
Millions of people overseas depend on you.
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Pushcart Coffee
(646) 476-8416
• Implementing Today’s Newest Technology
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CHRIS FALCO
Phone: 718.358.5720
Cell: 917.251.0111
Email: [email protected]
www.meganelectric.com
Roark Management Inc.
Computer Technical Support for Residential and Small Business
Competitive Rates • Reliable Service • Experienced
FULLY INSURED • SERVING THE COMMUNITY FOR 15 YEARS
57 W. 38th St., Suite 602, New York, NY 10018
(212) 682-3555 www.roarkinc.com
Our Good Reputation In The Community Comes from one thing only - Service
475-2024 353 Second Avenue @ 20th Street
Andrett Funeral Home is a Service Corporation - International
1929 Allen Parkway, Houston, TX 77019 • 713-525-5141
Real Estate With Results
Karen Fox
Licensed as Karen Anne Fox.
Licensed RE Salesperson
(o) 917.662.6394
[email protected]
Please join us before or after any GARDEN event or when you travel through PENN STATION
TRACKS Raw Bar & Grill
PENN STATION L.I.R.R. LEVEL
212.244.6350
www.tracksbargrill.com
“The Best New Raw Bar in the City” – Daily News
“The Clam Chowder is Excellent” – Newsday
“Best Pint of Guinness West of Dublin!” – AM New York
BRUCE CAULFIELD: Proprietor and Parishioner
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+-----------------------------------+
+-----------------------------------+
¦ INFORMATIONAL LETTER ¦ TRANSMITTAL:
¦ INFORMATIONAL LETTER ¦ TRANSMITTAL: 94 INF-19 +-----------------------------------+ +-----------------------------------+
DIVISION:
DIVISION: Economic
TO: Commissioners of TO: Commissioners of Security Social Services Social Services
DATE:
DATE: April 26, 1994
SUBJECT: SUBJECT: Charging of Local Share for Operating Costs of the Central Collection and Disbursement of Support Payments
SUGGESTED
SUGGESTED
DISTRIBUTION: DISTRIBUTION: CSEU Supervisors SCU Supervisors Directors of Administrative Services Accounting Supervisors Staff Development Coordinators
CONTACT PERSON: CONTACT PERSON: Kevin Boyle, Office of Child Support Enforcement (1)-800-342-3012, ext. 4-9082
ATTACHMENTS: ATTACHMENTS: None
FILING REFERENCES
FILING REFERENCES
---------------------------------------------------------------------------
---------------------------------------------------------------------------
Date April 26, 1994
I. Purpose
The purpose of this Informational Letter is to inform the local districts of the methods used in calculating the local share of expenditures for Central Collection and Disbursement of Support Payments.
II. Background
Chapter 502, Laws of 1990: (1) required the Department to perform collection and disbursement functions on behalf of local district support collection units, (2) authorized the Department to contract those functions through a fiscal agent, and (3) required that the local share of expenditures incurred by the Department for provision of centralized collection and disbursement services pursuant to section 111-h of Social Services Law, be charged back to social services districts.
The Department entered into an agreement with a fiscal agent to perform collection and disbursement functions on behalf of each of the fifty-eight local districts. The agreement covers the period January 1, 1993 through December 31, 1995.
Implementation of central collection and disbursement functions began with two local districts on March 29, 1993 and nine more local districts were added on June 1, 1993. The remaining local districts will be converted to centralized collection and disbursement processing during the period June 1, 1994 through March 1, 1995.
The Department's agreement with the fiscal agent also includes additional services beyond collection and disbursement functions. Those services are: (1) generating and mailing respondent billing statements, employer reminders and various notices, and (2) establishing and maintaining a Voice Response System. Although the collection and disbursement services were tested first for eleven local districts, the above services were made available on March 29, 1993 for all fifty-eight local districts.
III. Fiscal Implications
Local districts will be charged their share, currently 17%, of the operating costs of the Central Collection and Disbursement of Support Payment functions on a quarterly basis through the normal settlement process. The eleven pilot local districts will be charged their respective local share of central collection and disbursement operating costs commencing with the costs incurred during the January through March, 1994 quarter.
The remaining local districts will be charged their respective local share of central collection and disbursement operating costs commencing ninety days after their conversion to centralized processing.
All fifty-eight local districts will be charged their respective local share of operating costs associated with generating and mailing billing statements and notices as well as those costs associated with maintaining the voice response system commencing with the costs incurred during the April through June, 1993 quarter.
The types of operating costs and the methodology used for calculating the local share of those costs are as follows:
A. Central Collection and Disbursement Functions
1. Payment Processing - the costs associated with this function include:
a. Fixed price contract costs covering receipt of mail, mail opening and sorting, payment identification, creation of payment file, transmission of payment file to the Department, deposit of payments into local district bank account and all the ancillary functions required to maintain security and control over the entire process.
Each local district's share of those costs will be determined by: (1) summing the number of payments processed for each local district for the quarter, (2) dividing each local district's total payments processed by the grand total of payments processed for all local districts for the quarter, (3) summing the payment processing fixed priced contract costs for the quarter, and (4) multiplying the percentage derived for each local district as calculated in item #(2) times the total costs determined in item #(3). The result of item #(4) will be each local district's share of payment processing fixed costs.
b. Reimbursable contract costs covering: postage for mailing correspondence, suspense account documentation, respondent payment envelopes, etc. to local districts.
Each local district's share of those costs will be based on actual cost of postage.
2. Disbursement Processing - the costs associated with this function include:
a. Fixed price contract costs covering receipt of disbursement file, generating, signing, stuffing and mailing checks and all ancillary functions required to maintain security and control over the entire process.
Each local district's share of those costs will be determined by: (1) summing the number of checks issued for each local district for the quarter, (2) dividing each local district's total checks issued by the grand total of checks issued for all local districts for the quarter, (3) summing the checks issued fixed priced contract costs for the quarter, and (4) multiplying the percentage derived for each local district as calculated in item #(2) times the total costs determined in item #(3). The result of item #(4) will be each local district's share of disbursement processing fixed costs.
b. Reimbursable contract costs covering: postage for mailing checks to clients and envelopes in which checks are mailed to clients.
Each local district's share of those costs will be based on actual cost of postage and envelopes.
B. Respondent Billing Statement, Employer Reminder, Notices, and Voice Response Functions
1. Respondent Billing Statement and Employer Reminder Processing - the costs associated with this function include:
a. Fixed price contract costs covering the redesign of respondent billing statements, generation and mailing of monthly respondent billing statements, generation and mailing of weekly respondent billing statements for new cases entered on CSMS, initial design of employer reminders, generation and mailing of monthly employer reminders, creation of employer reminder file, updating employer reminder file, producing and mailing billing statement roster to local districts and all the ancillary functions required to maintain security and control over the entire process.
Trans. No. 94 INF-19 Page No. 5
Each local district's share of those costs will be determined by: (1) summing the number of statements and reminders mailed for each local district for the quarter, (2) dividing each local district's total statements and reminders mailed by the grand total of statements and reminders mailed for all local districts for the quarter, (3) summing the billing statement processing fixed priced contract costs for the quarter, and (4) multiplying the percentage derived for each local district as calculated in item #(2) times the total costs determined in item #(3). The result of item #(4) will be each local district's share of billing statement processing fixed costs.
b. Reimbursable contract costs covering: postage for mailing respondent billing statements and employer reminders , paper stock and printing supplies used to produce respondent statements and employer reminders, envelopes used in the mailing of respondent statements and employer reminders, and microfiche or hard copy of billing statement rosters.
Each local district share of those costs for postage, paper stock, and envelopes will be based on actual cost incurred.
Each local district share of those costs for printing supplies will be determined by: (1) summing the number of statements and reminders mailed for each local district for the quarter, (2) dividing each local district's total statements and reminders mailed by the grand total of statements and reminders mailed for all local districts for the quarter, (3) summing the actual costs for printing supplies for the quarter, and (4) multiplying the percentage derived for each local district as calculated in item #(2) times the total costs determined in item #(3). The result of item #(4) will be each local district's share of respondent billing statement and employer reminders processing reimbursable costs for printing supplies.
2. Notice Processing - the cost associated with this function include:
a. Fixed price contract costs covering generation and mailing of notices, e.g., initial change of address notices, to respondents and employers for submission of payments quarterly notice of support, etc. and all the ancillary functions required to maintain security and control over the entire process.
Each local district's share of those costs will be determined by: (1) summing the number of notices mailed for each local district for the quarter, (2) dividing each local district's total notices mailed by the grand total of notices mailed for all local districts for the quarter, (3) summing the notice processing fixed priced contract costs for the quarter, and (4) multiplying the percentage derived for each local district as calculated in item #(2) times the total costs determined in item #(3). The result of item #(4) will be each local district's share of notice processing fixed costs.
b. Reimbursable contract costs covering: postage for mailing notices, paper stock and printing supplies used to produce notices, envelopes used to mail notices to respondents.
Each local district's share of those costs for printing supplies will be determined by: (1) summing the number of notices mailed for each local district for the quarter, (2) dividing each local district's total notices mailed by the grand total of notices mailed for all local districts for the quarter, (3) summing the actual printing supplies costs for the quarter, and (4) multiplying the percentage derived for each local district as calculated in item #(2) times the total costs determined in item #(3). The result of item #(4) will be each local district's share of notice processing reimbursable printing supplies costs.
Trans. No. 94 INF-19 Page No. 7
3. Voice Response System - the costs associated with this system include:
a. Fixed price contract costs covering installation of voice response system, updating of voice response system daily, addition or enhancement of messages as needed, statistical reporting, and all the ancillary functions required to maintain security and control over the entire process.
Each local district's share of those costs will be determined by: (1) summing the number of ADC and NonADC cases for each local district on the last day of the quarter, (2) dividing each local district's total cases by the grand total of cases for all local districts for the quarter, (3) summing the voice response system fixed price contract costs for the quarter, and (4) multiplying the percentage derived for each local district as calculated in item #(2) times the total costs determined in item #(3). The result of item #(4) will be each local district's share of voice response system fixed costs.
b. Reimbursable contract costs covering: installation of lines, and monthly line and usage charges.
Each local district's share of those costs for voice response charges will be determined by: (1) summing the number of ADC and Non-ADC cases for each local district on the last day of the quarter, (2) dividing each local district's total cases by the grand total of cases for all local districts for the quarter, (3) summing the contract costs for the quarter, and (4) multiplying the percentage derived for each local district as calculated in item #(2) times the total costs determined in item #(3). The result of item #(4) will be each local district's share of voice response reimbursable line and usage costs.
Note: All costs associated with reimbursable expenses are reviewed to ensure that all contract requirements are met regarding reasonable evidence that the best possible vendor has been obtained, price and all other factors required.
There is no direct action required by the local districts concerning the chargeback of the local share. The costs for each county will be computed by the New York State Department of Social Services and deducted quarterly through the standard settlement process. Local district Financial Officers should be notified of the settlement adjustment for charging of the local share for operating costs of Central Collection and Disbursement of Support Payments.
______________________________
Oscar R. Best, Jr. Deputy Commissioner Division of Economic Security
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CutBank
Volume 1 Issue 43 CutBank 43
Winter 1995
April
Francesca M. Abbate
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Let us know how access to this document benefits you.
Recommended Citation
Abbate, Francesca M. (1995) "April," CutBank: Vol. 1 : Iss. 43 , Article 10. Available at: https://scholarworks.umt.edu/cutbank/vol1/iss43/10
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Article 10
Francesca M. Abbate
April
April. I lie on my back and watch the girls on the red bicycles with the red and white baskets pedal by, their wheels casting small lights in the grass. Is it noon yet? There are a few kites floating at the horizon between the stone church and the clock tower. The bench under the tree is still cold. If I squint, I can see past the yellow hills to the blue wall. I put my hands around my knees and squeeze until my fingertips meet. Is the house with the pink porch swing something I've taught myself or something I learned? I don't know how those girls do it. There's glass in the air if you go high enough. It gets hard to breathe. I say the names of cities to myself while I watch. In San Francisco the buildings have wrought iron doors and some of the streets aren't paved. There are orange trees in the gardens. My second wish? Only to go on wanting. Yesterday a boy in a red hat climbed
CutBank 44
the brick wall and laughed at me because I can't talk. Is the sun always flashing? I have one wish left. I roll over on my belly and pick flecks of grass from my fingernails. Everything has a green cast.
CutBank 45
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TRANSCRIPT
SELECT COMMITTEE ON VICTORIA'S RECREATIONAL NATIVE BIRD HUNTING ARRANGEMENTS
Inquiry into Victoria's Recreational Native Bird Hunting Arrangements
Melbourne – Thursday 29 June 2023
MEMBERS
Ryan Batchelor – Chair
Bev McArthur
Michael Galea – Deputy Chair
Evan Mulholland
Melina Bath
Georgie Purcell
Jeff Bourman
Sheena Watt
Katherine Copsey
WITNESSES
Mr Gary Murray, Victorian Traditional Owner Land Justice Group, and
Mr Paul Haw.
The CHAIR: Welcome. I will just read out our standard statement that we read out at the start of every evidence hearing. All evidence taken is protected by parliamentary privilege as provided by the Constitution Act 1975 and the provisions of the Legislative Council standing orders. Therefore the information you provide during the hearing is protected by law. You are protected against any action for what you say during this hearing, but if you go elsewhere and repeat the same things, those comments may not be protected by this privilege. Any deliberately false evidence or misleading of the committee may be considered a contempt of Parliament.
All evidence is being recorded, and you will be provided with a proof version of the transcript following the hearing. Transcripts will ultimately be made public and posted on the committee's website.
For the Hansard record, can you each please state your name and any organisation that you are appearing on behalf of.
Paul HAW: My name is Paul Robert Haw and I am from Boort, and I am mainly reporting because I own a museum on the edge of Lake Boort.
Gary MURRAY: My name is Wyrkermilloo, which is 'Messenger from the Murray River', That is from my father, a Wamba Wamba man. My Scottish name is Gary John Murray. I am representing the Victorian Traditional Owner Land Justice Group and also the various nations and clans from the alps down to Swan Hill and across to the Mallee. I have something to say from those groups as well.
The CHAIR: Fantastic. I will now invite you to make an opening statement. You can figure out how you want to do that amongst yourselves – about 5 or so minutes – and then the committee will introduce themselves and start asking you some questions.
Paul HAW: Is it 5 minutes each, or between us?
The CHAIR: You can go a bit over if you want, but 5 minutes between you would be my preference. But we will let you know. See how you go.
Paul HAW: Righto. As I said, my name is Paul Haw, and I will be fairly quick. I have lived in the Boort area since 1946, and the only time I had away was two years in Vietnam when I was on national service and almost lost my life in Vietnam. I was a keen shooter until recent years, and that completely ended after the Box Flat massacre, when 2000 birds floated ashore. You have got to realise a lot of duck shooters, when they shoot their five birds, just want to keep on shooting. They do not pick them up. That was the end of duck shooting for me. We know there were three other massacres around Boort; they just were not reported. And another thing: I cannot name one environmental work that Field and Game and those people have done around Boort. There is a lot of wetlands around Boort, and I cannot name one thing they have done.
I run the Aboriginal keeping place on the east side of Lake Boort – and I think you have got that photo; it is just to prove that I run the keeping place. Last week I had 100 visitors. The week before I had 200. I am mainly looking after schoolchildren, but while shooting was on I could not have one schoolchild. My participation dropped to probably 10 a week, where it has been up to 200 a week, just because of duck shooting.
There are just some of the tours – I will flick them through quickly – of the groups that I have done this week, and the beautiful scarred trees and the dried possum skins, all in Lake Boort. And this is what the tourists have to face while I am doing tours around the wetlands now. It is all the leftovers from duck shooting, and it is just disgraceful. Some people are so upset, especially schoolchildren, when they see pictures like that.
Then the next thing that really upsets me is when they camp on the Aboriginal cooking mounds. I cannot work out why duck shooters do not go through a cultural course to know what a cooking mound is and a scarred tree. I have got two cooking mounds on one of the wetlands around Boort where they camp and dig holes in. It is
just an absolute disgrace, and they should be marked and identified. Boort has the most scarred trees in the world made with stone tools, and here we are – we lose so many to duck shooting and chainsaws. I think I have got another photo of some beautiful scarred trees. This one here is a drinking vessel. We probably will lose that one in the next duck opening, which is sad. They should be identified and protected.
The firewood – it actually goes out in tons and tons now, out of especially Yando Swamp and Lake Leaghur, because they have got lots of black box trees.
I will not talk so much about the duck side of it. I am an environmentalist because I saw so much damage done in Vietnam, and I realised, a bit like the frog in the water in Boort, that I just see so much damage done by duck shooters. At the moment I have got a school project planting trees back on the wetlands where they used to be. That is all I am going to say for now.
The CHAIR
: Thank you.
Gary MURRAY: Right, my turn. My nations are the Dhudhuroa in the alps, the Waywurru in the north-east of Victoria, the Yorta Yorta, the Baraparapa, the Wamba, the Dja Dja Wurrung, the Werkgaia and the Wiradjeri in central New South Wales. My blood connection is through my Aboriginal mother and father – John Stewart Murray JP OAM and my mother was a Nicholls, pastor Sir Doug Nicholls's daughter. We had connections through the Nicholls to where Paul is currently managing the keeping place, and just dwelling on that particular place, it is a sacred cultural place. We take this place seriously, and what we do not like is our cultural heritage being destroyed. We have seen evidence of one tree; there are over a thousand scarred trees or culturally modified trees around that lake, Big Lake Boort.
We are trying to showcase our cultural heritage to schools and universities, public servants and parliamentarians and all that. How can we do that during the duck season when there are guns out there? Why would we take 60 kids and 20 leaders camping at that lake near Paul's keeping place when in the morning you are going to hear shotguns going off and all sorts of other weapons. We do not know what weapons people carry these days out there. There are guns in all these waterways across this state. There are 38 nations across this state, 300 clans. Have they all been asked to support duck shooting? No, they have not. Not one group that I am in has been consulted or negotiated with or has given consent to duck shooting on our country – and nor would we. Everybody I talk to says no.
There is only one support group and that it is unfortunately in Dja Dja Wurrung, which I am a part of. We have a person who is pretty active with hunting and the rest of it, and that is Rodney Carter. The support for Carter's position is minimal. He has never had a native title claim group meeting of all 13 family groups or all 18 clans – never. He never got authorised to form a position of support for this cruel sport – cruel. Would you shoot a duck in front of your grandkids or your children? I doubt it. It might be emotive, but that is the cruel part.
Then you have got the cultural heritage being destroyed by people coming up from Melbourne. They get away for the weekend and have a good time. We all know they go to the pub and bring grog back on the bush and all that. Then they get cold and they will cut up a tree – and they do not know what they are doing. They could cut up a scarred tree not knowing that that tree is protected, and you could go to jail or you could get a milliondollar fine, a penalty, under the Victorian Aboriginal Heritage Act. That is what they are staring down the barrel at – that we start prosecuting them. It is our view that duck shooting is one of those archaic, cruel activities that should go – forever. It has already gone in a lot of the other states. Victoria is lagging behind on it. Our focus is cultural heritage as well as the fact that it is cruel. We believe that if the state is not going to intervene and finally make a decision to get rid of it, then we will get the Commonwealth to intervene on the basis that this state is enabling the desecration and the threats of injury to our cultural heritage. That is a fact.
In fact yesterday I wrote to the Commonwealth minister Tanya Plibersek requesting that she consider what they call a section 12 heritage protection application from the Yung Balug Clan, because we are concerned that next year, when we are running programs for the kids on Big Lake Boort, that during March and June we are going to have duck shooting back here again. We want the Commonwealth to issue a permanent declaration on that big lake to protect the scarred trees and the burial grounds – our ancestors' remains are in that lake and around it. We know that; the sites are registered under the state regime. Why do we have to do that? We have to go to the Commonwealth to get a real decision about what is going on. I understand what the committee is doing –
that you are building up a case for or against it, and that is okay. But I think there are bigger issues than just duck hunting. It is also about cultural protection, preservation and the showcasing of our cultural heritage to the world. We cannot do that if we have got duck shooting on one of the most sacred and culturally significant places in Victoria, if not Australia. It is the biggest scarred tree place in Australia. We are going to be seeking state heritage listing, national heritage listing and world heritage listing over the coming months. They are opening my remarks. Any questions?
The CHAIR: Thank you very much. I might get the committee members to introduce themselves, and then we will take it in turns asking some questions. I cannot remember where I am up to, but I will start down there.
Evan MULHOLLAND: Evan Mulholland, Northern Metropolitan Region.
Bev McARTHUR: Bev McArthur, Western Victoria Region.
Jeff BOURMAN: Jeff Bourman, Eastern Victoria Region.
Sheena WATT: Sheena Watt, Northern Metropolitan.
Georgie PURCELL: Georgie Purcell, Northern Victoria.
Katherine COPSEY: Katherine Copsey, Southern Metropolitan Region.
The CHAIR: I am Ryan Batchelor from the Southern Metropolitan Region and Chair of the inquiry. I will start. The letter you wrote to Minister Plibersek about heritage protections under Commonwealth law, would you be willing to share a copy of that with the committee?
Gary MURRAY: Just briefly, we have done a similar thing at Lake Tyrrell, or Direl – we call it Direl. We did the two years ago. That process has come to a point where the Commonwealth minister has appointed a reporter, usually a law firm. That reporter has now started, and they have to engage with all parties, including those that have got stakes in Lake Tyrrell. That reporter will provide a report to the minister about a permanent declaration on Lake Tyrrell because of the tangible and intangible cultural heritage that we have there. It is linked to the astronomy, the water and our people, the Woiwurrung people. That stuff is protected under your state legislation. But we have had the Mallee Rally on it for 47 years, and it got stopped two years ago. There is a development going on there. The process has now stopped all that while the reporter is doing their work consulting with people. The same thing is going to happen with Big Lake Boort. That is what will happen because it is so culturally significant. The Commonwealth will view it as such, and they will have to go through a similar process as occurred at Direl, or Lake Tyrrell. So to answer your question in a long way, I am quite happy to give it to the world.
The CHAIR: I think we would really value –
Gary MURRAY: Open and transparent. In fact you can have this one now, if you want.
The CHAIR: a copy of that letter, if you could provide it to the secretariat. We heard evidence earlier from Mr Carter in fact about a range of matters, including his views on the traditional owner game management strategy. Do you have any views on that strategy or that process that led to the development of that strategy?
Gary MURRAY: I would not waste my time even reading it, because I know that it is not built on proper cultural authority from the Dja Dja Wurrung people. There has been no native title claim group meeting, which is all of us, about 3000 descendants. We have not had a big meeting like that to authorise it, and that is the way it is supposed to work, the process. Then you have the corporate part. The corporation seems to be running as a bit of a lone wolf against the membership and the claim group. They are making decisions and they are creating these strategies and these policies and all that sort of stuff. They are going all right in terms of corporation stuff, but when they come to these sorts of issues they are not talking to us. They have not come to the Yung Balug Clan at Boort, and we are one of the most well-organised clans in Dja Dja Wurrung. We are the Nicholls clan, right, the Pastor Sir Doug Nicholls mob. We are organised, we are articulate and we are politically active. Three of us are on the First Peoples' Assembly, so we are politicians just like you guys – up to a point. So this strategy that has come out of Dja Dja Wurrung, I do not believe that it has got authority. I do not believe that our people are really supporting it, and I just do not know what he is on about – fair dinkum. It will come up at the AGM too in November.
52
The CHAIR: Mr Haw.
Paul HAW: I must mention, because I have a lot of Aboriginal people who come to my museum to learn about their culture, that I have not yet found anyone who is really interested in duck shooting. They are more passionate about the environment and things like that. Last week I had a group from Coleambally and the week before from Swan Hill and another group from Mildura, and none of them were really interested in duck shooting.
The CHAIR: Mr Haw, you showed us some examples of tours and the like that you do around the lake. Do you conduct those tours during the season?
Paul HAW: No. I cannot conduct them in season because my place is only 20 metres from the edge of the lake. By law I can get fined even for being that close. What shocked me is that the Dja Dja Wurrung themselves are not allowed in the water while duck shooting is on, and it is to do with native title. I just find that hard to believe – that duck shooters have got more rights than native title.
Gary MURRAY: Duck shooting in that period of March to June, when you look at it from a political and legal position, is actually a restraint on trade and a breach of consumer affairs rules, because we cannot trade. We cannot do the programs, and we charge the schools a fee for service to run a cultural education program. We cannot run it while those guns are out there. No school will come near us.
The CHAIR: So do you think you would have demand from more groups to come during that time?
Paul HAW: Not last week but the week before I had 150 students from MacKillop College in Swan Hill, and I took them for a tour because it was after duck opening. We were seeing all of these beautiful scarred trees – and the shire mowed a track for me – and I thought, 'I can't do this during duck opening.' It depends how long duck shooting is, but it absolutely restricts my tours, especially educating schoolchildren on Aboriginal culture, both white and Aboriginal traditional owners.
The CHAIR: I am interested to know – with this Commonwealth process you want to go through on heritage protections, obviously it is a new concept in evidence today. Based on your prior experience, how long do you expect that to go?
Gary MURRAY: Well, it is my experience, right?
The CHAIR: Yes.
Gary MURRAY: The first one I ever got involved with was the Murray Downs Golf and Country Club, east of Swan Hill. They basically got on a big sand dune and developed a country club, two 18-hole golf courses, a motel, a housing subdivision and the rest of it. In that process, in the first six months of that development, they destroyed 17 of our ancestors' graves across six specific sites, including a real special burial that was there. That issue dragged on in the Federal Court from virtually 1989 to 1991. It went for about three years, and that is about standard.
The CHAIR: All right. Mrs McArthur.
Bev McARTHUR: Thank you, Chair. Thank you, gentlemen. Do you think the Voice, if it is carried, would solve all of your issues?
Gary MURRAY: Ah, the Voice, yes.
The CHAIR: I am not sure it is relevant to the committee, Mrs McArthur.
Gary MURRAY: Well, Victoria is a real lucky state, because you have got the basis for making the Voice better. The Voice is about constitutional reform specifically, but we have already got the powers to do what they want to do there. It is in section 51. There are two clauses there that allow the Commonwealth and the Parliament to create an organisation, like it did with ATSIC and the Aboriginal Development Commission before that, and even the Indigenous Land Corporation was set up under legislation. So it is a bit of a furphy, but we will take it if it happens. The main game is the national body that gets set up. It has to be grassroots; it has to be localised and regionalised. Statewide stuff – we have already got a statewide body, the assembly. It
still needs improving, and we understand that. That is why we ended up getting on it, to fix it up from the first three years. So we have got a state concept; how that feeds into a national entity is what is important. It is our belief that ATSIC was not that bad, outside of a few individuals that mucked up. But ATSIC was sort of grassroots, it was regionalised and it was on the right path. So we need to go to ATSIC number two, and it needs to be better than what it was before.
Bev McARTHUR: Thank you. We have heard before that the Indigenous population support hunting, and hunting with guns. Do you disapprove of all hunting with guns?
Gary MURRAY: I just do not like guns. I think, you know, go off the American experience. We are not there yet, but there are a lot of guns at the moment out there in Australia. We all know what is going on with the crime that is being committed with the use of guns and that, and I think we have got to do better than that. I think if you want a duck, go to the Vic market and pay 30 bucks. Or, if we are going to take a softer line, get under the water with a straw and catch it, like we used to do.
Bev McARTHUR: Yes. So we were led to believe that hunting is a very cultural activity that is vitally important to your communities, and that currently your communities do use guns to shoot duck for their food.
Gary MURRAY: Well, I generally would not agree with you. But I would say this: we have been dispossessed, dispersed like the four winds, deculturalised. Our languages have been taken away from us, our country, our water, all the stuff that we value as occupiers of a particular country, and we have got to address that. There are some things you will pick up from traditional customs; there are other things you will not. Guns are not one of them.
Bev McARTHUR: You have showed us evidence of scar trees being decimated. Do you have actual evidence that it was duck shooters that did it?
Paul HAW: Well, it is funny how it happens during duck season. I go to the wetlands often because I am a great environmentalist, and I know most of these scar trees off by heart. It is just so saddening. I remember going to Lake Yando and looking for this scar tree that had just totally gone.
Bev McARTHUR: But you actually do not have any actual evidence of who has sawed them up?
Paul HAW: You cannot. It is pretty hard to prove it, because sometimes we are not even allowed there on the morning and that. But the sawdust in some areas is unbelievable, because they all bring chainsaws now. And I must mention, in Lake Boort alone there are between 60 and 70 cooking mounds, and some have been tested just recently to be 10,000 years old.
Bev McARTHUR: But you actually have no hard evidence as to who chopped up the trees.
Paul HAW: You cannot. Just –
Bev McARTHUR: No. Okay.
Paul HAW: But the saddest thing is they are disappearing.
Bev McARTHUR: But you have made the accusation that duck shooters actually were the destructors of the trees, but we do not have any evidence.
Paul HAW: Well, there is hardly anyone at some of these wetlands. There is no-one else there while the duck shooting is on, so it is pretty obvious.
Bev McARTHUR: Is it only in your area that you think duck shooting should be banned – in your particular area – or should it be banned everywhere?
Gary MURRAY: I think it should be banned everywhere. I think that you will not get much support from the 38 First Nations across this state once this issue is analysed properly and we discuss it. There is no way the majority of First Nations will support it – particularly when you can go to the supermarket because you are on a pension. You can ring up Coles and get it online, delivered to your front door.
Bev McARTHUR: But is that actually how your traditional communities want to buy food, calling for it or online from Coles supermarket?
Gary MURRAY: Well, I do. I have been doing it for four years. It is the most convenient way to do it; it lands right at my doorstep.
Bev McARTHUR: You appear to have discredited Mr Carter's position. Do you think he does not have the authority to speak on behalf of the Dja Dja Wurrung group?
Gary MURRAY: We have 13 family groups across 18 clans. He has not got a minority of that to support what he is saying. I will put that on the record. We are supposed to be notified about meetings about particular issues. We get notices all the time about stuff, but never, since 97 when we first started the Dja Dja Wurrung group, have we ever got a notice about 'Let's discuss duck shooting' – never.
Bev McARTHUR: Do you also recognise the Federation of Victorian Traditional Owner Corporations?
Gary MURRAY: No. The Federation of Victorian Traditional Owner Corporations came out of the land justice group in 2013. That was when people associated with the native title RAP body had done their dash with the land justice group and decided to move on, and because they controlled the money from the department of justice – $40,000 for meetings – they took the money with them and they left the land justice group floundering. The federation got set up without us even knowing, right? And who are they? Five or six RAPs out of 11, but not out of 38 nations. There are no 38 nations on that board. It is basically the Dja Dja Wurrung group, the Eastern Maar group, the Gunnai/Kurnai group, the Taungurung group and the Bunurong group. They are the only ones that are on the board doing the stuff, and they are being looked after really well – against the interests and to the detriment of the rest of the nations that are not recognised as a RAP or a traditional owner corporation under the native title legislation and the rest of it.
Bev McARTHUR: I actually have heard that before.
The CHAIR: Ms Copsey.
Katherine COPSEY: Thank you, Chair, and thank you very much for your submissions and for being here to share your perspective and insights in this hearing today. The committee has been told by a number of witnesses that shooters or, as they usually describe themselves, hunters are the greatest conservationists out there. I am interested in your reflections on that statement.
Gary MURRAY: I bet you the ducks do not agree with that – the greatest conservationists.
Paul HAW: As I said before, there are numerous wetlands around Boort. The only thing I ever hear is destruction. I cannot name one project in the last 20 years – what they have done around the wetlands in Boort. I have to go and do it myself out of my own pocket. At the moment I am growing 4000 trees to plant back in Lake Boort, and I have to call upon schoolchildren to plant them. There is just nothing they do around Boort.
Gary MURRAY: No, no.
Katherine COPSEY: Thank you. This probably seems a bit minor in the scheme of things, but we are often told that shooters are going and filling up the esky and contributing to the local economy. I am interested, with the groups that come to visit the museum and other attractions that are around, do you know if they generally stop for a pie and a Fanta when they are coming to visit your museum and so on?
Paul HAW: Well, in Boort it does not play much on our economy at all – probably an odd coffee and a bit of petrol, and that is basically it. I even noticed while duck shooting was on that I had these protesters call in – I do not know how they found out about me – and some left amazing donations of $100 just to see and learn about Aboriginal culture. I never had one duck shooter call in and see me, which I would have loved.
Katherine COPSEY: Thank you.
Gary MURRAY: You very rarely see them in the main street shopping. Maybe they get Coles delivery, eh? Maybe that is what it is, I do not know. I missed something. Their input into the economy of communities, and
traditional owner groups are part of those communities, is probably minimal and it needs probably to be measured properly.
Katherine COPSEY: Thank you.
Paul HAW: Another thing that worries me is that when it rains they still have to drive on the tracks into the wetlands, and if they are defined they cut the roads up, or some of them have not even got gravel on, and they make such a mess if it rains. And then who repairs them? That is not conservation.
Katherine COPSEY: I am really interested in the information you have provided around the duck as a totem for some language groups. I wonder if you can share insights around the significance of that and the impact that shooting of ducks has. I am also really interested that we have heard some evidence around disturbance to – swans, other species that are accidentally shot and whether those might also be similarly affected – the collateral from duck-shooting season.
Paul HAW: Just before duck opening I had a pair of sea eagles nesting in front of my place, and I know there is a pair in Yando Swamp, and since duck opening I have not seen them. I just hope they have not been shot or anything like that. But they have not come back since duck opening, and they are a beautiful bird.
Gary MURRAY: In the British Museum there are three etched barks that came from the 1850s. They are insured at about $2.5 million each by the British. We are trying to get them back. They will not give them back to us unless we have got a state-of-the-art climate-controlled facility on the lake –
Paul HAW: At Boort.
Gary MURRAY: at Boort. That is where they come from. That is the home of the barks. At the same time, we have got the Jaara baby who was in a museum for 99 years until we took her out in 2003 and put her back in a tree. Not the same tree that she came out of. She had a tree burial. We had to move her down 2 kilometres from where she originally was buried by her clan, and she is sitting in that tree right now. We fear for her security because of what is going on out there in the bush where nobody can see what is going on. There are no cameras out there to stop you from burning a tree down and her remains. Her remains are in that possum skin bundle with all her 156 traditional toys and some non-Aboriginal objects. That dated her burial at about 1840, because that was the first time the white man came through there. Now these cultural items are so valuable, and we have been working very hard for probably, what, 20 years since I met you, to try and work out how we are going to make sure we look after the Jaara baby and make sure we get the barks back in a first-class, state-ofthe-art multifunctional, astronomy, cultural education facility on that lake. We have had architects come in and do some concepts for us, but we fear the duck shooting going on is going to impact that project.
Paul HAW: I must mention – you spoke about other birds. You have only got to look back at the Box Flat massacre; 2000 birds floated ashore of every description – protected birds, the whole lot. I have never forgotten that. It happened at Woolshed Swamp as well but just was not reported. I have seen it in other wetlands, and you have got to realise you have only got to give them 24 hours and the foxes nearly take the lot. You have got to report them nearly straightaway. I noticed at Yando this year there were lots of occasions where they had buried guts and birds and everything. You go back next morning and every one is dug up by foxes, and so it is hard to track exactly what was killed.
The CHAIR: Ms Watt.
Sheena WATT: Thank you. I had a few questions. I wanted to start on the Victorian Traditional Owners Land Justice Group. Does your organisation have any positions on any of the state government decisionmaking bodies such as we heard earlier – the Victorian Aboriginal Heritage Council or other state government bodies – that represent the interests of traditional owners on cultural heritage matters, particularly exploring cultural heritage matters today?
Gary MURRAY: The land justice group has been minimised for lots of reasons because (1) we have got other commitments at a local level, a regional level and Assembly stuff, the treaty stuff. We have got all that stuff happening and we have got biodiversity stuff going on and water stuff and so on. Nobody has resigned. There are 29 nations on the land justice group; nobody has pulled out of it. They are still there, but we have no resources to do much, so basically the spokespeople are the two co-chairs, Robert Nicholson and Annette
Xiberras. We jump in where we have to, but a lot of our political action now is done for the local nations, local groups.
Sheena WATT: No, that is helpful. I should have also taken a moment to acknowledge your recent election to the First Peoples' Assembly, as we did earlier with another one of your recently elected colleagues, Mr Rodney Carter. Apologies for not opening with that.
Can I ask about ecotourism and ecotourism on country. Are any of you from the group about ecotourism ventures on wetlands? Is that something that you are interested in exploring? Have traditional owners expressed an interest in growing ecotourism opportunities? Where are you at as a group around ecotourism?
Gary MURRAY: In 1968 I was a group leader on a Camp Jungai program that first started at Lake Tyers –
Sheena WATT: Yes, I am familiar with Lake Tyers.
Gary MURRAY: eventually it moved to Rubicon. I was actually the administrator, and I was on the board there at that time at Eildon and Thornton. We ran camping programs for primary school kids, secondary school, tertiary, community and so on. That Camp Jungai was booked out 42 weeks every year without fail – every year booked out. So the model is a transferable model. We can run a Camp Jungai concept at Lake Boort, even the way it is right now. It would be a mobile camp, though, with, you know, portable toilets and tents and all that sort of stuff, and cooking facilities. So that is the ecotourism part we are trying to bring into 2023.
We are trying to pick out particular communities along the river such as in Bright, in the alps, obviously the Barmah forest. There is a station called Menera Station that the Wamba group is getting off the ILC, about a 3500-acre property. We could do stuff out there. And Boort is obviously ideal because it is a small, compact town with a caravan park combination and all that, but we could also do the outdoor education stuff there. So the ecotourism stuff is absolutely important.
The Camp Jungai concept was run around recreation, culture and sometimes education. We used to teach kids from grade 6 going into form 1. We would take them through the computers at that point – because we are talking about the 1980s, so they were real dinosaurs. We would train those kids in how to use those computers. We would also do a report on their literacy and their numeracy standards, and we would provide that report to their schools. So they would go with that from there.
Paul HAW: The Loddon shire tourism department has just started canoe tours, canoeing from Lake Boort across to my museum, which is across the other lake. They have set up a tour where they come and call in, and then they canoe back or go and canoe down to all the beautiful scarred trees in Lake Boort.
Sheena WATT: Is that run by traditional owners or a traditional owner-led organisation?
Paul HAW: No, it is run with – well, I am actually a caretaker of the Boort, and I always consult with the Dja Dja Wurrung, and I only do things if Rodney Carter –
Gary MURRAY: He is not the caretaker, he is the honorary warden. That is his official name, right?
Paul HAW: Yes, all right. And so I consult with them continually. Those tours have just started. People are canoeing already in Lake Boort up the Kinypanial Creek which flows into it, and they see all these beautiful scarred trees that are featured on the film The Lake of Scars.
Sheena WATT: Yes. I think that is wonderful. What I am really looking to explore is traditional owner-led, controlled and managed opportunities for ecotourism – if there is an appetite for it, if there are things that you are planning on doing and the intersection with that on, you know, Aboriginal controlled lands. So we heard earlier about the interest in expanding access and control of state game reserves for Aboriginal people and organisations and representative bodies. Is that something that your group has explored – how to improve access and control of the state game reserves when it comes to Aboriginal leadership?
Gary MURRAY: Yes. The climate out there now requires that we deal with, firstly, the Aboriginal Heritage Act, the state Act, and also the Commonwealth one, then the Traditional Owner Settlement Act and the Commonwealth Native Title Act. And now we have got the treaty Act – so you can imagine it. Only the established groups seem to be getting the benefits, and the established groups are only about 11 out of 38, give
or take one, all right. That means that 27 are struggling. Capacity building funding needs to be pumped into those unrecognised nations, as they call them, which is a pretty disgusting term, because how dare we get recognised by, 'Oh, well, you've got to be a RAP, you've got to be a traditional owner group, you've got to be a native title group.'
Sheena WATT: I will just ask one last question. You spoke about it earlier. You have spoken about damage to scar trees. We have seen that. Is there any other damage to sites such as sacred burial grounds that you want to share and make us aware of?
Paul HAW: Yes. There are burial grounds right in front of my place, and actually remains have been returned from museums and buried in front of my place. But this year no-one camped just there because duck shooters numbers are declining quite rapidly from year to year, and so they did not camp there this year.
Sheena WATT: Okay. Lovely. Thank you.
The CHAIR: Right. Thank you. Mr Mulholland.
Gary MURRAY: Just on that, though, the damage is both spiritual as well as physical, right? It hurts us as nations, clans, family groups that we see that desecration, and I think we have got to change that.
Sheena WATT: Yes, I understand. Okay. Thank you very much.
The CHAIR: Mr Mulholland.
Evan MULHOLLAND: Thank you. Thank you both for your presentation here today and your testimony, and congratulations, Gary, on your election to the First Peoples' Assembly.
Gary MURRAY: I might need some hints from you lot.
Evan MULHOLLAND: I will note we heard from Rodney Carter today, who was also elected to the First Peoples' Assembly. Do you accept that there are some differences of opinion within the Indigenous population on duck hunting?
Gary MURRAY: Well, whitefellas have not got a monopoly on diversity and debates – we all know that. We come to Parliament and see it, ay? So yes, we do have differences of opinion, and as a politician in the assembly I have got to try and sort something out with Rodney Carter. He needs to be sorted out. I have got it over him because of age.
Bev McARTHUR: We have got this problem with Daniel Andrews, yes.
The CHAIR: He has got it over you on seats. Mr Mulholland.
Evan MULHOLLAND: You said before, just in response to that, in discussion about Mr Carter, that there is no way all 38 First Nations would support duck hunting if they got together. Would I be right in saying at the same time that all of those 38 First Nations have not agreed to oppose duck hunting either?
Gary MURRAY: Well, how can you have a position on it if you have not met to discuss it – it is not on your agenda? The federation has shown no leadership across this state, right? And Carter was the chair of the federation. He comes up with these strategies, and he applies it to the Dja Dja Wurrung. We are the guinea pigs at the local level, and the guinea pigs are starting to get upset about it, right? So maybe we need a peace treaty between the guinea pigs and Carter; I do not know.
Bev McARTHUR: Maybe you need a Voice.
Gary MURRAY: We need a Voice, yes – that is the other one. So you know, we need to do the process properly. It has got to be inclusive. Good decision-making is about inclusiveness and about resourcing that inclusiveness so you can get a fair outcome.
Evan MULHOLLAND: Do you recognise his authority, though, to speak on behalf of Dja Dja Wurrung people? I am told he helped negotiate their native title agreement.
Gary MURRAY: Well, native title agreement comes from an authorisation meeting of every claimant. You have to be given a notice – the notice goes in the newspapers as well – and you have a big meeting and you make a decision and you authorise that. That is how it works ultimately. That is the best way to do it. But you do not do it for a CEO position, like Carter has. You do not do it for a board that basically Carter and his chair – who is his cousin – dominate.
Evan MULHOLLAND: I will give you – perhaps both of you – a hypothetical. If this committee were to say we were not going to ban duck hunting but everything else within those parameters you could make a recommendation on – how best you would like to see the practice go forward – is there anything you would recommend to us in terms of safety, tourism or First Nations culture?
Gary MURRAY: Well, you know, if destruction by duck hunters is a serious question which is unknown, put security cameras up. Do something. Get the evidence out there. You know, it is a crime.
Paul HAW: Well, if we got a compromise, I would like to see duck shooters do a training on what a scarred tree is, what a cooking mound is. And Parks Victoria – perhaps they should even mark some of these, because as I said, Lake Boort has so many scarred trees and Lake Yando I think has a cooking mound every 150 metres. They should be at least taught what they are and to value them, because it is white man's history as well as black man's history. They should value it just as much as –
Evan MULHOLLAND: No worries. That was very useful, thank you. I am done.
The CHAIR: Ms Purcell.
Georgie PURCELL: Thanks, Chair. Thanks so much for appearing today, Paul and Gary. My former boss Andy Meddick was a big fan of his tour of the museum, and I really hope to be able to get out there one day myself.
Paul HAW: Actually, I noticed. I have got a visitor's book, and I see he visited three times and I did not realise.
Georgie PURCELL: Yes, and a number of my staff have been as well. I am hoping to get out there one day very soon.
Paul HAW: Well, it has increased to 200 a week.
Georgie PURCELL: Yes, great.
Bev McARTHUR: Get in the queue, Georgie.
Georgie PURCELL: I will. Thanks, Bev. Throughout this inquiry we have heard quite consistently that habitat loss is one of the main drivers of long-term species decline of ducks, and as we know from your evidence today, trees are often cut down by shooters for the purpose of firewood while camping and on occasion also removed off site. Can you tell us in more detail about scarred trees made using stone tools and their significance, particularly at Lake Boort?
Paul HAW: First of all, the main tree around the fringe of the lake is eucalyptus largiflorens, or black box. It is the best habitat tree in Australia; it has the most hollows. The average age is probably 800 years. It takes 200 years to get a hollow. Every one has possums in it, and around Boort especially we have got lots of owletnightjars that live in them. We have got lots of lizards, especially goannas, and hundreds of microbats. They all live in those things, even in the logs lying on the ground. Once you cut one up, it is gone forever. It took probably 800 years to grow a decent hollow, and some of the scars we are looking at are 400 years old. To think they just go by a chainsaw – it just frightens me. That is where ducks breed, in amongst the trees and things. They are cutting their own throats if they are destroying the habitat around it. We see such terrible destruction along the Murray where everybody camps, and our wetlands are getting a bit like that as well.
Gary MURRAY: It is also about the transmission of cultural heritage practices. How do we teach our kids today to scar those trees? A scarred tree that is modified today becomes an ancient tree in 200 years, and you keep the education process going about that practice. If there are no trees, we cannot do that. So the transmission of culture and education is really important to our kids and all people.
Georgie PURCELL: Thank you.
Paul HAW: I think one of the worst things for our wetland is European carp, because they have eaten all the aquatic plants. I have noticed that Lake Marmal, which had its own catchment and did not get carp in it, has got the most birds I have ever seen. All the ones that come off the river systems are just desecrated with European carp, and that is just as bad as duck shooting – European carp.
Georgie PURCELL: Thank you. Gary, you touched on this a little bit before in relation to guns, but earlier today we heard about the supposed threat of duck shooting being taken away and the impact that that would have on Indigenous culture. But as I am sure you are aware, there are exemptions currently for Indigenous hunting practices. I am wondering if you can explain to me in a little bit more detail the differences between recreational shooting and Indigenous hunting practices.
Gary MURRAY: Is it really recreational shooting? I think it is a little bit more violent than that word. That softens it.
Georgie PURCELL: I would agree.
Gary MURRAY: Yes. They are killing ducks right in front of you, and that scares the daylights out of families and kids and the rest of it. So that is that part. Traditional practices – well, there are traditions like somebody would get down one end of the creek, they would throw a boomerang and scare the ducks and they would fly up the creek. There would be a net straight across the creek and they would be caught, in these old traditional practices. Whether we want to bring them back, I do not know. That is part of the discussion we have to have about that stuff, because as I said earlier, we have been dispossessed, dispersed and deculturalised, which means that those practices might not be there anymore.
Paul HAW: The ladies used to make the most beautiful nets out of cumbungi root fibres. They would get 2 kilometres up the creek and start shooing the ducks, and the gentleman threw boomerangs along the creek and whistled like a whistling kite. The ducks were terrified of birds of prey, and they flew low in the water and flew straight in the net. If you look at Blandowski's drawings, he recorded it in detail.
Georgie PURCELL: Thank you. Thanks very much for sharing that. Paul, you touched on this in your opening, that you are a former duck shooter yourself. Could you explain in a bit more detail the events that led to your very significant change in position?
Paul HAW: Well, of course I did serve in Vietnam and almost lost my life and saw so much damage from napalm and things like that and B-52 bombings, and I thought, 'What are we doing to this beautiful country?' When I got back to Australia I realised that we were doing something similar – a bit like the frog and the water, it is just much slower. We were deteriorating and are still deteriorating. So why not halt that slow deterioration? And one of them is to preserve our wetlands and fence out our rivers and stop the burning of all the habitat and try and get rid of European carp and plant out some of the wetlands with red gums again, because they were all red gum swamps once. So that is what I am aiming to do at the moment.
Georgie PURCELL: Thank you. Just quickly, you touched on before how busy your tours are becoming at the museum. Can you explain to us the limitations in terms of how many people you think are missing out on coming through the museum when there is a recreational duck shooting season? Obviously it depends on the length.
Paul HAW: Probably a third of my participants are Aboriginal schools and students, and I am shocked at how many of them have never seen a cooking mound. So they just love to get out in country and see a cooking mound, see a scar where a possum skin was dried on or a bend out of a tree where a drinking vessel was made. If we lose all these things, we will not be able to run our tours. Thankfully we can at the moment. For two weeks I did 200 tours on Lake Boort and Little Lake Boort just to look at scarred trees and cooking mounds.
Georgie PURCELL: Incredible.
The CHAIR: Mr Bourman.
Jeff BOURMAN: Thank you, Chair. Congratulations, Gary, on your election, and, Paul, I want to thank you for your service. I come from military family myself. My uncle went to Vietnam in 1968 and 69.
Paul HAW: Same year as me.
Jeff BOURMAN: I can only imagine what you went through, and I am glad you made it back.
I mean, everything I was going to ask has been fairly thrashed out so far. Are either of you members of CADS or RVOTDS or any of those anti-duck-hunting organisations?
Paul HAW: No.
Gary MURRAY: No.
Jeff BOURMAN: I really am kind of out of things.
Paul HAW: Don't give up.
Jeff BOURMAN: Everyone asked all the questions I had all lined up, so it is getting a little tough. It is a tough room at times. You spoke earlier about that during hunting season someone would buy coffee and a bit of petrol. I am not saying anything about this, but do you think if I went elsewhere and bought it, I would get a different answer, from people that were not maybe opposed to duck hunting?
Paul HAW: I would love you to come to Boort and ask them.
Jeff BOURMAN: I personally used to live not too far from Boort.
Paul HAW: Good on you.
Jeff BOURMAN: So I know the way. But do you think I would get a similar answer from everyone? Well, not everyone; you are not going to get it from everyone.
Paul HAW: Probably at the roadhouse you would get a different answer because that is where people do get their coffee and petrol, and that is basically it, because there are not the duck shooters there used to be. No locals shoot ducks anymore. It has changed. I would hardly know one local who shoots ducks.
Jeff BOURMAN: Ironically, in my experience – I used to live outside of St Arnaud in the very, very early 1980s – they have not changed a lot in general. I have not been to Boort in a long time, but I find that they seem to be, I suppose from my perspective – and you live there, not me, but from my perspective elsewhere – very much still on the hunting thing, maybe not necessarily ducks.
I want to talk about your museum, because I see a lot in here. I see a lot of rocks and things like that that I do not personally understand. One of the themes I have got from this whole inquiry, when we get into traditional owner stuff, for want of a better term, is a lack of education for the rest of us. There are a lot of things – I mean, if I had gone to Boort and noticed a mound there, I would not have known it was a cooking mound. I know of the existence of middens and things like that; I know roughly that there are some dotted around the foreshore around Melbourne. Maybe it would not be the place to put it, in perhaps a game licence, but I think education is a big thing, because it is not just hunters that would be unwittingly destroying things like that.
Paul HAW: I could not agree more.
Jeff BOURMAN: You were talking about camping on the Murray and things like that. Up until this week I did not really know what a scar tree looked like – until I saw one – and I think one of the things sadly lacking is education just of the general public. We have an intertwined history, the traditional owners and us, for the last 200 or so years. I do not want to see anything destroyed that should not be destroyed. What I guess I am asking in a long way is – I think Mr Mulholland went over this – do you feel that education is probably something that, no matter how this turns out, could be pushed to at least give people an appreciation and some knowledge? There are some segments of society, I think, that would go and cut down scar trees deliberately. I do not want to give them an impetus. So that leaves us with a problem.
Paul HAW: I believe education is important. It is much better than the big stick method. With education, you want people to want to value it and not have to value it. That is where I fit in, and I believe it is great to start with school children. Many of the schoolchildren say, 'I'm going to bring my dad and mum back here.' So
I know that I am going to have trouble handling the amount of people that are visiting me, because I have found it is unique. My wife went up to Mildura and looked at all the museums around Mildura and over in Wentworth, and there is nothing like what I have got. I have got Albert Namatjira's boomerang. I have even got William Barak's boomerang. I have got all these artefacts there that people just want to see. Farmers, as they sold up and left 40 years ago, because they knew I was interested, said, 'Paul, I'm going to Bendigo. Here's my collection.' So I have hardly collected any myself. They have been handed into me by farmers up to 40 years ago. I do not regard them as mine; I regard them as this gentleman's, and I am already planning a concession plan in case I die. But you are quite welcome to come and pay a visit.
Jeff BOURMAN: I cannot say I go to Boort regularly, but if I am in the vicinity. Gary, do you have anything to do with the museum?
Gary MURRAY: Well, I generally –
Paul HAW: He opened it.
Gary MURRAY: Yes, I opened it. The concept is a multifunctional, cultural, educational, wellbeing, spiritual and astronomy concept. That is what we are floating up and down the river and right through the alps.
Jeff BOURMAN: Is this the museum area that you are talking about?
Gary MURRAY: Yes.
Jeff BOURMAN: Ironically, I am into astronomy as well, but that is another story.
Gary MURRAY: We are over the boomerangs on the wall concept, right. At the moment Paul's concept is just a small thing. Hopefully it will grow into a bigger one. One of the things the land justice group did, in 2019, to help the treaty commissioner Jill Gallagher in her deliberations was to produce a treaty booklet, which is about 140 pages. It is handbag size, A4 size and coffee table size. It is coloured – and we distributed it across here – and what it has in there is the names of the nations on the record, the names of the clans and the names of the ancestors, and then we talked about the treaty space and the native title space and everything else. That is the first level. The second level will be a localised version of the treaty booklet to assist people with educating themselves, including our own mob. With that first treaty booklet, every time we pulled it out from the boxes it went like hot cakes – in terms of our mob – and everybody else wanted it, right. So we will keep printing that one, but we need to start doing the local ones, particularly for treaty purposes and native title purposes. It is a connection booklet. It should talk about things like what artefacts are out there that you could be possibly destroying because you do not know about them.
Jeff BOURMAN: Yes, ignorance can be a problem. I am out of time, but I just want to say we are obviously never going to agree on the duck hunting thing – that is a given – but I will come and visit at Boort and see if there is some common ground we can find.
: Yes.
Gary MURRAY
Paul HAW: That is wonderful.
The CHAIR: Thank you very much, gentlemen, for coming today.
Gary MURRAY: Just one more thing – I will formally table the email I sent to the Commonwealth. Who is going to grab it? Anyone?
Paul HAW: I must mention that this is the book Footprints across the Loddon Plains. It is five years of writing on detailed Aboriginal history, the effects of squatters on the environment and Mr Godfrey's diaries from when he travelled down to Melbourne here in 1849.
Gary MURRAY: And the last thing is I will formally table the treaty booklet, but I will email it to you, if that is all right, to make sure that you have got it. The local version will be done for the north-east, as well as a statewide version, so you will get that as well.
The CHAIR: Thank you for coming today, Mr Murray. Good luck on the assembly as well. I am sure it is going to be an interesting few years.
You will receive a copy of the transcript of today's evidence for review in about a week, before it is published. We will take a short break before the next hearing.
Witnesses withdrew.
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DART /1001/04
Demissie B. Aredo Issa Traore M. Liu Yanguo Hong Ye
Integration of Structured Review and
Model-based Verification: a Case Study
Tittel/Title: Integration of Structured Review and Model-
based Verification: a Case Study
Dato/Date: August
År/Year: 2004
ISBN: 82-539-0509-2
Publikasjonsnr.: DART/1001/04
Publication no.:
Forfatter/Authors: Demissie B. Aredo,
Issa Traore, M. Liu Yanguo, Hong Ye
Sammendrag/Abstract: In this report, we discuss how structured reviews and formal verification and validation (V&V) can be integrated into a single development framework to exploit the synergy between them. The integrated approach uses graphical modeling techniques and the supporting tools as a front-end to formal V&V in order to improve feasibility of the framework. This in turns increases acceptability of formal V&V techniques among software developers by hiding their esoteric features behind the graphical modeling techniques, which are popular among the software developers.
Emneord/Keywords:
Structured reviews, Formal methods, Verification & Validation (V&V), Model-based Verification
Tilgjengelighet/Availability: Public
Prosjektnr./Project no.:
Satsningsfelt/Research field: Software Engineering
Antall sider/No. of pages:
36
Integration of Structured Review and Modelbased Verification: a Case Study
Demissie B. Aredo 1 , Issa Traore 2 , M. Liu Yanguo 2 and Hong Ye 2
1 Norwegian Computing Center N-0314 Oslo, Norway E-mail: [email protected]
2 Dept of Electrical and Computer Engineering, University of Victoria, Victoria, BC, V8W 3P6, Canada Email: itraore,yliu,[email protected]
Abstract: In this report, we discuss how structured reviews and formal verification and validation (V&V) can be integrated into a single development framework to exploit the synergy between them. The integrated approach uses graphical modeling techniques and the supporting tools as a front-end to formal V&V in order to improve feasibility of the framework. This in turns increases acceptability of formal V&V techniques among software developers by hiding their esoteric features behind the graphical modeling techniques, which are popular among the software developers.
Keywords: Structured reviews, Formal methods, Verification & Validation (V&V), Model-based Verification
1 Introduction
Software systems are increasingly becoming pervasive in several sectors of the contemporary society. E-banking, e-commerce, aircraft control, mission-critical satellite launchers are some examples of applications where high level of dependability is a crucial requirement. Yet, lower production cost and shorter time-to-market, at the expense of software quality, have become the driving forces for most software development organizations. Fortunately, that is not yet the case in organizations developing critical software systems, e.g. nuclear reactor control, avionics, and mission control systems where a failure may cause loss of human lives, or economic disaster.
Structured reviews and formal verification and validation (V&V) techniques are among the principal methods contributing to the improvement of quality of software products and processes. These techniques have inherent strengths and limitations, e.g. with respect to cost and coverage. An approach that exploits the synergy between their strengths improves the reliability of software products significantly.
V&V is a software analysis process, which encompasses requirement and design reviews, code inspection, and testing. In general, reviews are conducted manually and they are efficient at checking a limited number of correctness arguments such as completeness, robustness, and optimality.
The level of quality achieved with informal review techniques may not be sufficient for critical systems, where high level of dependability and reliability is crucial. An alternative is to integrate formal methods (FM) into V&V process. FMs are centered on mathematical theories allowing precise specification of system requirements, and rigorous analysis to ensure that a product meets the expectations of users, in functionality as well as quality. Some benefits of introducing FMs into a development process include:
- Improves our understanding of requirements and system design, and reduces errors and omissions;
- A possibility to mechanically check consistency and completeness of a specification, and prove that the implementation conforms to the specification;
- Semantically based CASE tools for automation of analysis, design, implementation and debugging, and animation of specifications in developing prototypes.
- Formal specifications can be used as a guide for generating appropriate test cases.
Despite these benefits, FMs still have difficulty in breaking into the software industry. Very few organizations have introduced FMs into their development process. A number of reasons have been put forward as to why the formal development methods have not been widely used in the software industry [1]:
- FMs are esoteric – software engineers have not been trained in the discrete mathematics and logic at the required level. Moreover, customers are not familiar with formal development methods, and hence are not willing to pay for development activities they do not monitor.
- Lack of tool support – most of the research work on FMs focus on the development of languages and their theoretical underpinning, yet a little effort is devoted to their practical feasibility, e.g. tool support.
Several approaches have been proposed [2, 3] to integrate FMs into software development processes. They advocate a lightweight and selective application of FMs using modeling languages such as the UML [4] as a front-end. Models are created using graphical notations familiar to the developers. Inspired by this approach, we propose a framework that integrates structured reviews and formal V&V methods into a single development framework to exploit the synergy between them. V&V steps that are not fully automated are reviewed manually, whereas mechanized verification complements structured reviews in detecting inconsistencies and omissions. The later allows reviewers to focus on aspects that cannot be automated.
The rest of the paper is organized as follows. In Section 2, an overview of the methodology underpinning our approach is presented. In Section 3, major concepts of structured reviews are summarized. In Section 4, a tool for automating our framework is briefly discussed. In Section 5, feasibility of the proposed framework and the tool is illustrated. Finally, in Section 6 we conclude.
2 Model-based Verifications
In this section, we briefly discuss major aspects of our approach to model-based verification. For a more detailed discussion, readers are referred to [5].
2.1 The Unified Modeling Language
The Unified Modeling Language (UML) [4] is among the most popular modeling language currently used in the software industry. The visual notations, which can easily be learned by system developers and the availability of several industrial-strength CASE tools, are among the factors that contributed to its popularity. UML is an industry standard for OO modeling languages and enhances communication between different stakeholders. However, due to the lack of formal semantics for UML notations, V&V techniques may not be applied directly to UML models. To bridge the gap, we proposed formal semantics for the UML notations [6, 7] in the PVS specification language. The proposed semantics is implemented in the PrUDE (Precise UML Development Environment) tool [8]. The PrUDE tool supports automatic transformation of UML models into PVS specifications, which are manipulated at the back-end using the PVS toolkit.
2.2 A Semantic Domain
The Prototype Verification System (PVS) [9] is based on strongly typed higher-order logic with powerful mechanisms for verification and validation. PVS consists of a highly expressive specification language (SL) tightly integrated with a type-checker, and an interactive general-purpose theorem-prover. The PVS-SL provides a very general
semantic foundation. A particular strength of PVS is that it exploits the synergy between its tools. It is beyond the scope of this paper to give a detailed presentation of PVS. Interested readers are referred to [9].
2.3 Semantics of UML in PVS
The lack of formal semantics for UML notations hampers application of formal verifications to UML models. There is a great deal of work on providing mathematical basis for the concepts underlying the UML notations. Several approaches are proposed [10]: supplemental – informal OO modeling constructs are replaced with more formal constructs; OO-extension – a novel or an existing formal notation is extended with OO features to make it compatible with OO features; method integration - an informal or a semi-formal notation is combined with a suitable formalism to make it precise and amenable to rigorous analysis.
The first two approaches require developers to deal with a certain amount of formal artifacts - a major barrier for whole-scale utilization of formal methods in industrial settings - and suffer from lack of supporting tools. Method integration is a widely used approach that allows developers to manipulate the graphical models they have created without having in-depth knowledge of the underlying formalism. We proposed semantics of a subset of UML notations (class, interaction, and statechart diagrams) [7, 6] using the method integration approach and the PVS specification language [11] as underlying semantic foundation. The informal semantics of UML notations [4] is used as a requirement document. Formal semantic definitions for UML notations facilitate a development of semantically based CASE tools for rigorous analysis.
We briefly summarize semantic model [6] for UML sequence diagrams. A UML sequence diagram describes a specific pattern of interaction between objects in terms of messages they exchange as the interaction unfolds over time to realize the desired property. The simplicity of sequence diagrams makes them suitable for requirement specifications that can easily be understood by customers, requirements engineers, and software developers alike. An interaction captured by a sequence diagram consists of messages communicated between interacting objects. A message has associated events specifying significant occurrences having location in time and space, and sender and receiver objects etc. In our framework, messages are interpreted as pair of send and receive events. A sequence diagram is interpreted as a prefix-closed set of traces of events having generic properties such as causality.
A semantic model for a sequence diagram captures properties that a system is expected to exhibit. Assumptions and invariants on the system are stated as axioms and predicates. A trace of events is a possible run of the system specified by the sequence diagram if and only if it satisfies properties stated as predicates provided that the assumption are satisfied. The static semantics of each model element given as a set of Well-formedness rules, usually expressed in the Object Constraint Language (OCL) [12], can be captured similarly.
2.4 PVS Proof Strategies
The ultimate goal of defining formal semantics is to precisely express important system properties and rigorously verify them. Using primitive proof rules provided in the PVS theorem-prover requires some expertise and is quite tedious to handle. PVS provides a mechanism for defining more powerful proof strategies that can significantly increase proof automation and hence reduce user interaction with the prover. This enables us to treat a complex proof in a single 'atomic' step, hiding the tedious intermediary steps from the user. We have identified and implemented some proof strategies that allow complete automation of proof of properties based on our semantic models [13]. For instance, for properties based on sequence diagrams, the proof pattern is quite simple and involves only two PVS primitive proof rules, namely skolem and grind. These strategies are implemented in the PrUDE tool and executed in a batch mode.
2.5 Model-based Testing
Program testing - checking whether or not a program exhibits behaviors stated in the requirement specification -- is an important step in development process.
Using formal specification as a basis of generating test cases contributes significantly to testing [14]. We present a testing approach based on validation of UML models using formal semantics and system requirements. The valid models are used to generate test cases from constraints such as invariants and pre-and post-conditions associated with model elements. Some UML models are more suitable for model-based testing. The statechart, sequence and class diagrams can provide a good testing coverage. To generate test cases from a sequence diagram, for instance, we use a trace-based testing strategy. After the sequence diagram is validated, graph matrices are built from the sequence diagram, and then reduced using the node-reduction algorithm [15], in order to generate test cases.
For statechart diagrams, we propose a transition test model consisting of a set of transitions associated to the diagrams. This allows generation of test cases at class and method levels. In UML state-charts, an event corresponds to a method call. Since a method may be invoked several times, a transition provides only partial pre- and postconditions. The global pre- and post-condition is the conjunction of the partial pre- and post-conditions. Test cases are generated from a partial pre/post-condition pairs, by decomposing the precondition into disjunctive normal form (DNF), and yielding elementary sub-expressions. The sub-expressions are then refined into executable expressions, and then using the domain test matrix technique, suitable test cases are defined. The PrUDE tool provides a spreadsheet-like table that assists users in applying the domain test matrix technique.
For Java programs, the PrUDE tool provides a test execution component to which the generated test cases may be submitted and executed automatically. The tester, based on abstract expressions extracted from the specification by the PrUDE test component, provides executable expressions used to generate test cases. During the review process, a reviewer checks correctness of the executable expressions with respect to the abstract expressions, as well as the specification-based coverage criteria corresponding to the test strategies used. For more discussion on test expressions and coverage criteria please refer to [5].
3 Structured Design Reviews
3.1 Correctness Arguments
Most of the steps in the formal V&V can be carried out automatically. But, some steps cannot be automated and require human interaction and guidance. We argue that use of informal correctness arguments to deal with steps that cannot be automated results in an improved and more affordable verification process. Our approach draws on the work of Britcher [18], where the key program attributes such as topology, algebra, invariance, and robustness are defined for procedural programs. The correctness arguments are presented as a series of questions that should be answered by inspectors and authors. The idea of the questionnaire follows the Active Design Review approach developed by Parnas [19]. For instance, for a given correctness argument that cannot be checked automatically, a model analyst may provide and record an informal proof. During the review, the inspector is expected to challenge the correctness arguments using a carefully designed review process. In our case, we consider correctness arguments that encompass and extend the criteria defined in [18]: validity, traceability, optimality, robustness, wellformedness, completeness and consistency.
3.2 Sample Review Questions
A review process is preceded with a discovery of user requirements documented by the reviewer. Even before reading the exhibits, the reviewer needs to make an initial analysis of the requirements. The discovery of the requirements must go beyond the traditional meetings that take place at the beginning of reviews in order to present the system. The reviewer needs to build an informed and independent opinion about user requirements under review. Then, it is easier for the reviewer to challenge the rules defined in the exhibits and discover possible gaps, omissions or inconsistencies. In this phase, the reviewer should answer the following questions:
1. What are the main business rules, the properties and invariants characterizing the system?
2. What are significant scenarios underlying functionalities of the system?
3. What are exceptional conditions under which the system is expected to function?
After the discovery phase, the reviewer starts the actual review by reading the exhibits and examining the correctness arguments. The following are among the questions that need to be answered:
1. Do the exhibits provide a complete coverage of the business rules, the properties and invariants characterizing the system?
2. Are the exhibits consistent with user requirements, and do they derive naturally from the user requirements?
Next, the reviewer considers traceability argument. Some of the questions that may be answered include:
1. Which aspects of the model have changed, and which ones remain unchanged after refinement?
2. Are relationships between abstract and concrete features defined adequately and consistently?
As achieving traceability is not sufficient, checking optimality of the refinement is important. The argument of optimality may be analyzed by answering questions like:
1. Are representations chosen during design refinement efficient with respect to requirements?
2. Are there better alternative solutions?
Well-formedness arguments can be analyzed automatically using the PrUDE tool. The main goal of the reviewer is to identify potential syntactic inconsistencies. Consistency arguments are the broadest arguments among the correctness arguments defined so far. The goal of the reviewer is to check that there are no contradictory requirements involved in the models under review. The following are some of the questions that should be raised during robustness checking:
1. What are the normal conditions under which the system operates?
2. What are the exceptional and abnormal conditions related to the system operation?
3. Do the exhibits handle all exceptions and abnormal conditions?
The set of sample questions given in each step are not complete, and they are rather meant to illustrate types of questions that should be answered in each step.
3.3 Review Process
Defining an efficient review process requires selection of a rigorous development process, in which the steps and modeling artifacts are precisely specified. We use a development process consistent with the Rational Unified Process (RUP) [16] that is driven by use cases. Use cases are identified and prioritized by their degree of criticality at the beginning of the development process. The process proceeds iteratively starting with the most critical use case. At the end of iteration, stable software artifacts handling specific aspects and risks of the system are produced. Subsequent iterations are built on the previous ones by assessing and revising corresponding risks. The review activities can be performed at the major milestone within iteration and discovered errors should be fixed before the next iteration starts. Moreover, review comments are used in planning the next iteration. We use a hybrid unit of inspection that combines the traditional documentcentric approach with the architectural approach proposed by Laitenberger et al. [17]. The key architectural building blocks, namely the use cases, are used as units of inspection, and within a use case we organize inspection around different documents.
As shown in Figure 1, major activities in the review process are organized into four phases (the rectangular boxes) each of which is based on a specific document: requirements, analysis, design, and test documents describing scenarios underlying the use case under consideration.
User Requirements Review: Review activities in this phase include checking completeness and consistency arguments. Completeness refers to checking whether or not useful information is missing from a model by checking that every functional and quality requirement is covered at least by one use case. For every use case, the reviewer must check that every possible scenario is captured by a description of event flows. The reviewer manually checks consistency of the use case descriptions with user requirements.
Analysis Model Review: Analysis model is derived from textual descriptions of use cases. It consists of business rules; set of sequence/collaboration diagrams describing scenarios, class diagrams, and possibly state diagrams. In analysis model review, three correctness arguments are checked: consistency, well-formedness and validity. After consistency of the analysis model is manually checked and discovered defects are fixed, the model is input in to the PrUDE tool, where well-formedness and validity arguments are checked, successively. Well-formedness and validity are checked by generating PVS semantic models automatically. Then, the reviewer establishes these properties by discharging conjectures by invoking the PVS prover in a batch mode. Most of the conjectures can be discharged automatically using PVS proof strategies implemented in the PrUDE tool.
Design Model Review: Design models are obtained by successively refining analysis models. A design model consists of a class diagram, a set of interaction and statechart diagrams, a static structure diagram, a deployment diagram, and design traceability documentation. Review of design models consists of checking consistency, traceability, robustness and optimality arguments. Design traceability is documented by briefly describing the changes made to the analysis model to obtain the design model. The document may describe how design classes are related to analysis classes by defining retrieval functions, and if necessary, informal refinement proof. Design traceability documentation is produced by a designer, and challenged by a re-viewer.
Test Data Review: Artifacts submitted to a reviewer consist of test cases generated and expressions used to generate them. The role of the reviewer is to establish correctness of the expressions, by checking accuracy of system representation. The inspector needs to check that the coverage criteria for specification-based testing strategies used to generate the test cases are met.
4 Automation
The integrated approach presented in the sequel is automated by a tool suite called PrUDE 1 (Precise UML Development Environment) [20]. The formalisms and notations underlying the PrUDE platform are the UML [4] and the PVS (Prototype Verification System) [9] and their respective tools. Model-checking and proof-checking are based on the PVS toolkit that is invoked in batch mode, whereas models are created using a UML CASE tool. The interface of the PrUDE tool to a UML CASE tool is based on the XMI [21] format. Since most of UML CASE tools support model export in the XMI format, the PrUDE platform is UML tool vendor independent, making it easily adaptable to existing software development environments. A major strength of the PrUDE tool is that it allows developers to deal with UML models they have created while semantic models generated from the models are processed at the back-end. This is achieved by identifying proof strategies that allow automated verification of system properties based on the underlying semantic definitions. Figure 2 shows architecture of the PrUDE platform. The rectangular boxes represent V&V steps, whereas the ovals show artifacts. An input to the PrUDE tool is a requirement specification expressed in UML, and augmented with business rules expressed in OCL [12]. A corresponding PVS specification is generated automatically and serves as a basis of rigorous analysis. When a valid UML model is obtained after a series of V&V steps, a designer may refine the model to achieve an implementation of the system. The resulting program code can be tested with the PrUDE tool.
Test cases are generated from valid UML specifications obtained after the series of V&V steps. They are derived from various constraints related to the model, e.g. invariants, preand post-conditions. The current version of the PrUDE tool provides a test case generator and a test execution component for Java programs. If a proof attempt fails, a PVS log message that can be interpreted and traced back to the UML specification is generated. Although the log message is sufficient to indicate the source of errors in the UML
1 The current version of PrUDE v1.2 can be downloaded from www.isot.ece.uvic.ca
specification, in the future we plan to implement a parser that extracts textual "Englishonly" messages from PVS log messages.
5 Feasibility Study
5.1 Study Setup and Results
To illustrate feasibility of our approach, we have conducted a small experiment on the development of a critical system that provides a secured patient document service (PDS). The main functionality of the PDS system is to provide secured accesses to patient medical records worldwide. The system is required to provide security, i.e. it must provide authenticity, integrity, confidentiality, and authorization. In the sequel we briefly summarize major aspects of the experiment to show feasibility of the approach. The
experiment involved a group of six graduate students with varying background in modeling techniques and formal methods.
Three of them have industrial background and played the role of reviewers. The remaining participants were in charge of developing UML models. The result of the experiment shows that it is possible for a designer of a critical application, with a little knowledge of mathematical logic, to get the best out of graphical modeling techniques and formal methods: design using a visual notation, and design rigorously by taking advantage of the features provided by structured review and formal analysis techniques. Review of user requirements was done on the full document, which contains eight use cases. Subsequent review steps were conducted on sample use cases selected from the most critical ones. The analysis model involves eight business rules, six sequence diagrams, a statechart diagram, and a class diagram. The design model consists of six sequence diagrams, a statechart diagram, a class diagram, a static structural diagram and a collaboration diagram describing subsystems and their relationships, and design traceability documentation. We used a small test set consisting of fifteen expressions and twenty test cases.
We noticed that the effectiveness and cost of detecting defects vary significantly based on several factors: types of defects detected; whether the defects are detected manually or automatically; whether the detection method follows precise rules or is driven by experience and intuition, or both; backgrounds of the reviewers; and the size and complexity of user requirements.
Based on the cost and ease of detection, we group the defects discovered into five categories.
1. Defects discovered manually by using precise and systematic guidelines, e.g. consistency of UML diagrams, and test coverage analysis, which were easily and rapidly detected.
2. Defects discovered manually, which require some logical thinking and for which no clear guidelines were provided, e.g. consistency of business rules etc. These defects were discovered with a little more effort than the previous ones.
3. Defects discovered manually, which require some intuition and experience, and for which no strict guidelines were available, e.g. optimality, and robustness. These defects took more time to discover, and only half of them were detected.
4. Defects discovered automatically using the PrUDE tool, e.g. well-formedness of UML models, which were detected easily and quickly.
5. Defects related to validity were discovered using the PrUDE tool, but required some prior intuitive work from the reviewers in defining appropriate conjectures. The conjectures can be checked using the PVS proof strategies implemented in the PrUDE tool in less than a minute.
Though the size of the study materiel and the number of the participants don't allow us to draw quantitatively significant statistical conclusions, the results obtained, i.e. the number and kind of defects discovered are promising and consistent with our expectations. In the future, we extend the experiment to a larger number of users and extend the study materiel to cover an entire system model.
5.2 The Patient Document Service (PDS)
5.2.1 Summary of the PDS Requirements
Overview: Binkadi Life, an insurance company needs to rapidly create an online healthcare marketplace. The central and initial component of that marketplace would be a patient document service (PDS) that provides support for the company 1,000,000 insured, care providers, benefit coordinators and agents. The initial version of the PDS will only maintain securely patient medical records and make them available to authorized persons worldwide. Subsequent versions are expected to expand the basic functionalities with several new services.
The goal of Binkadi Life is to deliver the services of the PDS at no additional cost to its insured. That'll allow them to increase their market share. At the same time they don't want to increase their operational costs. Hence it is essential for them to lower the development cost and to minimize the product support cost. Due to the highly competitive insurance market, it is also important for them to bring the product to the market the earliest possible, and to reduce the installation time (e.g. fastest deployment). Other important concerns include the following.
- Scalability: the system must scale to manage millions of users and work in complex computing environments.
- Availability: the system must have no more than 1 hour per month of down time.
- Performance: The system must be able to respond quickly to user requests, unless the network connection is broken (in which case the user should be notified).
- Portability: the system must work in diverse and complex computing environments involving various platforms and technologies.
- Ease of learning: the time for 90% of the buyers to learn (through supplied stepby-step instructions) how to use the first time the system must not be more than 10 minutes.
The system must also be fully integrated into existing enterprise security infrastructure. More specifically the PDS will reuse an existing secured database that provides the list of the primary users of the system (e.g. the company's customers). The database provides also the list of registered doctors. This database is maintained by an already existing customer management system.
Functional Requirements: The main function of the PDS system is to provide secured accesses to patient medical record worldwide. The system must provide special protection features dealing with suspicious users and disclosure of unauthorized information. The actors involved in this system are the patients, patients' relatives and friends, doctors, and site administrators. The main resources to be secured are medical records of patients. A patient may choose a unique family doctor who is automatically granted the right to read and modify medical records of the patient. Only authorized doctors can read or modify a medical record. Every doctor is solely responsible for the modification that he made to the medical record database, and the system is expected to
enforce this responsibility. An authorized doctor is a registered doctor that a patient has chosen either as his family doctor or as "guest" doctor, e.g. a specialist, or for travel reasons or unavailability of family doctor etc. The patient is the only person that is allowed to choose his own doctor. A patient may have read access to his own medical record, but he cannot modify it. He may grant read access to his friends and family members. The site administrator is the only person who can create, delete, read and modify a patient record. The system is required to be secure, i.e. it must ensure that authenticity, and integrity, confidentiality, and authorization are always preserved. Additionally, the company would like to be able to use the system to maintain statistics about customers' behaviors in order to adapt its services to their needs, and also to send them some advertisements when they are using the system.
5.2.2 UML Specification
Use Case Diagram: We identify 10 use cases and 6 actors, which are described in the following.
Actors:
- User: a user can be a patient, a patient's friend, a chosen and registered doctor, a security officer; any authorized person.
- Patient: primary user of the system; corresponds to a regular customer of the company.
- Doctor: registered doctor specified by the company, and possibly selected by a patient.
- Friend: friend or relatives of a patient, is granted by a patient the right to access his record.
- Company database: provides the list of patients and registered doctors.
- Administrator: maintains the system.
Use cases:
- Registration: allows a user to register with the system; the first time, the user access the system using a default password delivered to him. Then during the registration, a new password is created that he must use for subsequent access to the system. Default registration of administrator, patients and doctors is made directly by the administrator using the company database. Default registrations of friends are made directly by patients.
- Transaction management: receives the user requests and handles them. The requests may consist of creating, getting, querying, updating or deleting a medical record. The request may be granted or denied, in which case an appropriate message is sent back to the user.
- Transaction processing: consists of the actual processing of the requests received from the user.
- Access control: checks whether any request or action by a user is legal or not. Its role consists of checking the request against the security policy, make appropriate decision, and enforce that decision.
- Login: identifies and authenticates a user in order to check whether he is an authorized user of the system. If that's the case, a session object carrying the security credentials of the user is created and the user is granted access to the system. Otherwise, access is denied and the user is kept out of the system.
- Auditing: any critical actions must be logged by specifying the type of action, the author and time.
- Administration: provides a series of functions that allows the administrator to maintain the system.
- Fault management: provides a series of functions that allows system monitoring, fault detection and recovery; sends notification to the user in case of unavailability.
- Maintain Statistics: maintain information related to the habits of the users of the system.
- Advertise: send advertisement to the users.
The 10 use cases identified above cover the most important requirements. However, not all the use cases are significant for the design of the architecture. We must consider only use cases that involve the most important risks. These include use cases that are important for the user or the main purpose of the system, or that cover the quality and non-functional requirements. Secondary, ancillary use cases (e.g. features that are nice to have), or optional use cases are in general not significant for the architecture. In this perspective, we keep only 8 of the 10 use cases identified; the selected use cases are represented in the use case diagram given in Figure 3. Use cases Maintain statistics and
Advertise cover secondary requirements, which are not fundamental for the user. Hence they may be postponed and dealt with later.
Interaction Diagrams: Each use case involves one or more scenarios, each of which can be described using interactions diagrams (e.g. sequence or collaboration diagrams). Figure 4 depicts a scenario underlying the Login use case. The user identifies him by specifying his userid and password; the information is forwarded to the document server, which checks them against the security policy via a security manager. If the access is granted, a session object is created that carries the security profile of the user. If access is denied the user is notified by sending him an appropriate message.
Figure 4: Sequence diagram describing login scenario
Class Diagram: The class diagram provided in Figure 5 depicts structural components of the system described above. The Patient, Doctor, Administrator and Friend classes represent potential users of the system. These classes are subclasses of the Person class that describes a set of common attributes. The DocProvider class manages the access to and delivery of medical records, which are described by the MedicalRecord class. The SecurityProfile of a user is defined as a set of AccessRight associated to the Person class.
Statechart Diagrams: Statechart diagrams are provided for classes exhibiting significant dynamic behavior. For instance, the statechart diagram shown in Figure 6 describes dynamic behavior of the class DocProvider. The system starts in an initial state where security parameters are initialized. Then, it moves to an idle state where it waits for requests from users. When a request is received, the security profile of the user is checked and the request is either served or rejected.
Architecture: The general architecture of our system is based on the generalized framework for access control (GFAC)) that defines an architectural pattern for access control-based systems [22].
The collaboration diagram in Figure 7 depicts how subsystems collaborate in order to achieve a basic scenario in which a user makes a request to the system. The request is received by the enforcement facility, which submits it to the decision facility for verification. The decision facility refers to the security rules in order to check the validity of the request. Based on the response of the decision facility, the enforcement facility either executes the request or rejects it. In either case, the security information base must be updated.
Figure 8 describes the hardware and network topology and shows how the major components are deployed on the hardware infrastructure.
5.2.3 Complementary Semantics
The standard UML notation provides only a partial specification of the system. The UML specification produced needs to be extended by providing complementary semantics for the elementary features (e.g. state, actions, conditions etc) and properties involved using language like the Object Constraints Language [12] or any other mathematical or textual languages. We define in the following the complementary semantics for the statechart shown in Figure 6 using OCL. The context of the expression is a DocProvider object.
Predicates associated to states
predIdle(): Boolean self.status = true AND self.connection = false
predConnection: Boolean self.status = true AND self.connection = true AND self.users → notEmpty
predWaiting(): Boolean self.status = true AND self.service = false
predProcessing(): Boolean self.status = true AND self.service = true AND self.sessions → notEmpty
predSecurityViolation(): Boolean self.status = false AND self.securityOK = false
predRecovery(): Boolean self.status = false AND self.securityOK = true
Predicates associated to guard conditions
predAccept(sp:SecurityProfile): Boolean exists (sp | self.securityDirectory.includes(sp) AND
sp.owner.userid=uid AND
sp.owner.password = pwd )
Predicates associated to actions
```
predReqOK(sp:SecurityProfile, ac:AccessRight, req:Request): Boolean exists ((sp, r, req) | self.securityDirectory.includes(sp) AND sp.owner=req.source AND sp.right.includes( ac) AND ac=req.action) predCreateSession(): Boolean exists (self.sessions→size = self.sessions→size + 1)
```
5.2.4 Business Rules
The UML business model needs also to be augmented by defining the business rules. These rules can be expressed using OCL. We give in the following some examples of business rules.
Rule1
: A patient cannot create, delete or modify his own medical records.
context
Patient inv
self.profile.right → forAll(r | not (r = r.create or r.modify or r.delete))
Rule 2:
A doctor cannot create or delete a medical record.
context
Patient inv
self.myDoctor.profile.right → forAll(r | not (r.create or r.delete))
Rule 3: A doctor that has not been chosen by a patient (as a family doctor or a friend), cannot access the patient's medical record.
context
MedicalRecord
```
inv self.owner.myDoctor → (excludes(doc)) implies not self.owner.myDoctor.profile.right → exists(r | ((r.resource=self) and (r.read or r.modify or r.delete or r.addDoc or r.removeDoc or r.addFriend or r.removeFriend))))
```
```
Rule 4: Only a site administrator can create or delete a medical record. context MedicalRecord
```
```
inv self.person.profile.right → exists (r | (r.create or r.delete)) implies
```
```
person.asType(Administrator))
```
Rule 5: A patient can read only his own medical record unless another patient has chosen him either as a "friend" or a doctor or he is a site administrator.
context
MedicalRecord
```
inv self.patient.profile.right → exists(r | (r.resource =self and r.read) implies (self.patient=self.owner or owner.myFriend → includes(patient) or owner.myDoctor → includes(patient))
```
5.3 Structured Reviews
Well-formedness and consistency arguments, as we already mentioned, may be checked automatically using the PrUDE toolkit. This is performed after the PVS semantic model corresponding to the UML model is generated. The remaining arguments are checked manually or semi-automatically. In the rest of this section, we show, by examples, how this can be conducted.
In order to check the traceability argument the reviewer will first examine the relationships between the structural and behavioral elements defined in the specification and the design documents. The analysis model provided in Figure 5 is refined into a new design model given in Figure 9. Instead of having several classes for different users of the system, Person, Patient etc., there is only one user class, namely the UserManager class which carries the same set of attributes as Person class, in addition to a role attribute that corresponds to the specific role played by the user.
The SecurityManager class is a new class that performs all necessary security checks before executing a request. There is also a standard directory service represented by DirectoryService class. Since the configuration of the model has changed, ensuring design traceability is important. That consists of showing that all information mentioned in the abstract model can be found in the design model.
For instance, the designer may consider that there is a direct correspondence between DocProvider class in the abstract model and SecurityManager class in the design model. The same correspondence may also exist between Patient, Doctor, Friend, Administrator and User. The correspondence is documented by providing retrieve functions that relate abstract and concrete representations. We use the following notation for retrieve function: retr: [Rep → Abs], where Abs is the abstraction and Rep is a representation. For instance, for the SecurityManager class, the following retrieve function can be defined:
```
retr: SecurityManager → DocProvider context DocProvider sm: SecurityManager inv self = retr(sm) implies (self.records = retr(sm.records) and self.securityDirectory = retr(sm.securityDirectory) and self.users = retr(sm.users))
```
The retrieve function for the classes is defined in terms of the retrieve functions of their attributes that must also be defined. The retrieve function can be as simple as the identity function or more complex in case where the data types involved are modified. For instance, the above retrieve function establishes correspondence between the records attributes in, respectively, the DocProvider and SecurityManager classes. However, their data types are different (see the respective class diagrams). The abstract records attribute is defined as a set of MedicalRecord whereas the refined one is defined as a vector of MedicalRecord, for example, an array. The retrieve function for the attribute records may be defined in this case as follows:
retr(sm.records) = {sm.records[i] | mid 0 <i < sm.records.size}
The abstract attribute records are defined by the retrieve function as the set of elements contained in the concrete representation vector. In order to establish correctness of the representation, an adequacy proof obligation may need to be discharged. The following proof obligation states that the retrieve function must be total:
context
DocProvider inv self → forAll(dp | SecurityManager →
The proof obligation is discharged straightforwardly by providing the following informal constructive argument:
Given a finite set, it is always possible to arrange elements of the set into an array. The set will represent the collection of elements associated to that array.
The use of informal constructive arguments to discharge simple proof obligations is encouraged in [23]. Although the data representation chosen by the designer seems adequate, the reviewer may raise some concerns about its optimality. From the requirements, it appears that the attributes records where all medical records are stored should allow efficient searching. The question will be whether representing the records as a binary tree would be more efficient than using just a vector?
A robustness issue raised during the review process was due to the fact that the patient is the only person allowed to choose his doctor. How about the case when a serious accident has happened to the patient at the other end of the world where the authorized doctors listed in his record cannot reach him, and the patient is not in condition to choose a local doctor?
Another robustness issue is due to the assumption that there could be some security violations since no system is absolutely secure. Hence, we need to design a mechanism that allows the system to discover, analyze and recover from security violations. The
statechart diagram given in Figure 6 by specifying appropriate recovery mechanisms already addresses this concern.
The review also established that the design was not valid, because it failed to describe, consistently, user requirements that state the fact that a patient must not be able to modify his own record. A patient can be a doctor by profession in which case he can choose himself as a "guest" or family doctor, and grant himself the right to modify his own record, as the above system design does not prevent him from doing so. To be valid the business rules should be rephrased stating that a patient may choose, as a family or a "guest" doctor, any person who is a registered doctor, except himself or herself. An additional business rule may be stated as follows:
```
context Person inv (self.asType(Patient) and self.asType(Doctor)) implies self.myDoctor → excludes(self))
```
Rule 6: If a patient is a doctor, (s)he cannot choose himself as his doctor.
Another possible solution is redesigning the model in order to incorporate some dynamic reconfiguration features as shown in Figure 10. The solution adopted in Figure 10 describes different roles a Person may play, with interfaces Patient, Doctor, Administrator and Friend. In this way, the interfaces may be constrained to prevent the same object of the Person class from playing roles that may violate the requirements.
5.4 Formal Verification
A reviewer can check well-formedness and validity arguments using the PrUDE tool. Importing the XMI file generated from the UML models does this, and PVS semantics models are automatically generated based on the XMI file. The business rules are translated into PVS and systematically integrated with the PVS semantic models using the property editor. Then, the model is checked based on the UML well-formedness rules, whereas invoking the PVS type-checker in a batch mode checks type-correctness. Finally, invoking the PVS theorem-prover checks every system property.
5.4.1 Statechart Diagrams
Figure 11 shows a snapshot of the PVS semantics generated for DocProvider' statechart diagram in PrUDE; the lower window is a log area where reports generated from the PVS tools are displayed. Figure 12 shows a snapshot of the property editor through which complementary semantics are inserted. The log areas show reports of well-formedness and type checking.
In order to check validity of the specification, the reviewer draws and checks conjectures based on requirements. An example conjecture suggested by one of the reviewers enabled us to discover an interesting bug in the statechart diagram of Figure 6. The conjecture is expressed as follows:
Rule 7: A user cannot logout unless (s)he is connected.
The reviewer invoked the theorem-prover to discharge the conjecture. The proof was unsuccessful as depicted in Figure 13. A counterexample described as a PVS debugging message was then returned; the counterexample is shown in Figure 14.
The message is expressed in the form of unproved sequent with several antecedents and no consequent to be proved. In such a case, either there is a conflict in the antecedents, or the antecedents are not sufficient to prove the sequent. Lines {-1} to {-4} refer to the simple state Connected. Line [-5] refers to a transition instance (labeled internally) tr!1 whose source and target is the state Connected, with triggering method logout, empty guard condition, and action clearSession. This corresponds to the self-transition associated to the state Connected. Lines [-6] to [-11] refer to the firing of transition tr!1. At this stage the reviewer inferred that the firing of transition tr!1 leads to an inconsistent state, and decided to examine closely the transition and its meaning as defined in the statechart diagram.
In a normal execution, the concurrent state Connecting contains a logical inconsistency. If we follow the single process of handling a user connecting to the Document Server we can determine the following normal operations:
1. The thread responsible for user connection is started in the Idle state.
2. If the thread receives invalid login request from unconnected user, it remains in the Idle state.
3. If the thread receives a login request with valid user ID and password from unconnected user, it enters the Connected state.
4. After the user is connected the thread responsible for handling user connections returns to the Idle state.
5. When the thread in the Idle state receives a logout request from a connected user, it handles the request and remains in the Idle state.
These operations seem consistent with a running server. The transition that appears logically inconsistent when compared to the implementation of the system is, as indicated by the counterexample, the transition from the Connected state to itself triggered by a logout request.
In reality, a logout request from a user who is not connected should not be processed. This problem could occur, if for example, the implementation code did not properly set the connection property of a client after it has successfully logged in; rather, it is set before completion of the connecting code. Combine this with conditional logic that checks the connection status of the client before allowing the logout operation to proceed. Although the detected error might seem trivial, it is, however, an example of typical errors that can easily be skipped over during manual review.
5.4.2 Sequence Diagrams
Figure 15 shows a snapshot of the PVS specification automatically generated using the PrUDE toolkit from the UML sequence diagram shown in Figure 4.
Some essential conjectures suggested by reviewers are security requirements for authorization, authentication, accountability, and availability. An instance of suggested authorization property states that a non-discretionary authorization policy is needed in order to control PDS users' access to patient records.
Rule 8: Unauthorized access to a patient record is not allowed. Access to a patient record by an already authenticated user of PDS must be protected by the enforcement of an authorization policy.
An example of proposed accountability property is stated as the following property:
Rule 9: Every access to records must be logged, including unauthorized attempts to access the information.
Analyzing the interactions involved in the system, such as the one modeled by the sequence diagram given in Figure 4 can check such kind of properties. In the classical message sequence charts (MSC), deterministic ordering of events can be guaranteed by using the general ordering mechanism. The UML sequence diagram, however, does not
support such a mechanism, and hence a need for formal semantics that ensure enforcement of this sort of properties of systems. The sequence diagram shown in Figure 4 describes interactions among instances of Person, DocProvider, and MedicalRecord classes. It constrains the messages to occur in the order they appear in the diagram from top to bottom. The diagram does not, however, state whether any of the messages must occur or may occur. To model dependencies among messages, one needs formal representation of sequence diagrams. Suppose that, in Figure 4, the message create occurs only if messages reg_ok and login occur in that order. This property cannot be specified by the graphical notations and induces a strong need for formal semantics.
For instance, in our semantic definitions, Rule 8 is equivalent to the following:
For every valid trace of the sequence diagram (cf. fig. 4), an occurrence of data access event must be preceded by a successful registration and authentication. In other words, in a valid trace, the events sendRequest and recvResult must be preceded by both the reg_Ok and login_Ok events.
System requirements are specified as predicates. To ensure that the system specification fulfills the requirements, appropriate conjectures or theorems are stated and discharged by invoking the PVS prover. The requirement specified by Rule 8 is stated as follows:
th1: THEOREM
```
FORALL e: Event, t: Trace: (e = sendRequest OR e = recvResult) IMPLIES ((t ∈ traces(loginseq) AND e ∈ t) IMPLIES {reg_Ok, login_Ok\} ⊂ prefix_upto(rank(e,t),t))
```
The security requirement characterized by rule 8 can be implemented in several ways. The most critical case is when an authorized user is tampering with records without leaving a trace of his identity. Users must not be allowed to access patient records after they have invoked the logout operation. This is stated as follows:
th2: THEOREM
```
FORALL e, t, sqdr: (t ∈ traces(sqdr) AND e ∈ t AND e=logout) IMPLIES isucc(e,t) ⊆ {e|e=login}
```
Where the isucc(e,t) function returns the set of immediate successors of the event e in trace t. Invoking the PVS theorem-prover in a batch mode and using the proof strategies defined previously discharges the above theorems. Figure 16 shows a snapshot of the proof-checking report for rule 8 in PrUDE.
5.5 Model-based Testing
5.5.1 Test Case Generation
Due to space limitations, we present in the sequel only results related to one test strategy, namely the transition test strategy. At the implementation level, test cases are collected and generated based on the constraints and invariants involved in the UML and OCL specifications. We present in this section an example of test case generation involved in object domain analysis for method login() of the class DocProvider based on the transition test strategy.
There are 2 transitions involving method login(): a transition that originates from state Idle and arrives in state Connected, and a self transition that loops in state Idle. Based on the predicates associated with the elements of each transition, we identify the two prepost condition pairs associated to method login() as follows:
DocProvider::login(uid:string, pwd:string):true
pre1: predIdle( ) and predAccept( )
post1: predConnected( ) and predCreateSession( )
DocProvider::login(uid:string, pwd:string):false
```
pre2: predIdle( ) and not predAccept( ) post2: predIdle( )
```
Due to the object variables involved in the pre and post condition pairs, the object domain analysis technique is used for test case generation. Having replaced the predicates involved with their respective referenced expressions based on the rules mentioned previously, we obtain the following expressions:
```
∀ dp: DocProvider, ∃ sp ∈ dp.securityDirectory, owner: Person pre1 = (dp.mode = = true ∧ dp.connection = = false ) ∧ ~(dp.sp.owner.userid = uid ∧ dp.sp.owner.password = pwd) post1= (dp.mode = = true ∧ dp.connection = = true) ∧ (dp.sessions.size()' = dp.sessions.size()+1) ∀ dp: DocProvider, ∃ sp ∈ dp.securityDirectory, owner: Person pre2 = (dp.mode = = true ∧ dp.connection = = false ) ∧ (dp.sp.owner.userid = uid ∧ dp.sp.owner.password = pwd) post2= (dp.mode = = true ∧ dp.connection = = false)
```
where dp.securityDirectory is a set of SecurityProfiles and dp.owner is a Person object.
After that, we need to break the preconditions into DNF expressions, but, in this case, the preconditions are already in normal formal. Test cases can be defined by analyzing the domain of the object variables involved. The instances of these objects are first built based on the object decision tree, and then, our extended domain matrix technique is used to identify and organize the test cases. Table 1 from (a) to (d) shows the construction of the instances for objects Person, AccessRight, SecurityProfile and DocProvider, respectively. Table 2 shows the generated test cases for the pre-post condition pair 1 of the method login, and Table 3 shows the generated test cases for the pre-post condition pair 2 of the method login. We obtain in total eight potential test cases for both pre-post condition pairs. But only three of the eight test cases, which make the postcondition true (indicated by a "TRUE" in the Expect Results row), correspond to effective test cases. The remaining potential test cases falsify the preconditions, so we can't conclude anything after executing them.
Table 1(a): Instances For Class Person
Table 1 (b): Instances For Class AccessRight
Table 1 (c) Instances For Class SecurityProfile
Table 1 (d) Instances For Class DocProvider
Table 1: Construction of the Instances for Object Variables
Domain Matrix For method login() in Class DocProvider (for pre/post pair 1)
Table 2: Test Cases for the Pre and Post Condition Pair 1 of Method Login
Domain Matrix For method login() in Class DocProvider (for pre/post pair 2)
Table 3 Test Cases for the Pre and Post Condition Pair 2 of Method Login
5.5.2 Test Data Review
The review of test data consists of checking the expressions used to generate the test cases in the PrUDE tool. Although the test expressions look simple, they are still subject to errors. The role of the reviewer is to ensure their correctness with respect to their specification, i.e. the abstract specification.
The coverage criteria guiding the review are specification-based testing. For the transition test strategy, we define three coverage criteria, namely transition coverage, DNF coverage, and condition coverage.
- Transition coverage criterion is defined in terms of the state diagram of a class. At a minimum, a tester should test every transition in the state diagram at least once. Transition coverage is analogous to statement or branch coverage at the code level.
- Precondition coverage criterion requires that every DNF involved in a precondition be covered by at least one test case. A DNF consists of one or several elementary boolean conditions.
- DNF coverage criterion is based on the rationale that each condition should be tested independently without interference from other conditions. In order to achieve that, the test set must include at least one test case that makes all conditions true, and test cases that falsify each condition at least once.
5.5.3 Test Execution
After reviewing them, test data are used as basis for test execution. Test execution starts at the class level by testing the individual methods involved in the class. Individual methods are tested by creating an instance of the class and setting the test values (i.e. an initial state) using the reflection API. After calling the method on the modified instance, we get the new state of the object still using the reflection API, and then finally evaluate the post conditions.
The general approach to do so consists of writing test drivers or scripts. However, in our approach as mentioned earlier, the Java reflection mechanism is applied to directly modify and access object internal states. Also, this has been implemented in the PrUDE
toolkit for executing a Java program automatically. Figure 17 gives a snapshot of generated test data and test execution results for the test cases shown in Table 2 for method login.
6 Conclusion
Structured review is an effective way of finding certain types of deficiencies and bugs in programs, hence improving the level of dependability of software products significantly. We argue that the efficiency of structured reviews can be improved if combined with model-based and automated verification. On the other hand, formal verification techniques such as theorem-proving, supported with tools, are more practical than manual inspection for verification tasks related to well-formedness and validity checking. However, there are classes of correctness arguments such as optimality and robustness that cannot be fully mechanized, and for which structured review is more appropriate. This work builds on the strengths of the two techniques to develop an integrated development framework. We show how structured reviews and formal V&V can be combined effectively into a single development platform to complement one another. As argued in [2], the formalization process is one of the most time consuming aspect of using formal methods in system development. By defining formal semantics, and automatically generating formal specification from graphical semi-formal models, we considerably reduce the difficulties underlying the use of formal methods.
References
[1] I. Sommerville, Software Engineering, Addison-Wesley, 5th edition, 1996.
[2] S. Easterbrook, J. Callahan, and V. Wiels, "V&V through Inconsistency Tracking and Analysis," in the Proc. of International Work-shop on Software Specification and Design, Ise- Shima, Japan, April 16-18 1998.
[3] M. Lawford, P. Froebel, and G. Moum, "Practical Application of Functional and Relational
Methods for the Specification and Verification of Safety Critical Software," in the Proc. of Algebraic Methodology and Software Technology, 8 th International Conference, AMAST 2000, Iowa City, Iowa, USA, May 2000, T. Rus, Ed. 2000, vol. 1816 of Lecture Notes in Computer Science, pp. 73–88, Springer.
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[7] I. Traor´e, "An Outline of PVS Semantics for UML Statecharts," Journal of Universal Computer Science (J. UCS), vol. 6, no. 11, pp. 1088–1108, 2000.
[8] M. Belaid and I. Traor´e, "The Precise UML Development Environment (PrUDE) Reference Guide," Tech. Rep. ECE01-2, Department of Electrical and Computer Eng., University of Victoria,
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[9] S. Owre, N. Shankar, J. Rushby, and D. W. Stringer-Calvert, PVS Language Reference, version 2.3, Computer Science Laboratory, SRI International, Melon Park, CA, USA, September 1999.
[10] R. B. France, A. Evans, K. Lano and B. Rumpe, "The UML as a Formal Modeling Notation", Computer Standards & Interfaces, vol. 19, pp. 325–334, 1998.
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[16] P. Kruchten, the Rational Unified Process, Addison Wesley, Sept. 1999.
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Appendix
The PVS semantics generated for the statechart diagram in Figure 6 and the sequence diagram in Figure 4 are provided in the directory named appendix. The archive also contains the proof steps for the example properties checked in this report.
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Study of 630,000 patients unveils COVID-19 outcome disparities across racial/ethnic lines
18 March 2021
Credit: Unsplash/CC0 Public Domain
Researchers at Seattle's Institute for Systems Biology and their collaborators looked at the electronic health records of nearly 630,000 patients who were tested for SARS-CoV-2, and found stark disparities in COVID-19 outcomes—odds of infection, hospitalization, and inhospital mortality—between White and non-White minority racial and ethnic groups. The work was published in the journal Clinical Infectious Diseases.
The team looked at sociodemographic and clinical characteristics of patients who were part of the Providence healthcare system in Washington, Oregon and California. These patients had SARSCoV-2 tests administered between March 1 and December 31 of 2020.
Of the more than 570,000 patients with known race/ethnicity that were tested:
27.8 percent were non-White minorities
Nearly 55,000 patients tested positive, with minorities representing 50.1 percent
More than 8,500 patients were hospitalized and 1,246 died, with non-White groups representing 56.1 percent and 54.4 percent, respectively.
Hispanics represented 34 percent of infections, but only 13 percent of tests
The study's findings of racial and ethnic distributions of outcomes across the health system tracked with state-level statistics.
"All minority races/ethnicities faced increased odds of testing positive for SARS-CoV-2 and being hospitalized with COVID-19," said Chengzhen Dai, lead author of the study. "Hispanic patients also exhibited increased morbidity, and Hispanic race/ethnicity was associated with increased odds of in-hospital mortality."
Hispanics were generally younger than White patients and had higher rates of diabetes, but fewer other comorbidities. "The data show major outcome disparities especially among Hispanics, who tested positive at a higher rate, required excess hospitalization and mechanical ventilation, and had higher odds of in-hospital mortality despite younger age, suggesting Hispanic patients are arriving at the hospital with more advanced COVID-19," said Dr. Andrew Magis, corresponding author on the paper and Director of Data Science for ISB's Health Data Science Lab.
ISB, an affiliate of Providence, collaborated with the healthcare system to access and analyze the anonymized electronic health records of the large cohort.
"This project demonstrates the power of analyzing hundreds of thousands of healthcare records and is
1 / 2
Powered by TCPDF (www.tcpdf.org)
a great example of the ongoing multidisciplinary collaboration between ISB and Providence," said ISB Assistant Professor Dr. Jennifer Hadlock, senior author on the paper.
More information: Chengzhen L Dai et al, Characteristics and Factors Associated with COVID-19 Infection, Hospitalization, and Mortality Across Race and Ethnicity, Clinical Infectious Diseases (2021). DOI: 10.1093/cid/ciab154
Provided by Institute for Systems Biology
APA citation: Study of 630,000 patients unveils COVID-19 outcome disparities across racial/ethnic lines (2021, March 18) retrieved 20 June 2021 from https://medicalxpress.com/news/2021-03-patients-unveilscovid-outcome-disparities.html
This document is subject to copyright. Apart from any fair dealing for the purpose of private study or research, no part may be reproduced without the written permission. The content is provided for information purposes only.
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The Emmett City Council held a regular meeting at 501 E. Main Street, Emmett, Idaho.
Mayor Gordon Petrie called the meeting to order at 7:00 p.m.
Mayor Gordon Petrie led the Pledge of Allegiance
Al Cinnamon offered the Community Invocation
Council Present: Council President Michelle Welch, Councilman Shawn Alder, Councilman Gary Resinkin, Councilman Tona Henderson, Councilman Steve Nebeker and Councilman Mike Stout
Staff Present: Brian Sullivan, Curt Christensen, Alyce Kelley, Steve Kunka, Bruce Evans, Clint Seamons, Mike Knittel,
Public Present: Pattie Jo Edwards, 206 S. Hayes Ave.; Thomas Driscoll, 481 E. Idaho Blvd; Heidee Browne, 1437 Shady Lane; Al Cinnamon, 610 S. Hawthorne; Diana Baird, Messenger Index; Jody Harris, 418 N. Commercial Ave; Bill Foster, 418 N. Commercial Ave.
Amendments to the Agenda:
Amend Elected Officials Section: Request from Jake Sweeten to remove item C - City Council, item 3 – Monthly Department Reporting Form, as an action item and postpone to the next council meeting.
Councilman Mike Stout MADE A MOTION TO APPROVE THE AMENDED AGENDA WITH AN ADDITIONAL AMENDMENT, ITEM C 3 BE MOVED AS AN ACTION ITEM TO THE NEXT CITY MEETING IN FEBRUARY, SECONDED, 6 AYES, 0 NOES. Motion Carried.
Declarations of Conflict of Interest or Declaration of Council Members’ Discussion Outside an Open Meeting.
Councilman Stout declared after the last Council meeting, he had a discussion with the owner of the Chop House as well as Councilman Resinkin about the decision that was made in the Council meeting that night. Mayor Petrie indicated that that would not need to be declared as the decision was made in the Council meeting before they engaged in conversation.
CONSENT AGENDA:
A. Approval of Minutes – January 8, 2019
B. Approval of Permits - None
C. Approval of Water Charge Waivers – None
D. Approval of Accounts Payable
Councilman Nebeker made a MOTION TO ACCEPT THE CONSENT AGENDA AS PRESENTED, SECONDED, 6 AYES, 0 NOES. Motion Carried.
ELECTED OFFICIALS:
A. Mayor
1. Joint Planning Commission Appointment – Denise Sorenson –
Councilman Nebeker made a MOTION TO ACCEPT DENISE SORENSON TO THE JOINT PLANNING COMMISSION TO FILL THE REMAINING TERM OF TED FLEMING, SECONDED, 6 AYES, 0 NOES. Motion carried
2. Library Board Appointment – Patti Jo Edwards
Councilman Nebeker made a MOTION TO APPOINTMENT PATTY JO EDWARDS TO THE LIBRARY BOARD IN EMMETT FOR A FULL 5 YEAR TERM, SECONDED, 6 AYES, 0 NOES. Motion carried.
3. Recognition and Appreciation to Emmett Police Department – Heidee Browne, Carberry Elementary School
B. Announcements - none
C. City Council
1. Discussion of Airport Hanger Rates and Lease Agreements – Councilman Resinkin
Councilman Resinkin requested that all future hanger lease agreements be tabled for approval until a plan for increased fees can be established. Public Work Superintendent Bruce Evans stated that the data and information is currently being prepared and will be presented to Council in the near future for their consideration on rate changes. It was discussed that if it we want to go forward with an increase and if that increase is more than 5% of the current rate, a Public Hearing will need to be scheduled before the Council can approve the increase. Bruce will be prepared to present some information to the Council in the next Council meeting for more discussion.
2. Preliminary Budget Reporting Request Form – Councilman Stout
Councilman Stout found in his files a ten-year-old preliminary budget report. This document was shared with the other council members to see if they would consider using as a new format (template). Councilman Stout would like the department heads to compile their information using this format and present it a minimum of 2 weeks before the council starts the budget process. Mike Knittel asked for clarification on what information is specifically expected on the preliminary budget such as bul-pointed explanations of the budget spreadsheet (ie. changes that may be seen on the budget). Councilman Stout MADE A MOTION TO CREATE A PELIMINARY BUDGET BEFORE WE START THE BUDGET PROCESS, SECONDED, Discussion: Mike Knittel asked the Council to be specific on what is wanted, outlined and detailed in the “preliminary budget”. More discussion was had on this issue and it was suggested that the department heads provide a separate one-page summary and define any changes/increases in the new requested budget. 6 AYES, 0 NOES. Motion Carried.
Non-Consent Agenda
BUSINESS:
A. Approval of 2019 City Council Meeting Schedule – Lyleen Jerome, City Clerk
Councilman Henderson made a MOTION TO APPROVE THE 2019 CITY COUNCIL MEETING SCHEDULE AS PRESENTED, SECONDED, 6 AYES, 0 NOES, motion carried.
B. Approval of Quarterly Financial Statement – Lyleen Jerome, City Clerk presented the 4th Quarter Financials
Councilman Henderson made a MOTION TO APPROVE THE QUARTERLY FINANCIAL STATEMENTS FOR THE CITY CLERKS AS PRESENTED, SECONDED, 6 AYES, 0 NOES. Motion Carried.
C. 2019 Emmett Cruise – Approval of Road Closures – Thomas & Jennifer Driscoll with the assistance of Harry Granger who is representing the Lion’s Club. The organization is required to provide the necessary documentation of the volunteers. Chief Kunka presented a letter to the volunteers with a guideline of requirements necessary for the volunteers to follow in order to get approval for the road closures for Cruise Night. Councilman Steve Nebeker made a MOTION TO APPROVE THE CLOSURE OF THE STREETS ON THE 20TH OF JULY FOR CRUISE NIGHT FROM 5:30 PM TO 9:00 PM, SECONDED, 6 AYES, 0 NOES. Motion Carried.
D. Approval of Hangar Lease Agreement to Greg & Chris Barretto.
Councilman Stout made a MOTION TO CONTINUE ITEM 6D THE APPROVAL HANGAR LEASE TO GREG & CHRIS BARRETT AND 6E TO RAY BOLLINGER UNTIL THE NEXT CITY COUNCIL MEETING, SECOND, 6 AYES, 0 NOES. Motion Carried.
E. System Administration Staffing Request – Mike Knittel, Systems Administrator’s presentation explaining the need for funding an additional position in the System’s Administration Department: the need, how the department evolved, and the associated costs. Mike met with the City Clerk to determine what funds would be available to cover the costs for the remainder of the current budget year. The estimated total costs for the remainder of the budget year is $55,000. The actual transfer of money from the General Fund would not happen until the end of the budget year to cover the actual costs which could be lower than estimated. Future revenues are forecasted to support the increased costs for the future budget years. Having the “in house” administrative system is much more cost effective for the City verses contracting with outside vendors.
Councilman Henderson made a MOTION TO APPROVE APPROPRIATION UP TO $55,000 FROM THE GENERAL FUND SAVINGS TO COVER WAGE AND BENEFIT COSTS FOR THE NEW SYSTEMS ADMINISTRATION EMPLOYEE FOR THE REMAINDER OF FISCAL YEAR 2018/2019 starting February 1, 2019. SECONDED, 6 AYES, 0 NOES. Motion Carried.
REPORTS:
Building Official/City Planner – Brian Sullivan – No Report
City Clerk – Lyleen Jerome – Monthly Report Presented
Fire – Chief Curt Christensen – No Report
Library – Librarian Alyce Kelley – Report Presented
Emmett Police – Chief Steve Kunka – Report Presented
Superintendent of Public Works – Bruce Evans – No Report
System Administrator – Mike Knittel – Report Presented
Economic Development – Krista Cole, GCCC – Absent
Engineer – None
Councilman Alder MADE A MOTION TO ADJOURN, SECONDED, 6 AYES, 0 NOES. Motion Carried.
Meeting Adjourned at 8:42 p.m.
Mayor Gordon Petrie
Lyleen Jerome, City Clerk
February 7, 2019
RE: Moffatt Estates Minor Subdivision # 18-001
Mayor and City Council,
Staff has reviewed the referenced subdivision plat, Moffatt Estates Subdivision and recommends approval of the plat with site specific condition on page 3 being part of the approval.
Proposed Motion:
I would like to make a motion to approve Moffatt Estates Minor Subdivision, # 18-001, with the following conditions.
1. Comply with all Final Plat review comments.
2. All review fees from County Surveyor being paid prior to signing the Mylar.
3. Submit two (2) paper copies and 1 digital copy of the final plat to the Zoning department for review prior to printing the Mylar.
4. Final plat must be recorded within 1 year of written approval unless an extension is requested and granted by the City.
5. The applicant is to follow all recording requirements as outlined in ECC 10-2-4K.
6. Within ten (10) days of recording the final plat, new deeds and legal descriptions for lots 1-4 shall be prepared and recorded in Gem County Recorder’s Office.
Sincerely,
Brian Sullivan
Building / Zoning Administrator
1. APPLICATION SUMMARY & OVERVIEW
The applicant, Sawtooth Land Surveying, representing Anson Echols, filed an administrative lot split (instrument # 317161) to create two lots. To further divide the property, a minor subdivision application (combining the preliminary and final plat) was filed to create lots 1 and 2 of Moffatt Estates Subdivision. Lot 1 will be .323 acres, or 14,070 sq. ft., and lot 2 will be .319 acres or 13,896 sq. ft. The minimum lot size in the R-1, single-family residential zone is 6,000 sq. ft.
ECC 10-2-4, Sub-section “M” notes that a minor subdivision with no new roads or infrastructure with no more than four (4) building lots may obtain preliminary approval from the administrator. Final approval must be obtained from the city council. No public hearing is required for Final Plat applications and no notice was given (other than posting the meeting agenda).
Staff Recommendation: Staff finds that all procedural requirements of the Subdivision Ordinance have been met, including payment of the fees associated with the application. Staff recommends approval of the application.
2. APPLICATION & PROPERTY FACTS
A. Site Address/Location:
The subject property is located at 935 E. 7th Street, Emmett, ID. The property is located in Township 06N, Range 01W, Section 8, Boise Meridian, Gem County Idaho.
B. Current Owner(s):
AmeriChoice Custom Homes LLC
PO Box 462
Star, ID 83669
C. Applicant(s): Sawtooth Land Surveying, Fred Jones
D. Representative: Same
E. Present Zoning: R-1, Single-Family Residential
F. Present Comprehensive Plan Designation: Area of City Impact
3. APPLICATION PROCESS FACTS
A. Relevant Ordinances and Required Actions:
The subject application will in fact constitute a Combined Plat/Minor Subdivision application, as determined by Emmett City Code. The City Council must review and decide to either grant, grant with conditions, or deny the request.
4. LAND USE
A. Existing Land Use(s): Vacant Land
B. Description of Character of Surrounding Area: The immediate vicinity has single-family residential homes.
C. Adjacent Comprehensive Plan, Zoning and Land Use:
| | COMP PLAN DESIGNATION | ZONING DESIGNATION | LAND USE |
|----------------|-----------------------|-------------------------------------|---------------------------------|
| North of site | Area of City Impact | R1, Single-Family Residential | Single-family residential, vacant land. |
| South of site | Area of City Impact | R1, Single-Family Residential | Single-family residential |
| East of site | Area of City Impact | R1, Single-Family Residential | Single-family residential |
| West of site | Area of City Impact | R1, Single-Family Residential | Single-family residential |
D. Existing Site Characteristics:
The property is vacant land.
5. SITE SPECIFIC CONDITIONS OF APPROVAL (P&Z Dept.)
Moffatt Estates Subdivision– Minor Subdivision
1. The Final Plat stamp dated 1/8/19 by Sawtooth Land Surveying is approved with the following changes:
a. Applicant shall comply with all Final Plat review comments of the County Surveyor (if any) regarding the technical elements of the Final Plat drawing.
b. Review fees from the County Surveyor will need to be paid prior to signing the Mylar.
Revise the final plat (if needed) per the above comment and submit two (2) paper copies and one (1) digital copy to the Emmett P&Z Department for final review before preparing the Mylar copy for final signature.
2. Approval period: Final plat shall be filed with the county recorder within one year after written approval by the city, otherwise such approval shall become null and void unless prior to said expiration date an extension of time is applied for by the sub-divider and granted by the city council.
3. The applicant shall comply with all plat recording procedures outlined in ECC 10-2-4.K
4. Within ten (10) days of recording the final plat, the applicant shall prepare new deeds and legal descriptions for lots 1 and 2 and record said documents with the Gem County Recorder’s Office.
Moffatt Estates Subdivision Min 18-001
Located in NW 1/4 of the SW 1/4 and the SW 1/4 of the SW 1/4 of Section 8, T 6 N., R. 1 W., B.M.
City of Emmett, Gem County, Idaho
Southwest District Health Department 2019
Approvals
Approval of the City Council
I, the undersigned City Council member for the City of Emmett, do hereby certify that I have checked this subdivision plat and report it as complying with the State of Idaho Code, Title 40, Chapter 13, and Title 55, Chapter 13, relating to plats and surveys.
Date: 2019
Approval of County Surveyor
I, the undersigned Registered Land Surveyor for Gem County, Idaho do hereby certify that I have checked this subdivision plat and report it as complying with the State of Idaho Code, Title 40, Chapter 13, and Title 55, Chapter 13, relating to plats and surveys.
Date: 2019
Certificate of City Engineer
I, the undersigned City Engineer for the City of Emmett, do hereby certify that I have checked this subdivision plat and that the City of Emmett requirements regarding public facilities have been met.
Date: 2019
Certificate of County Assessor
I, the undersigned County Assessor, do hereby certify that the County of Gem, State of Idaho, do hereby state that this plat is acceptable for assessment purposes.
Date: 2019
Certificate of County Treasurer
I, the undersigned County Treasurer for the County of Gem, State of Idaho, do hereby certify that the property tax rate for the property described on this plat is $0.00 per $100 valuation. This plat is a tentative and not yet finalable. This certification will be recorded within thirty (30) days of certification.
Date: 2019
Certificate of County Recorder
Date: 2019
Signature: ___________________________ Date: ________________
Printed Name: ________________________ Title: ________________________
GEM COUNTY FINAL PLAT CHECKLIST
SUBDIVISION NAME: Moffatt Estates Minor Subdivision
SURVEYOR: City of Emmett
DATE SUBMITTED: 2/5/2019
☐ $120 plus $25 per lot No. of Lots: ______ Fee: -________ Amount Submitted: __________ -
Total Due: $0.00
☑ Revised Plat (hourly) No. of Hours: ______ Fee: $0.00 Total Due: T&M
_____ 18X27; ___________ 3 1/2" Left Margin; _____________ 1/2" Margin all others
_____ No Drafting or Certificate encroachment upon margins
_____ Scale acceptable to insure clarity
CERTIFICATES:
_____ OWNER
_____ Signatures (Reproducible ink)
_____ Public Street Dedication
_____ Acknowledgement
_____ Intent Statement
_____ Easement Reservation
_____ Private Road Reservation
_____ Water System (I.C. 50-1334)
_____ Sewer System (I.C. 50-1326)
_____ SURVEYOR
_____ HEALTH DISTRICT
_____ COUNTY TREASURER
_____ CITY
_____ Council
_____ P&Z
_____ Engineer
_____ COUNTY
_____ Commissioners
_____ Assessors
_____ Engineer
_____ HIGHWAY DISTRICT
_____ COUNTY SURVEYOR
PLAT SHOWS THE FOLLOWING:
_____ Street Widths and Courses
_____ Lot Numbers
_____ Lot Dimensions and Bearings
_____ Public Land Survey Corner Ties (2)
_____ Easements
_____ North Arrow
_____ Curve Table
_____ Point of Beginning
_____ Correct Size Monuments
_____ Addressing (I.C. 31-3805-Irrigation)
_____ Name, Book and Page No. of Adjacent Subdivision
or "Unplatted" Designated
_____ Name, Aliquot Part, Section, Township, Range,
Re-plat Subtitle and Date
_____ Street Names
_____ Block Numbers
_____ Vicinity Map
_____ Boundary Dimensions and Bearings
_____ CP & F Instrument Numbers
_____ Basis of Bearings
_____ Scale
_____ Line Table
_____ Legend and Monuments Symbols
_____ Public Streets Designated
_____ Private Streets Designated
CLOSURES
_____ Plat Description
REMARKS: (See Attachment)
ACCEPTED
2/6/19
Date
David R. Kinzer, P.E./P.L.S.
Gem County Surveyor
CORRECT/REVISE AND RESUBMIT
Date
David R. Kinzer, P.E./P.L.S.
Gem County Surveyor
*GEM COUNTY DEVELOPMENT SERVICES REVIEWED THE PLAT TO ENSURE IT CONFORMS TO VARIOUS COUNTY AND STATE REQUIREMENTS SUCH AS UNIQUE STREET NAMES, UNIQUE SUBDIVISION NAMES, ETC.
206126
February 7, 2019
RE: Sunny Acres Minor Subdivision # 18-002
Mayor and City Council,
Staff has reviewed the referenced subdivision plat, Sunny Acres Subdivision and recommends approval of the plat with site specific condition on page 3 being part of the approval.
Proposed Motion:
I would like to make a motion to approve Sunny Acres Minor Subdivision, # 18-002, with the following conditions.
1. Comply with all Final Plat review comments.
2. All review fees from County Surveyor being paid prior to signing the Mylar.
3. Submit two (2) paper copies and 1 digital copy of the final plat to the Zoning department for review prior to printing the Mylar.
4. Final plat must be recorded within 1 year of written approval unless an extension is requested and granted by the City.
5. The applicant is to follow all recording requirements as outlined in ECC 10-2-4K.
6. Within ten (10) days of recording the final plat, new deeds and legal descriptions for lots 1-4 shall be prepared and recorded in Gem County Recorder’s Office.
Sincerely,
Brian Sullivan
Building / Zoning Administrator
1. APPLICATION SUMMARY & OVERVIEW
Proposed is a four (4) lot minor subdivision of parcel # RP06N01W170601 owned by Sunbeam Acres LLC recently annexed into the city per Ordinance No. 317457 (effective January 1, 2019). The applicant, Sawtooth Land Surveying, representing Sunbeam Acres LLC, filed this application for a minor subdivision (combining the preliminary and final plat) to create Sunny Acres Subdivision. The lots will range in size from .659 acres to 2.177 acres. The minimum lot size in the R-1, single-family residential zone is 6,000 sq. ft., which lots 1-3 comply, and lot 4, the largest of the three, is R-3, multi-family residential with a minimum lot size of 8000 sq. ft. plus 800 sq. ft. per unit over 2.
ECC 10-2-4, Sub-section “M” notes that a minor subdivision with no new roads or infrastructure with no more than four (4) building lots may obtain preliminary approval from the administrator. Final approval must be obtained from the city council. No public hearing is required for Final Plat applications and no notice was given (other than posting the meeting agenda).
Staff Recommendation: Staff finds that all procedural requirements of the Subdivision Ordinance have been met.
met, including payment of the fees associated with the application. Staff recommends approval of the application.
2. APPLICATION & PROPERTY FACTS
A. Site Address/Location:
The subject property is located on E. 12th Street, Emmett, ID. The property is located in Township 06N, Range 01W, Section 17, Boise Meridian, Gem County Idaho.
B. Current Owner(s):
Sunbeam Acres LLC
3021 Gala Trail
Emmett, Idaho, 83617
C. Applicant(s): Sawtooth Land Surveying, Fred Jones
D. Representative: Same
E. Present Zoning: R-1, Single-Family Residential and R-3, multi-family residential.
F. Present Comprehensive Plan Designation: Area of City Impact
3. APPLICATION PROCESS FACTS
A. Relevant Ordinances and Required Actions:
The subject application will in fact constitute a Combined Plat/Minor Subdivision application, as determined by Emmett City Code. The City Council must review and decide to either grant, grant with conditions, or deny the request.
4. LAND USE
A. Existing Land Use(s): Vacant Land
B. Description of Character of Surrounding Area: The immediate vicinity has a single-family residential home to the north and east.
C. Adjacent Comprehensive Plan, Zoning and Land Use:
| | COMP PLAN DESIGNATION | ZONING DESIGNATION | LAND USE |
|----------------|--------------------------------|-------------------------------------|-----------------------------------------------|
| North of site | Area of City Impact | A-2, Rural Transitional Ag. – County | Residence with farm land |
| | | R-1, Single-Family Residential, City| Residential Subdivision, Gem Park Estates |
| South of site | Mixed Planned Development | MX, Mixed Use | Vacant pasture, storage units |
| East of site | Mixed Planned Development | A-2, Rural Transitional Ag. | Single-family residential |
| West of site | Mixed Planned Development | A-2, Rural Transitional Ag. | Vacant pasture |
D. Existing Site Characteristics: The property is vacant land.
E. Streets and/or Access Information: Parcel has access to 12th Street.
5. SITE SPECIFIC CONDITIONS OF APPROVAL (P&Z Dept.)
1. The Final Plat stamp dated 2/2019 by Sawtooth Land Surveying is approved with the following changes:
a. Applicant shall comply with all Final Plat review comments of the County Surveyor (if any) regarding the technical elements of the Final Plat drawing.
b. Review fees from the County Surveyor will need to be paid prior to signing the Mylar.
Revise the final plat (if needed) per the above comment and submit two (2) paper copies and one (1) digital copy to the Emmett P&Z Department for final review before preparing the Mylar copy for final signature.
2. Approval period: Final plat shall be filed with the county recorder within one year after written approval by the city, otherwise such approval shall become null and void unless prior to said expiration date an extension of time is applied for by the sub-divider and granted by the city council.
3. The applicant shall comply with all plat recording procedures outlined in ECC 10-2-4.K
4. Within ten (10) days of recording the final plat, the applicant shall prepare new deeds and legal descriptions for lots 1 thru 4 and record said documents with the Gem County Recorder’s Office.
SUNNY ACRES SUBDIVISION MIN-18-002
LOCATED IN THE NE 1/4 OF SECTION 17,
T. 6 N., R. 1 W., B.M., CITY OF EMMETT, GEM COUNTY, IDAHO
2019
SOUTHWEST DISTRICT HEALTH DEPARTMENT
SANITARY RESTRICTIONS AS REQUIRED BY IDAHO CODE, TITLE 50, CHAPTER 13 ARE IN FORCE AND OWNER SHALL
NOT CONSTRUCT ANY BUILDING OR STRUCTURE OR ENGAGE IN ANY BUSINESS OR OTHER ON SITE
ACTIVITIES UNLESS PERMITS ISSUED AND REQUESTED SANITARY RESTRICTIONS ARE SATISFIED.
SOUTHWEST DISTRICT HEALTH DEPARTMENT DNS
DATE
APPROVAL OF THE CITY COUNCIL
I, THE UNDERSIGNING CITY CLERK AND FOR THE CITY OF EMMETT, GEM COUNTY, IDAHO, DO HEREBY STATE THAT I HAVE
HEARD THE REPORT OF THE CITY ENGINEER AND THE CERTIFICATE OF THE CITY ENGINEER AND THE CERTIFICATE
OF THE CITY TREASURER AND THE CERTIFICATE OF THE COUNTY ASSESSOR AND THE CERTIFICATE OF THE
COUNTY RECORDER AND THE CERTIFICATE OF THE COUNTY SURVEYOR AND THE CERTIFICATE OF THE
COUNTY TREASURER AND THE CERTIFICATE OF THE CITY COUNCIL HELD ON THE ______ DAY OF
__________, 2019, WHICH APPEARS AS HEREIN PROVIDED.
MAYOR ___________________________ DATE ________________
CITY CLERK ___________________________ DATE ________________
CERTIFICATE OF COUNTY SURVEYOR
THE UNDERSIGNING PROFESSIONAL LAND SURVEYOR FOR GEM COUNTY, IDAHO, DO HEREBY STATE THAT I HAVE
PERFORMED A SURVEY OF THE PROPERTY LOCATED AT THE SITE OF THE SUBDIVISION AND THAT THE
TITLE 50, CHAPTER 13 AND TITLE 88, CHAPTER 18, RELATING TO PLATS AND BURGERS
APPLICABLE TO THE PROPERTY HAS BEEN COMPLIED WITH.
DAVID D. KUNKEL PLSNG # 2899
DATE ________________
CITY OF EMMETT ENGINEER
____________________________________ DATE ________________
CERTIFICATE OF CITY ENGINEER
I, THE UNDERSIGNING CITY ENGINEER AND FOR THE CITY OF EMMETT, GEM COUNTY, IDAHO, DO
HEREBY CERTIFY THAT I HAVE REVIEWED THIS FINAL PLAT AND THAT THE CITY OF EMMETT
REQUIREMENTS REGARDING PLATS AND BURGERS HAVE BEEN MET.
____________________________________ DATE ________________
CERTIFICATE OF COUNTY ASSESSOR
I, THE UNDERSIGNING COUNTY ASSESSOR, WOULD FOR THE COUNTY OF GEM COUNTY, IDAHO,
DO HEREBY STATE THAT THESE PLATINGS ARE ACCEPTABLE FOR ASSESSMENT PURPOSES.
____________________________________ DATE ________________
GEM COUNTY ASSESSOR
CERTIFICATE OF COUNTY TREASURER
I, THE UNDERSIGNING COUNTY TREASURER, WOULD FOR THE COUNTY OF GEM COUNTY, IDAHO,
STATE THAT THE TAX VALUE OF ALL IMPROVEMENTS AND THE PROPERTY TAX VALUE OF THE
IMPROVEMENTS AS SHOWN HEREIN ON PAGE 10 AND PAGE 11 THROUGH THE
PROPERTY TAX MAP IS CORRECT AND THAT THE PROPERTY TAX VALUE OF THE
PROPERTY AS SHOWN HEREIN ON THE PROPERTY TAX MAP IS CORRECT AND IS
RECORDED WITHIN THIRTY (30) DAYS OF CERTIFICATION.
____________________________________ DATE ________________
GEM COUNTY TREASURER
CERTIFICATE OF COUNTY RECORDER
____________________________________ DATE ________________
NOT TO SCALE
PROPERTY MAP
# GEM COUNTY FINAL PLAT CHECKLIST
**SUBDIVISION NAME:** Sunny Acres Minor Subdivision
**SURVEYOR:** City of Emmett
**DATE SUBMITTED:** 2/5/2019
- $120 plus $25 per lot: No. of Lots: - Fee: - Amount Submitted: -
- Revised Plat (hourly): No. of Hours: - Fee: $0.00 Total Due: T&M
- 18X27; 3 1/2" Left Margin; 1/2" Margin all others
- No Drafting or Certificate encroachment upon margins
- Scale acceptable to insure clarity
### CERTIFICATES:
- OWNER
- Signatures (Reproducible ink)
- Public Street Dedication
- Acknowledgement
- Intent Statement
- Easement Reservation
- Private Road Reservation
- Water System (I.C. 50-1334)
- Sewer System (I.C. 50-1326)
- CITY
- Council
- P&Z
- Engineer
- COUNTY
- Commissioners
- Assessors
- Engineer
- SURVEYOR
- HEALTH DISTRICT
- COUNTY TREASURER
- HIGHWAY DISTRICT
- COUNTY SURVEYOR
### PLAT SHOWS THE FOLLOWING:
- Street Widths and Courses
- Lot Numbers
- Lot Dimensions and Bearings
- Public Land Survey Corner Ties (2)
- Easements
- North Arrow
- Curve Table
- Point of Beginning
- Correct Size Monuments
- Addressing (I.C. 31-3805-Irrigation)
- Name, Book and Page No. of Adjacent Subdivision or "Unplatted" Designated
- Name, Aliquot Part, Section, Township, Range, Re-plat Subtitle and Date
- Street Names
- Block Numbers
- Vicinity Map
- Boundary Dimensions and Bearings
- CP & F Instrument Numbers
- Bases of Bearings
- Scale
- Line Table
- Legend and Monuments Symbols
- Public Streets Designated
- Private Streets Designated
### CLOSURES
- Plat Description
### REMARKS:
(See Attachment)
---
**ACCEPTED**
Date: 2/6/19
David R. Kinzer, P.E./P.L.S.
Gem County Surveyor
**CORRECT/REVISE AND RESUBMIT**
Date
David R. Kinzer, P.E./P.L.S.
Gem County Surveyor
*GEM COUNTY DEVELOPMENT SERVICES REVIEWED THE PLAT TO ENSURE IT CONFORMS TO VARIOUS COUNTY AND STATE REQUIREMENTS SUCH AS UNIQUE STREET NAMES, UNIQUE SUBDIVISION NAMES, ETC.*
February 7, 2019
RE: City of Emmett Parking Lot
Mayor and City Council,
Staff would like to discuss the auction of the parking lot behind True Valley.
Proposed Motion:
I would like to make a motion to dispose of the parking lot behind True Valley by the following means:
1. Hire Heath Auction Co. and Realtor Matt Heath to dispose of the parking lot by public auction for a minimum bid of $20,000.00.
OR
2. Hire Heath Auction Co. solely to dispose of the parking lot by public auction for a minimum bid of $20,000.00.
OR
3. City of Emmett staff will auction off the parking lot in the lobby of City Hall with a minimum bid of $20,000.00.
Sincerely,
Brian Sullivan
Building / Zoning Administrator
Agency Disclosure Brochure
A Consumer Guide to Understanding Agency Relationships in Real Estate Transactions
Duties owed to Idaho consumers by a real estate brokerage and its licensees are defined in the “Idaho Real Estate Brokerage Representation Act.” Idaho Code 54-2082 through 54-2097.
This informational brochure is published by the Idaho Real Estate Commission.
Effective July 1, 2018
Right Now You Are a Customer
Idaho law says a real estate brokerage and its licensees owe the following “Customer” duties to all consumers in real estate transactions:
- Perform necessary and customary acts to assist you in the purchase or sale of real estate;
- Perform these acts with honesty, good faith, reasonable skill and care;
- Properly account for money or property you place in the care and responsibility of the brokerage; and
- Disclose “adverse material facts” which the licensee knows or reasonably should have known. These are facts that would significantly affect the desirability or value of the property to a reasonable person, or facts establishing a reasonable belief that one of the parties cannot, or does not intend to, complete obligations under the contract.
If you are a Customer, a real estate licensee is not required to promote your best interests or keep your bargaining information confidential. If you use the services of a licensee and brokerage without a written Representation (Agency) Agreement, you will remain a Customer throughout the transaction.
A Compensation Agreement is a written contract that requires you to pay a fee for a specific service provided by a brokerage, and it is not the same as a Representation Agreement. If you sign a Compensation Agreement, you are still a Customer, but the brokerage and its licensees owe one additional duty:
- Be available to receive and present written offers and counter-offers to you or from you.
You May Become a Client
If you want a licensee and brokerage to promote your best interests in a transaction, you can become a “Client” by signing a Buyer or Seller Representation (Agency) Agreement. A brokerage and its licensees will owe you the following Client duties, which are greater than the duties owed to a Customer:
- Perform the terms of the written agreement;
- Exercise reasonable skill and care;
- Promote your best interests in good faith, honesty, and fair dealing;
- Maintain the confidentiality of your information, including bargaining information, even after the representation has ended;
- Properly account for money or property you place in the care and responsibility of the brokerage;
- Find a property for you or a buyer for your property, and assist you in negotiating an acceptable price and other terms and conditions for the transaction;
- Disclose all “adverse material facts” which the licensee knows or reasonably should have known, as defined above; and
- Be available to receive and present written offers and counter-offers to you or from you.
The above Customer or Client duties are required by law, and a licensee cannot agree with you to modify or eliminate any of them.
A “Sold” price of property is not confidential client information, for either buyers or sellers, and may be disclosed by a licensee.
If you have any questions about the information in this brochure, contact:
Idaho Real Estate Commission
(208) 334-3285
irec.idaho.gov
Agency Representation (Single Agency)
Under "Agency Representation" (sometimes referred to as "Single Agency"), you are a Client and the licensee is your Agent who represents you, and only you, in your real estate transaction. The entire brokerage is obligated to promote your best interests. No licensee in the brokerage is allowed to represent the other party to the transaction.
If you are a seller, your Agent will seek a buyer to purchase your property at a price and under terms and conditions acceptable to you, and assist with your negotiations. If you request it in writing, your Agent will seek reasonable proof of a prospective purchaser's financial ability to complete your transaction.
If you are a buyer, your Agent will seek a property for you to purchase at an acceptable price and terms, and assist with your negotiations. Your Agent will also advise you to consult with appropriate professionals, such as inspectors, attorneys, and tax advisors. If disclosed to all parties in writing, a brokerage may also represent other buyers who wish to make offers on the same property you are interested in purchasing.
Limited Dual Agency
"Limited Dual Agency" means the brokerage and its licensees represent both the buyer and the seller as Clients in the same transaction. The brokerage must have both the buyer's and seller's consent to represent both parties under Limited Dual Agency. You might choose Limited Dual Agency because you want to purchase a property listed by the same brokerage, or because the same brokerage knows of a buyer for your property. There are two kinds of Limited Dual Agency:
Without Assigned Agents
The brokerage and its licensees are Agents for both Clients equally and cannot advocate on behalf of one client over the other. None of the licensees at the brokerage can disclose confidential client information about either Client. The brokerage must otherwise promote the non-conflicting interests of both Clients, perform the terms of the Buyer and Seller Representation Agreements with skill and care, and other duties required by law.
With Assigned Agents
The Designated Broker may assign individual licensees within the brokerage ("Assigned Agents") to act solely on behalf of each Client. An assigned Agent has a duty to promote the Client's best interests, even if your interests conflict with the interests of the other Client, including negotiating a price. An Assigned Agent must maintain the Client's confidential information. The Designated Broker is always a Limited Dual Agent for both Clients and ensures the Assigned Agents fulfill their duties to their respective clients.
What to Look For in Any Written Agreement with a Brokerage
A Buyer or Seller Representation Agreement or Compensation Agreement should answer these questions:
- How will the brokerage get paid?
- When will this agreement expire?
- What happens to this agreement when a transaction is completed?
- Can I cancel this agreement, and if so, how?
- Can I work with other brokerages during the time of my agreement?
- What happens if I buy or sell on my own?
- Under an Agency Representation Agreement, am I willing to allow the brokerage to represent both the other party and me in a real estate transaction?
Real Estate Licensees Are Not Inspectors
Unless you and a licensee agree in writing, a brokerage and its licensees are not required to conduct an independent inspection of a property or verify the accuracy or completeness of any statements or representations made regarding a property. To learn about the condition of a property, you should obtain the advice of an appropriate professional, such as a home inspector, engineer or surveyor.
Audio/Video Surveillance
Use caution when discussing anything while viewing a property; audio or video surveillance equipment could be in use on listed properties.
If you sign a Representation Agreement or Compensation Agreement with a licensee, the contract is actually between you and the licensee’s brokerage. The Designated Broker is the only person authorized to modify or cancel a brokerage contract.
The licensee who gave you this brochure is licensed with:
Name of Brokerage: Evans Realty, L.L.C. Phone: 208-365-4495
RECEIPT ACKNOWLEDGED
By signing below, you acknowledge only that a licensee gave you a copy of this Agency Disclosure Brochure. This document is not a contract, and signing it does not obligate you to anything.
Signature ___________________________________________ Date ________________
City of Emmett
Signature ___________________________________________ Date ________________
DATE: 01/28/2019
AGENT: Matt Heath
Acting as Agent for the Broker
1. SELLER: Teena Turner, Broker of Evans Realty, L.L.C.
City of Emmett
retains Broker as SELLER’S exclusive Broker to sell, lease, or exchange the property described below, (hereafter “Property”), on the terms stated herein or on other terms agreed to in writing by SELLER in future negotiations with any BUYER. SELLER retains BROKER and grants to BROKER the exclusive right to represent SELLER, where the SELLER is represented by only one broker for the duration stated herein and for the express purpose of representing SELLER in the sale, lease or exchange of the Property. Further, SELLER agrees, warrants and acknowledges that SELLER has not and shall not enter into any seller representation agreement with another broker to sell, lease or exchange the Property during the effective term of this agreement. SELLER agrees to indemnify and hold the above-listed Broker harmless from any claim brought by any other broker or real estate salesperson for compensation claimed for assisting SELLER during the duration of this agreement. By appointing Broker as SELLER’S exclusive real estate broker, SELLER agrees to conduct all negotiations to sell the Property through Broker, and to refer to Broker all inquiries or leads received in any form from real estate brokers, salespersons, prospective buyers, or any other source, during the time this Exclusive Seller Representation Agreement is in effect.
2. PROPERTY ADDRESS AND/OR LEGAL DESCRIPTION. The property address and/or the complete legal description of the property are as set forth below.
Address: Emmett, Idaho 83617
County: Gem
Legal and/or Property Description:
or ☑ Legal and/or Property Description Attached as exhibit A. (Exhibit must accompany this agreement and be signed or initialed by SELLER.)
3. TERM OF AGREEMENT. The term of this Agreement shall commence on ________________________ and shall expire at 11:59 p.m. on ________________________ unless renewed or extended. If the SELLER accepts an offer to purchase or exchange, the terms of this Agreement shall be extended through the closing of the transaction.
4. PRICE. SELLER agrees to sell the Property for a total price of $_____________________________ DOLLARS
5. FINANCING. SELLER agrees to consider the following types of financing: (Complete all applicable provisions).
☐ FHA ☐ VA ☐ CONVENTIONAL ☐ IHHFA ☐ RURAL DEVELOPMENT ☐ Exchange
☑ Cash ☐ Cash to existing loan(s) ☐ Assumption of existing loan(s)
☐ SELLER will carry contract and accept a minimum down payment of $___________ 0 __________ and an acceptable secured note for the balance to be paid as follows:
__________________________________________________________________________________________________________
Other acceptable terms
__________________________________________________________________________________________________________
6. BROKERAGE FEE.
(A) If Broker or any person, including SELLER, procures a purchaser ready, willing and able to purchase, transfer or exchange the Property on the terms stated herein or on any other price and terms agreed to in writing, the SELLER agrees to pay a total brokerage fee of _______ 6 % of the contract or purchase price OR $_______ 0 ____. Of this total brokerage fee, _______ 3 % of the contract purchase price OR $_______ 0 ____ will be shared with the cooperating brokerage unless otherwise agreed to in writing. The fee shall be paid in cash at closing and deducted from the seller’s proceeds on the settlement statement unless otherwise designated by the Broker in writing.
(B) If Broker procures a lessee ready, willing and able to lease the Property on the terms stated herein, or on any other price and terms agreed to in writing, the SELLER agrees to pay a total brokerage fee of the greater of: _______ 0 % of the total base rent OR _______ 0 _____ month’s rent OR a one-time flat fee of $_______ 0 ____. Of this total brokerage fee, _______ 0 % of the total base rent OR _______ 0 _____ month’s rent OR a one-time fiat fee of $_______ 0 ____ will be shared with the cooperating brokerage unless otherwise agreed to in writing. Any applicable fiat fee shall be paid in cash upon execution of the lease agreement unless otherwise designated by the Broker in writing. Base rent is defined as the specific minimum rent owed by lessee to SELLER each month. In addition, if the lease is a ‘lease to own’ contract, or if the lessee exercises an option to purchase under the lease, then in addition to the terms specified in this section (b), Broker shall also be entitled to the brokerage fee enumerated in section (a) above.
(C) Further, the brokerage fee is payable if the Property or any portion thereof or any interest therein is, directly or indirectly, sold, exchanged or optioned or agreed to be sold, exchanged or optioned within _______ calendar days (ninety [90] if left blank) following expiration of the term hereof to any person who has examined, been introduced to or been shown the Property during the term hereof, unless SELLER enters into a Seller Representation Agreement to market said Property with another Broker.
(D) This is a contract for a specific term. In the event SELLER breaches this representation agreement by terminating it prior to its expiration, said termination shall be deemed to be wrongful interference which prevented Broker from performing Broker’s duties hereunder.
SELLER’S Initials (_____) (_____) Date: ________________________
and as a special condition of this agreement SELLER shall be liable to Broker for a cancellation fee equal to ______1______% of the PRICE enumerated in Section 4 above or $________0________. This cancellation fee is only available if Broker is not compensated under Sections 6A or 6B above. This fee shall be the minimum amount owed to Broker as SELLER may be liable for further payment to Broker if Broker becomes obligated to pay third parties, including but not limited to commissions owed to Buyer's agents if SELLER was under contract at the time of breach.
7. ADDITIONAL FEES: 0
8. INCLUDED ITEMS. SELLER agrees to leave with the premises all seller-owned attached floor coverings, television wall mounts, satellite dish, attached plumbing, bathroom and lighting fixtures, window screens, screen doors, storm doors, storm windows, window coverings, garage door opener(s) and transmitter(s), exterior trees, plants or shrubbery, water heating apparatus and fixtures, attached fireplace equipment, awnings, ventilating, cooling and heating systems, all ranges, ovens, built-in dishwashers, fuel tanks and irrigation fixtures and equipment, if any, that are appurtenant thereto that are now on or used in connection with the premises and shall be included in the sale unless otherwise provided herein.
Also included: 0
9. EXCLUDED ITEMS: 0
10. FARM/CROPS/TIMBER RIGHTS: SELLER, or any tenant of SELLER, shall be allowed to harvest, sell or assign any annual crops which have been planted on the PROPERTY prior to the date of a purchase and sale agreement, even though said harvest time may occur subsequent thereto, unless otherwise agreed to in writing. If the crop consists of timber, then neither SELLER nor any tenant of SELLERS shall have any right to harvest the timber unless the right to remove same shall be established in writing. Notwithstanding the provisions hereof, any tenant who shall be leasing the PROPERTY shall be allowed to complete the harvest of any annual crops that have been planted prior to the date of Contract Acceptance as previously agreed between SELLER and Tenant. ANY AND ALL SUCH TENANT AGREEMENTS ARE TO BE ATTACHED TO THE PURCHASE AND SALE AGREEMENT.
11. WATER & MINERAL RIGHTS: Any and all mineral rights appurtenant to the PROPERTY are included in and are part of the sale of this PROPERTY, and are not leased or encumbered, unless otherwise disclosed by the SELLER in writing. Any and all water rights including but not limited to water systems, wells, springs, lakes, streams, ponds, rivers, ditches, ditch rights, and the like, if any, appurtenant to the PROPERTY are included in and are a part of the sale of this PROPERTY unless otherwise agreed to by the parties in writing.
12. TITLE AND EXISTING ENCUMBRANCES. Title to the Property is to be conveyed by Warranty Deed unless otherwise provided herein, and is to be marketable and insurable except for rights reserved in federal patents, federal, state or railroad deeds, building or use restrictions, building and/or zoning regulations and ordinances of any governmental entity, and rights of way and easements established or of record. The individual executing this Agreement warrant and represents that said individual either owns the Property or has full power and right to enter into this Agreement and to sell and convey the Property on behalf of the SELLER and that to the best of said individual's knowledge the Property is in compliance with all applicable building and zoning regulations and with any applicable covenants and restrictions affecting the Property except:
The SELLER agrees to provide good and marketable title to the Property at the time of closing. The Property is currently encumbered by the following liens: ☒None ☐1st Mortgage ☐2nd Mortgage ☐Home Equity Loan ☐Other______________________________
If encumbered, the loan payments are current ☐yes ☐no; If no, the Property ☐is ☐is not currently under foreclosure proceedings. If Property is currently or becomes involved in foreclosure proceedings, Idaho law requires certain additional disclosures to be provided in a separate form and affixed to the Purchase and Sale Agreement. Foreclosure means that a trustee or beneficiary has filed a notice of default in the county where the Property identified in Section 2 is situated and in addition to any statements required by Idaho law, the notice also states that trustee or beneficiary has elected to sell the Property to satisfy the obligation.
SELLER is aware that some loans have a recapture provision or prepayment penalty and SELLER may be required to pay additional funds to satisfy such recapture or penalty.
13. MULTIPLE LISTING SERVICE AUTHORIZATION. (Name of MLS) ___________________________ IMLS ___________________________
By initialing this line, it is understood that Broker is a member of the above MLS. SELLER authorizes and directs Broker to offer to cooperate with and compensate other Brokers, and to submit a Property Data Sheet and any authorized
SELLER'S Initials (_____) (_____) Date: ___________________________
changes to MLS as required in the Rules and Regulations of the above MLS. SELLER understands and agrees that any MLS information regarding the above Property will be made available to Buyer's Agents and/or Dual Agents. SELLER acknowledges that pursuant to Idaho Code §54-2083(6)(d), a "sold" price of real property is not confidential client information.
14. LOCKBOX AUTHORIZATION.
By initialing this line, SELLER directs that a lockbox containing a key which gives MLS Keyholders access to the Property shall be placed on any building located on the Property. SELLER authorizes MLS Keyholders to enter said Property to inspect or show the same. SELLER agrees to hold Broker harmless from any liability or loss.
15. AVM AND BLOGGING AUTHORIZATION.
SELLER ☐ does ☑ does not agree to allow for Automated Valuation Model (AVM).
SELLER ☐ does ☑ does not agree to allow blogging and or consumer comments.
16. ADVERTISING AUTHORIZATION.
SELLER ☐ does ☑ does not agree to allow listing documents and information to be displayed on the Internet.
SELLER ☐ does ☑ does not agree to allow address to be displayed on Internet.
SELLER ☐ does ☑ does not agree to allow Broker to advertise said Property in print media.
SELLER ☐ does ☑ does not agree to allow Broker to advertise said Property in other advertising media.
SELLER ☐ does ☑ does not agree to allow Broker to place the Broker's sign on Property.
17. SELLER'S PROPERTY DISCLOSURE FORM. If required by Title 55, Chapter 25 Idaho Code, SELLER shall within ten (10) calendar days after execution of a Purchase and Sale Agreement provide to Buyer "Seller's Property Disclosure Form" and Buyer shall have three (3) business days from receipt of the disclosure report to rescind the offer in a written signed and dated document delivered to the SELLER or the SELLER'S Agents. Buyer rescission must be based on a specific written objection to a disclosure made in the Seller's Property Disclosure Form.
18. LEAD BASED PAINT DISCLOSURE. SELLER has been advised of disclosure obligations regarding lead-based paint and lead-based paint hazards in the event Property is a defined "Target Housing" under Federal Regulations. The term lead-based paint hazard is intended to identify lead-based paint and all residential lead-containing dusts and soils regardless of the source of lead. Said Property ☐ is ☑ is not "Target Housing". If yes, SELLER agrees to sign and complete the Information Disclosure and Acknowledgment Form provided and deliver to my agent all records, test reports or other information related to the presence of lead-based paint or lead-based paint hazards, if any. Additionally, if any structure was built before 1978 and is a residential home, apartment or child-occupied facility such as a school or day-care center, federal law requires contractors that disturb lead-based paint in that structure to provide the owner with a "Renovate Right" pamphlet. The contractor shall be certified and follow specific work practices to prevent lead contamination.
19. TRANSACTION RELATED SERVICES DISCLAIMER: SELLER understands that Broker is qualified to advise SELLER on general matters concerning real estate, but may not offer legal or accounting advice and is not an expert in matters of law, tax, financing, surveying, structural conditions, property inspections, water rights, mineral rights, hazardous materials, or engineering. SELLER acknowledges that Broker advises SELLER to seek expert assistance for advice on such matters. The Broker or Broker's agents may, during the course of the transaction, identify individuals or entities who perform services including BUT NOT LIMITED TO the following: home inspections, service contracts, appraisals, environmental assessment inspection, code compliance inspection, title insurance, closing and escrow services, loans and refinancing services, construction and repair, legal and accounting services, and/or surveys. SELLER understands that the identification of service providers is solely for SELLER'S convenience and that the Broker and their agents are not guaranteeing or assuring that the service provider will perform its duties in accordance with SELLER'S expectations. SELLER has the right to make arrangements with any entity SELLER chooses to provide these services. SELLER hereby releases and holds harmless the Broker and Broker's agents from any claims by SELLER that service providers breached their agreement, were negligent, misrepresented information, or otherwise failed to perform in accordance with SELLER'S expectations. In the event SELLER requests Broker to obtain any products or services from outside sources, SELLER agrees to pay for them immediately when payment is due. For example: surveys or engineering, environmental and/or soil tests, title reports, home or property inspections, appraisals, etc.
20. CONSENT TO LIMITED DUAL REPRESENTATION AND ASSIGNED AGENCY: The undersigned SELLER has received, read and understand the Agency Disclosure Brochure prepared by the Idaho Real Estate Commission. The undersigned SELLER understands that the brokerage involved in this transaction may be providing agency representation to both SELLER and Buyer. The undersigned SELLER each understands that, as an agent for both SELLER/client and Buyer/client, a brokerage will be a limited dual agent of each client and cannot advocate on behalf of one client over another, and cannot legally disclose to either client certain confidential client information concerning price negotiations, terms or factors motivating Buyer/client to buy or SELLER/client to sell without specific written permission of the client to whom the information pertains. The specific duties, obligations and limitations of a limited dual agent are contained in the Agency Disclosure Brochure as required by Section 54-2085, Idaho Code. The undersigned SELLER understands that a limited dual agent does not have a duty of undivided loyalty to either client.
SELLER'S Initials ( ) ( ) Date:
This form is printed and distributed by the Idaho Association of REALTORS® Inc. This form has been designed and is provided for use by the real estate professionals who are members of the Idaho Association of REALTORS®. USE BY ANY OTHER PERSON IS PROHIBITED. ©Copyright Idaho Association of REALTORS®, Inc. All rights reserved.
The undersigned SELLER further acknowledge that, to the extent the brokerage firm offers assigned agency as a type of agency representation, individual sales associates may be assigned to represent each client to act solely on behalf of the client consistent with applicable duties set forth in Section 54-2087, Idaho Code. In an assigned agency situation, the designated broker (the broker who supervises the sales associates) will remain a limited dual agent of the client and shall have the duty to supervise the assigned agents in the fulfillment of their duties to their respective clients, to refrain from advocating on behalf of any one client over another, and to refrain from disclosing or using, without permission, confidential information of any other client with whom the brokerage has an agency relationship.
21. **SELLER NOTIFICATION AND CONSENT TO RELEASE FROM CONFLICTING AGENCY DUTIES:** SELLER acknowledges that Broker as named above has disclosed the fact that at times Broker acts as agent(s) for other Buyers and for SELLERS in the sale of the Property. SELLER has been advised and understands that it may create a conflict of interest for Broker to introduce Buyers to SELLER Client's Property because Broker could not satisfy all of its Client duties to both Buyer Client and SELLER Client in connection with such a showing or any transaction which resulted. *Based on the understandings acknowledged, SELLER makes the following election:* (Make one selection only)
____ / ____
Initials
**Limited Dual Agency**
and/or
**Assigned Agency**
OR
____ / ____
Initials
**Single Agency**
SELLER does want Broker to introduce any interested Client of Broker to Client SELLER'S Property and hereby agrees to relieve Broker of conflicting agency duties, including the duty to disclose confidential information known to the Broker at that time and the duty of loyalty to either party. Relieved of all conflicting agency duties, Broker will act in an unbiased manner to assist the SELLER and Buyer in the introduction of Buyers to such SELLER Client's Property and in the preparation of any contract of sale which may result. SELLER authorizes Broker to act in a **limited dual agency** capacity. Further, SELLER agrees that Broker may offer, but is not obligated to offer, **assigned agency** representation, and if offered by the Broker, SELLER authorizes Broker to act in such capacity.
SELLER does not want Broker to introduce interested Buyer Clients to Client SELLER'S Property and hereby releases Broker from any responsibility or duty under the agency agreement to do so. Broker shall be under no obligation or duty to introduce the Buyer to any Client SELLER'S Property.
22. **OTHER POTENTIAL SELLERS AND BUYERS:** SELLER understands that other potential buyers may consider, make offers on, or purchase through Broker, the same or similar properties as SELLER is seeking to sell. SELLER also understands that other potential sellers may consider, receive offers on, or sell through Broker, the same or similar properties as SELLER is seeking to sell. SELLER consents to Broker's representation of such other potential buyers and sellers before, during, and after the expiration of this Agreement and further releases Broker of any conflicting Agency duties that may arise through said representation.
23. **INFORMATION WARRANTY.** SELLER warrants that all information provided by SELLER herein and hereafter will be true and correct. Unless specifically stated in writing, SELLER grants Broker the right to share with prospective BUYERS any documents provided to Broker and agrees said documents are not confidential. SELLER further and specifically affirms SELLER is authorized to share tenant information with Broker and authorizes Broker to share the same with prospective BUYERS.
24. **DEPOSIT.** Brokers are authorized to receive a deposit from any prospective purchaser who offers to purchase or exchange the Property and shall notify SELLER of the receipt of any such deposit. Acceptance of such deposit by a Broker shall not constitute SELLER'S acceptance of any such offer.
25. **COST REIMBURSEMENT:** If BUYER defaults in the performance of any purchase and sale agreement procured under this Agreement, and SELLER becomes entitled to Earnest Money, the holder of the Earnest Money shall pay out of the Earnest Money the costs incurred by SELLER'S Broker related to the transaction, including, without limitation, title insurance, escrow fees, appraisal, credit report fees, inspection fees and attorney fees. If SELLER elects to accept the Earnest Money as liquidated damages, the holder of the Earnest Money shall first pay from the Earnest Money the aforementioned costs incurred by SELLER'S Broker, and then pay any balance of the Earnest Money, one-half to SELLER and one-half to SELLER'S Broker, provided the amount to be paid to SELLER'S Broker shall not exceed the Broker's agreed-to commission. In the event SELLER defaults under any purchase and sale agreement procured under this Agreement, SELLER shall be liable to Broker for any costs incurred by SELLER's Broker related to this Agreement.
26. **EARNEST MONEY DISPUTE / INTERPLEADER:** Notwithstanding any termination or breach of this Agreement, BUYER and SELLER agree that in the event of any controversy regarding the Earnest Money and/or items of value held by Broker or closing agency, Broker may reasonably rely on the terms of this Agreement or other written documents signed by both parties to determine how to disburse the disputed money. However, Broker or closing agency shall not be required to take any action but may await any proceeding, or at Broker's or closing agency's option and sole discretion, may interplead all parties and deposit any moneys or things of value into a court of competent jurisdiction and shall recover all costs which were incurred as a result of the dispute including, but not limited to, reasonable attorney's fees. If either parties' Broker incurs attorney's fees as a result of any Earnest Money dispute, whether or not formal legal action is taken, said Broker is entitled to recover actual fees incurred from either BUYER or SELLER.
SELLER'S Initials (____) (____) Date: ___________________________
27. GENERAL PROVISIONS. In the event either party shall initiate any suit or action or appeal on any matter relating to this Agreement the defaulting party shall pay the prevailing party all damages and expenses resulting from the default, including all reasonable attorneys’ fees and all court costs, including fees and cost upon appeal, and other expenses incurred by the prevailing party. This Agreement is made in accordance with and shall be interpreted and governed by the laws of the State of Idaho. All rights and obligations of the parties hereunder shall be binding upon and inure to the benefit of their heirs, personal representatives, successors and assigns.
28. WIRE TRANSFER WARNING: Electronic means of transferring money (i.e. ETF, wire transfer, electronic check, direct deposit, etc…) are subject to sophisticated cyber fraud attacks. These attacks are even more prevalent in real estate transactions due to the large sums of money being exchanged. SELLER is advised that Brokerage will not provide electronic transfer instructions by e-mail. Following money transfer instructions contained in an email from any party is inherently dangerous and should be avoided. SELLER agree that if SELLER uses, or authorizes the use of, electronic transfer of funds in a transaction they hereby hold the Brokerages, their agents, and the designated title and escrow company harmless from any and all claims arising out of inaccurate transfer instructions, fraudulent interception of said funds and/or any other damage relating to the conduct of third parties influencing the transfer process or stealing funds.
29. NON-DISCRIMINATION. SELLER and Broker acknowledge that it is illegal to discriminate in the showing, sale or leasing of the Property on the basis of race, religion, color, sex, marital status, national origin, familial, or handicapped status of such person.
30. SINGULAR AND PLURAL terms each include the other, when appropriate.
31. TRANSMISSION OF DOCUMENTS. Facsimile or electronic transmission of any signed original document and retransmission of any signed facsimile or electronic transmission shall be the same as delivery of an original. At the request of either the BUYER or SELLER, or the lender, or the Closing Agency, the BUYER and SELLER will confirm facsimile or electronic transmitted signatures by signing an original document.
32. MERGER AND TIME: TIME IS OF THE ESSENCE IN THIS AGREEMENT The terms hereof, and any addendums or exhibits constitute the entire agreement and supersede all prior agreements, negotiations and discussions between parties. This agreement may be modified only by a written agreement signed by each of the parties.
33. SEVERABILITY: In the case that any one or more of the provisions contained in this Agreement, or any application thereof, shall be invalid, illegal or unenforceable in any respect, the validity, legality or enforceability of the remaining provisions shall not in any way be affected or impaired thereby.
34. BROKERS ARE REQUIRED TO PRESENT ALL WRITTEN OFFERS UP UNTIL THE TIME OF CLOSING (per Idaho Code §54-2051).
35. COMMUNICATION: Failure of SELLER to reasonably maintain communication with BROKER is a breach of this agreement.
36. OTHER TERMS AND CONDITIONS:
Property to be sold a public auction to highest bidder.
CONTRACTOR REGISTRATION # (if applicable)
Seller Signature City of Emmett Date Agent or Broker (on behalf of Brokerage) Signature Date
Matt Heath 1-28-19
Seller Signature Date Brokerage Address
1302 S Washington
Address City State Zip
Emmett ID 83617
City State Zip Brokerage Phone Brokerage Fax
208-365-4495 208-365-5022
Phone Fax Brokerage Email
[email protected]
Email Agent/Broker Email
The following resource list has been put together by the agents and office of Evans Realty LLC. Information may or may not be specific to your property. This may not be an all-inclusive list - please request any further information that you may need.
Receipt of the Resource List-Gem County (Rev. 1/18/2018)
| Name | City of Emmett | Date |
|------|----------------|------|
| | | |
| | | |
| | | |
1/18/2018
158868
Gem County, IDAHO ss.
Recorded at request of
City of Emmett
Time 2:25 PM
Date October 16, 1987
Index No. 158868
Recorded as a Deed
R. L. R. Todd
Ex. Rec. Recorder
Judy Biggar, Deputy
Costs $6.00
Exhibit A
Page 1 of 5
DEED OF GIFT
THIS INDENTURE, Made the 13th day of October, 1987, between ALVIN H. RANDALL and MARY A. RANDALL, husband and wife, of Madison, Wisconsin, the parties of the first part, and
THE CITY OF EMMETT, IDAHO, a municipal corporation,
whose address is: 231 S. Washington Avenue, Emmett, Idaho 83617, the party of the second part, WITNESSETH:
That the said parties of the first part, for and in consideration of the love and affection which said parties of the first part have and bear unto the said party of the second part, and for municipal purposes, do hereby give, grant, and confirm unto the said party of the second part, and to its successors and assigns forever, all of the right, title and interest of said parties of the first part in and to the following described real estate, situated in the County of Gem, State of Idaho, to-wit:
Beginning at the Southeast corner of Block 3, of the Original Townsite of Emmettsville, according to the Revised Plat of said Townsite now on file and of record in the office of the county recorder of Gem County, Idaho, run thence North along the East line of said block 140 feet; thence West parallel to the South line of said block, 145 feet; thence South .40 feet; thence East 145 feet, to said point of beginning.
EXCEPTING THEREFROM the following described tract of land, consisting of part of Lots 8 and 9 of Block 3 of the Revised Plat of the Original Townsite of Emmett, Gem County, Idaho, which plat is on file in Book 1 of Plats, at page 13, in the Office of the Recorder of Gem County, Idaho, more particularly described as follows:
Commencing at the SE corner of Block 3 of said Revised Plat of the Original Townsite of Emmett, Idaho, which boundary is also the West line of the right of way for S. Hayes Avenue; thence North along the East boundary of Block 3 of said Revised Plat of the Original Townsite of Emmett, Idaho, a distance of 50.00 feet to the True Point of Beginning; thence West, parallel with the South boundary of Block 3 of the said Revised Plat of the Original Townsite of Emmett, Idaho, a distance of 50.00 feet; thence North, parallel with the East boundary of Block 3 of the Revised Plat of the Original Townsite of Emmett, Idaho, a distance of 90.00 feet to a point on the South boundary of the right of way for an existing alley; thence East, along said South boundary of the right of way for said alley, and parallel with the South boundary of Block 3 of said Revised Plat of the Original Townsite of Emmett, Idaho, a distance of 50.00 feet to a point on the East boundary of Block 3 of said Revised Plat of the Original Townsite of Emmett, Idaho; thence South along the East boundary of said Revised Plat of the Original Townsite of Emmett, Idaho, a distance of 90.00 feet to the True Point of Beginning.
Including all water and ditch rights appurtenant thereto or used in
connection therewith, and including any easements or rights of ways appurtenant to or used for the benefit of said described premises. Subject to easements, rights of ways, reservations and exceptions, if any.
This gift is made to the City of Emmett, Idaho, with the restriction the property is to be held and used for an Emmett public short-term vehicular parking lot. If the City of Emmett, Idaho, decides in the future, that it is no longer feasible to utilize the property as a short-term vehicular parking lot, then the City may hold and use the property for any municipal purpose, for example, a city park or city beautification project.
Together, with all and singular, the tenements, hereditaments, and appurtenances thereunto belonging, or in anywise appertaining, and the reversion and reversions, remainder and remainders.
To Have and Hold, All and singular the said premises, together with the appurtenances, unto the said party of the second part, its successors and assigns forever, as the property of the said second party.
IN WITNESS WHEREOF, the said parties of the first part have hereunto set their hands and seals, the day and year first above written.
Mary A. Randall Alvin H. Randall
STATE OF WISCONSIN )
) ss.
County of Dane )
On this 13th day of October, 1987, before me, a Notary Public in and for said state, personally appeared ALVIN H. RANDALL and MARY A. RANDALL, husband and wife, known to me to be the persons whose names are subscribed to the within instrument and who acknowledged to me that they executed the same.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal the day and year first above written.
Edward G. Lofenz Jr.
Notary Public, State of Wisconsin,
Residing at Madison, Wisconsin
My Commission Expires Nov 5 1989
The Map and data displayed is a graphic representation derived from the Ada County Geographic Information System (GIS) data. It was designed and intended for sale use only. It is not guaranteed survey accuracy.
This map is based on information available and was compiled from numerous sources which may not be accurate. Users are to verify this information. Ada County and Single Point Solutions, Inc are not liable for errors or omissions resulting from the use of this product for any purpose.
EXHIBIT A
PAGE 5 OF 5
E. FIRST ST.
This map and data displayed is a graphic representation derived from the Ada County Geographic Information System (GIS) data. It was designed and intended for staff use only. It is not guaranteed survey accuracy. This map is based on information available and was compiled from numerous sources which may not be accurate. Users are to field verify this information. Ada County and Single Point Solutions, Inc are not liable for errors or omissions resulting from the use of this product for any purpose.
It is hereby agreed between EDDIE HEATH, as Auctioneer, and THE CITY OF EMMETT, that the following Real Estate property will be sold at Public Auction, on, WEDNESDAY FEB. 27, 2019.
LOCATION: COMMERCIAL PARKING LOT LOCATED AT THE EAST BACK ENTRANCE TO ROCKY MOUNTAIN TRUE HARDWARE, EMMETT, ID. TIME: 3:00 p.m.
The Auctioneer’s fee will be 5% of the purchase price, which will be paid from the 5% Buyer’s Premium. Advertising to be paid by HEATH AUCTION CO. Heath Auction Company & Evans Realty will handle the placing of advertising.
Owner alleges that property is free of mortgage, or encumbered as follows:
Description of Property: Legal description attached
Additional Remarks: The Auction will be conducted with a minimum opening bid of $20,000.00
$20,000.00 MINIMUM OPENING BID
COMMERCIAL PARKING LOT
REAL ESTATE AUCTION
EMMETT, ID
WEDNESDAY FEBRUARY 27, 2019 3:00 P.M.
TERMS & CONDITION
LOCATION: Emmett, Idaho (As per attached legal description)
NOTE: This property is a Commercial parking lot located at the East back entrance to Rocky Mountain True Value Hardware in Emmett, Id. Great location to all Downtown Emmett services.
REAL ESTATE TERMS: Property is being sold WITH A MINIMUM OPENING BID OF $20,000.00 The property is being Sold “AS-IS” with no warranties. 20% non-refundable Earnest Money Deposit (in the form of cash or bankable check) day of Auction. Earnest Money is non-refundable unless defect is found in the title. Out of State checks will need a bank letter of credit. A 5% buyer’s premium will be applied to the successful bid price. Closing must take place within 30 days of Auction. Bidding is not conditional upon financing. Financing is buyer’s responsibility & should be pre-arranged, if needed. Successful bidder will be required to enter into purchase agreement at Evans Realty in Emmett, immediately following the close of the Real Estate Auction.
CLOSING: Closing on auctioned property will take place within 30 days of the day of the Auction. Closing shall take place at the Title Company of Sellers choice in Emmett. The Title Company’s escrow closing fee shall be split equally between seller & successful bidder. Possession will take place at closing in Emmett.
DEED: Seller will provide Warranty Deed
EVIDENCE OF TITLE: Seller to provide Title Insurance in the amount of the purchase price.
REAL ESTATE TAXES: The City of Emmett is exempt from taxes on this property. From date of closing, the property taxes will be successful bidder’s responsibility.
0.3540 acres
LOT SIZE: As recorder in the Gem County Court House
DISCLAIMER & ABSENCE OF WARRANTIES: All information obtained in this brochure and all related materials are subject to the terms and conditions outlined in the Offer to Purchase.
ANNOUNCEMENTS MADE BY THE AUCTION COMPANY AND THE REALTOR DURING THE TIME OF THE AUCTION WILL TAKE PRECEDENCE OVER ANY PREVIOUSLY PRINTED MATERIAL, OR ANY OTHER ORAL STATEMENTS MADE. THE PROPERTY IS BEING SOLD ON AN “AS-IS” BASIS, and no warranty or representation, either expressed or implied, concerning the property is made by the Seller of Auction Company. Each potential bidder is responsible for conducting their own independent inspections, investigations, inquiries, and due diligence concerning the property. The information contained in this brochure is subject to verification by all parties relying on it. No liability for its accuracy, errors, or omissions is assumed by the Sellers, Real Estate Agent or the Auction Company. All sketches and dimensions in this brochure are approximate. Except for any express warranties set forth in the sale documents, purchaser accepts the property “AS-IS” and purchaser assumes all risks thereof and acknowledges that in consideration of the other provisions contained in the sale documents, Seller, the Real Estate Agent and the Auctioneer make no warranty or representation, express or implied or arising by operation of law, including any warranty or merchantability or fitness for a particular purpose of the property, or any part thereof, an in no event shall Seller, the Realtor of the Auction Company be liable for any consequential damages. Conduct of the Auction and increments of bidding are at the direction and discretion of the Auctioneer. The Seller & Auction Company reserve the right to preclude any person’s credentials, fitness, etc. All decisions of the Auctioneer are final.
Any announcements made the day of the auction take precedence over printed material or any other oral statements made prior to the Auction. The Auction Company reserves the right to cancel the Auction at any time before or during the Auction.
All decisions made by the Auctioneer are final.
__________________________________________
PRINTED NAME
__________________________________________
SIGNATURE
__________________________________________
ADDRESS
__________________________________________
CITY ZIP
BUYER(S) CLOSING STATEMENT
Type: Purchase
Property: 719 SOUTH JOHNS AVENUE
EMMETT, ID 83617 (GEM)
(RP06N01W077763)
Buyer(s): CITY OF EMMETT, AN IDAHO MUNICPAL CORPORATION
501 E. Main St.
Emmett, ID 83617
Seller(s): GEM COUNTY SENIOR/COMMUNITY CENTER, CORPORATION SUCCESSOR BY
MERGER TO SENIOR CITIZENS INCORPORATED
719 South Johns Avenue
Emmett, ID 83617
| Description | P.O.C. | Debit | Credit |
|--------------------------------------------------|--------|---------|--------|
| Deposits, Credits, Debits | | | |
| Sale Price of Property | | $6,242.13 | |
| Title Charges | | | |
| Title - Lender's Title Insurance to Pioneer Title Company of Gem County | | | |
| Title - Owner's Title Insurance to Pioneer Title Company of Gem County | | $215.00 | |
| Title - Settlement or closing fee to Pioneer Title Company of Gem County | | $171.00 | |
| Totals | | $6,628.13 | $0.00 |
Balance Due FROM Buyer: $6,628.13
Escrow Officer: Palla Garinger
Phone: (208)365-5343
APPROVED AND ACCEPTED
BUYER(S)
City of Emmett
By:
SETTLEMENT COORDINATOR
Palla Garinger
ACKNOWLEDGMENT AND APPROVAL OF PLAT
AND/OR RESTRICTIVE COVENANTS
With reference to the real estate transaction closing under the above-identified file number, the undersigned acknowledges receipt from Pioneer Title Company of Gem County of a copy of the plat of the property that is the subject of said escrow, as well as a copy of the restrictive covenants that affect the property (if any are applicable). The undersigned has reviewed the same and understands how any matters or information contained therein relate to the transaction now contemplated in escrow.
Pioneer Title Company of Gem County may have furnished you with a map obtained from public records. This map is for location information only and is not a part of the commitment or policy. The parties to the escrow agree that the map may not depict the actual boundaries or dimensions of the land to be insured. The parties to this escrow hereby release Pioneer Title Company of Gem County and its underwriter, Old Republic National Title Insurance Company from any and all liability as a result of any inaccuracy in the map. Furthermore, the parties to this escrow understand that only a survey can determine the actual boundaries and dimensions of the land to be insured. If the parties elect to order a survey it will be at their expense and is outside the requirements of this escrow.
February 5, 2019
City of Emmett
By:
ESCROW INSTRUCTIONS
(Purchase)
File No.: 607606
Seller: Gem County Senior/Community Center, Corporation Successor by Merger to Senior Citizens Incorporated
Buyer: City of Emmett, an Idaho Municipal Corporation
Lender:
Property: 719 South Johns Avenue, Emmett, ID 83617
Date: February 5, 2019
To: Pioneer Title Company of Gem County (hereinafter referred to as “Pioneer Title”)
Upon receipt of collected funds sufficient to close this transaction, Pioneer Title is authorized to close the above escrow and record the documents delivered to it, as well as to disburse those funds as set forth in the closing statement executed and hereby approved by the Buyer and Seller, under the following conditions.
1. TITLE INSURANCE: Buyer and Seller instruct Pioneer Title to close this transaction upon notification that a(n) Standard Owner’s Policy in the amount of $6,242.13 insuring Buyer, can be issued subject to customary title exceptions, restrictive covenants, easements, and title exceptions 1-12 as set forth in Title Commitment No. 607606 of which Buyer and Seller have read and hereby approve.
2. PRORATIONS: All prorations between Buyer and Seller shall be as of the date set forth in the closing statement. All prorations shall be based upon a 365-day year, unless the parties otherwise notify Pioneer Title of a different applicable amortization period. Calculated prorations shall be based upon the most recently available property tax, rental, and insurance information received from Seller or the deed of trust beneficiary or mortgagee. All water, utility, and other prorations not specifically set forth in the closing statement shall be prorated directly between Buyer and Seller outside of this closing. Additional recording fees and additional interest due different from that set forth in the closing statement may be deducted from the appropriate party’s funds, notwithstanding the amounts set forth in that closing. NO PRORATION OF PROPERTY TAXES
3. FIRE INSURANCE: Pioneer Title shall have no obligation to cancel, transfer, or purchase fire or other insurance for the Buyer and Seller. All insurance needs of the parties shall be handled directly by the parties, outside of escrow.
4. UTILITIES: It is the responsibility of both buyer and seller to transfer the utilities at the time of closing.
5. ADDITIONAL MONIES: Pioneer Title is authorized to deduct from seller’s proceeds any additional monies due on loan payoffs or other demands as necessary to effectuate title as described above, and seller agrees to reimburse Pioneer Title for any charges incurred by Pioneer Title in connection with obtaining said payoffs or demands. The parties understand that there may be adjustments on interest or unusual recording fees after the signing of these instructions. Pioneer Title is further authorized to deduct same from seller’s proceeds and/or deduct from buyer’s funds any payments made by Pioneer Title for said recording fees.
6. PURCHASE AND SALE AGREEMENT: Pioneer Title is bound solely by the provisions set forth in these escrow closing instructions and the parties hereto understand that Pioneer Title are not a party to any Receipt for Earnest Money and Purchase and Sale Agreement, executed by the parties herein, and that said Receipt for Earnest Money and Purchase and Sale Agreement (and Amendments thereto, if any) is/are not a part of these escrow closing instructions. Pioneer Title is to be concerned only in the performance of Pioneer Title’s duties in compliance with these escrow closing instructions. Pioneer Title is to assume no liability for the sufficiency or enforceability of any provisions in said Purchase and Sale Agreement. The undersigned hereby affirm that all of the terms and conditions contained in the Purchase and Sale Agreement have been met or waived to the complete satisfaction of the parties.
7. DISPUTES WITH PIONEER TITLE: Pioneer Title and every other party executing this Agreement agree that all disputes, claims, and controversies involving Pioneer Title in any way, whether individual, joint, or class in nature, arising out of this agreement or otherwise, including without limitation contract and tort disputes, in which the amount in controversy is $50,000.00 or less shall be arbitrated pursuant to the Uniform Arbitration Act, upon written request of Pioneer Title. The parties shall mutually agree upon the arbitrator who shall be a licensed attorney or retired judge. Each of the parties to the dispute shall pay a pro-rata share of the arbitrator’s fee. If the parties to the dispute cannot agree upon the arbitrator, then the arbitrator shall be selected by the court of general jurisdiction in the judicial district in which the principal office of Pioneer Title is situated upon motion or petition of Pioneer Title. The award rendered by the arbitrator shall be final and non-appealable, except that judgment may be entered in any court having jurisdiction thereof enforcing the terms of the arbitrator’s award. Under no circumstances shall an arbitrator award punitive or exemplary damages to any of the parties to the arbitration.
8. DISPUTES WITH OTHERS: If a dispute arises between the Buyer and Seller or with any third party, Pioneer Title shall have the option to await settlement of such controversy between the parties and submission of joint written instructions by them, or to institute an inter pleader action or otherwise await the entry of a court order judgment determining the parties’ rights in such dispute. In the event that
you should become a party to any such legal proceedings, we jointly and severally agree to pay and to hold you as escrow holder harmless from and against any and all costs, charges, damages, attorney’s fees or other expense which you in good faith may incur.
9. **DISBURSEMENTS**: Buyer and Seller agree to pay and reimburse Pioneer Title, upon demand, any sums paid or otherwise disbursed by it in reliance upon any check, draft, or other items if they are returned or otherwise fail to result in the immediate, unconditional deposit or credit of cash funds at closing. If Buyer or Seller, or their third party lender fails to present for payment any check or instrument issued by Pioneer Title Company at the request and instruction of Buyer or Seller, within ninety (90) days from the date such check was issued, then Buyer and Seller authorizes Pioneer Title Company to deduct the sum of five dollars ($5.00) per month from such funds until the check is presented for payment. If Pioneer Title reissues any stale check, the fee charged to Pioneer Title by its bank for reissuing a check shall be deducted from the funds otherwise due and payable to Buyer and Seller.
10. **AMENDMENTS**: These instructions may only be amended in writing signed by the parties to this escrow or as set forth in any written supplemental escrow instruction. Pioneer Title may return the instruments and funds delivered pursuant to these instructions if this transaction fails to close within fifteen (15) working days from the above date; however if Pioneer Title elects not to return the instruments and funds, then this transaction may proceed to close, unless Pioneer Title is otherwise notified by the parties to this escrow.
11. **COPIES**: Buyer and Seller authorize Pioneer Title to deliver a copy of these instructions and related documentation to Buyer’s or Seller’s real estate broker, salesperson, mortgagee, mortgage broker, deed of trust beneficiary, attorney or other agent upon request.
12. **TRUSTEE’S RECONVEYANCE FEE**: Some deeds of trust provide that no reconveyance charge shall be charged to the party legally entitled to the reconveyance while other deed of trust forms limit the dollar amount of a reconveyance fee. The undersigned nevertheless request that Pioneer Title pay the trustee’s customary reconveyance fee notwithstanding any contrary agreement, restriction or limitation set forth in any deed of trust wherein a reconveyance is requested in this transaction. The undersigned knowingly and intentionally waive any restriction or limitation on the collection of a reconveyance fee set forth in the closing statement executed and hereby approved by the undersigned.
THE UNDERSIGNED ARE HEREBY NOTIFIED THAT THEY HAVE THE RIGHT TO HAVE THE DOCUMENTATION USED IN THE CLOSING AND THESE ESCROW INSTRUCTIONS REVIEWED BY AN ATTORNEY OF THE UNDERSIGNED’S CHOICE, AT THEIR EXPENSE, PRIOR TO CLOSING. ANY QUESTIONS THEY MAY HAVE WITH REGARD TO THE DOCUMENTATION SHOULD BE ADDRESSED TO ANY ATTORNEY. PIONEER TITLE CANNOT ANSWER LEGAL QUESTIONS FOR THE PARTIES.
Contact information will not be shared with any third party or entity(ies). Pioneer Title will never sell or distribute as part of our customer privacy policy, personal or public information about any client.
---
**Buyer:**
City of Emmett
By:
---
**Seller:**
Gem County Senior/Community Center, Corporation Successor by Merger to Senior Citizens Incorporated
By: Pat A. Stewart, Chairman
By: Donna Gordon, Secretary/Treasurer
---
**Buyer Email Address**
Pioneer Title Company of Gem County
By: Palla Garringer, Escrow Officer
---
**Seller Email Address**
CONDITIONS OF CLOSING
The undersigned parties acknowledge that the signing of the documents deposited in this escrow does not constitute closing. Closing will be completed upon recordation of the applicable documents which is contingent upon the following conditions, including but not limited to:
(1) Receipt of certified funds from the applicable parties, which includes lender’s loan proceeds by wire transfer.
(2) Deposit of all required documents.
The parties further acknowledge and agree that Pioneer Title Company of Gem County will be held harmless for any additional interest, due or lost, or matters pertaining to possession of the property, in the event there is a delay in final closing due to non-satisfaction of the above conditions.
February 5, 2019
Buyer: City of Emmett
Seller: Gem County Senior/Community Center, Corporation Successor by Merger to Senior Citizens Incorporated
By: ____________________________
By: Pat A. Stewart, Chairman
By: Donna Gordon, Secretary/Treasurer
PRIVACY POLICY NOTICE
PURPOSE OF THIS NOTICE
Title V of the Gramm-Leach-Bliley Act (GLBA) generally prohibits any financial institution, directly or through its affiliates, from sharing nonpublic personal information about you with a nonaffiliated third party unless the institution provides you with a notice of its privacy policies and practices, such as the type of information that it collects about you and the categories of persons or entities to whom it may be disclosed. In compliance with the GLBA, we are providing you with this document, which notifies you of the privacy policies and practices of Pioneer Title Company of Gem County.
We may collect nonpublic personal information about you from the following sources:
- Information we receive from you such as on applications or other forms.
- Information about your transactions we secure from our files or from our affiliates.
- Information we receive from a consumer reporting agency.
- Information that we receive from others involved in your transaction such as the real estate agent or lender.
Unless it is specifically stated otherwise in an amended Privacy Policy Notice, no additional nonpublic personal information will be collected about you.
We may disclose any of the above information that we collect about our customers or former customers to our affiliates as permitted by law.
WE DO NOT DISCLOSE ANY NONPUBLIC PERSONAL INFORMATION ABOUT YOU WITH ANYONE FOR ANY PURPOSE THAT IS NOT SPECIFICALLY PERMITTED BY LAW.
We restrict access to nonpublic personal information about you to those employees who need to know that information in order to provide products or services to you. We maintain physical, electronic, and procedural safeguards that comply with federal regulations to guard your nonpublic personal information.
February 5, 2019
Buyer: City of Emmett
Seller: Gem County Senior/Community Center, Corporation Successor by Merger to Senior Citizens Incorporated
By: ____________________________
By: Pat A. Stewart, Chairman
By: Donna Gordon, Secretary/Treasurer
Friday, January 25, 2019
Mayor Gordon Petrie
Emmett City Council
RE: “510 S. Washington Avenue request to remove tree on State of Idaho ROW SH – 52.”
Mayor, City Council:
I was contacted by Connie Downs from Amazing Idaho Real Estate requesting permission to remove the rotten tree in front of their business located at 510 S. Washington Avenue.
After inspection of the tree, I agree that the tree should be removed due to major tree rot at the root base into the center of the tree core. The tree also shows signs of dead limbs shown in the photos attached.
According to Emmett City Code: **7-8-6: UNLAWFUL PRACTICES PROHIBITED FOR PUBLIC TREES**:
It shall be unlawful for any tree care firm, city department or public utility:
A. To top any street tree, park tree or public right of way tree. "Topping" is defined as the severe cutting back of limbs to stubs larger than three inches (3") in diameter within the tree's crown to such a degree to remove the normal canopy and disfigure the tree.
B. To cut down, destroy, or damage any public trees without first contacting the superintendent of public works or his designee, who shall obtain permission from the city council.
I will need Emmett City Council approval to allow 510 S. Washington Avenue to remove their tree due to hazard conditions according to Emmett City Code: 7-8-6B: To cut down, destroy, or damage any public trees without first contacting the **superintendent of public works or his designee, who shall obtain permission from the city council**.
I have explained that Amazing Real Estate will need to obtain an ITD – ROW Permit as their address is located on SH – 52 North Bound (S. Washington Avenue) and they will need to provide a copy of their ITD – ROW permit to City of Emmett Public Works Department for file information.
Sincerely,
City of Emmett
Superintendent
Public Works Department
Our vision:
Protecting and providing quality public
Improvements and services for City of Emmett
Cc:
Clint Seamons, C.O.E. Assistant Superintendent of Public Works
Brian Sullivan, C.O.E. Planning/Building Administrator
Doricela-Millan Sotelo, C.O.E Building – Public Works Office Manager
The following is a list of the most important and interesting features of the city of New York:
1. The city is situated on an island in the middle of the Hudson River, which separates it from the mainland.
2. The city is divided into five boroughs: Manhattan, Brooklyn, Queens, Bronx, and Staten Island.
3. The city has a population of over 8 million people, making it one of the largest cities in the world.
4. The city is known for its diverse culture, with people from all over the world living and working there.
5. The city is home to many famous landmarks, including the Statue of Liberty, the Empire State Building, and Central Park.
6. The city is a major center for business and finance, with many large corporations headquartered there.
7. The city is also a major cultural hub, with many museums, theaters, and art galleries.
8. The city is known for its vibrant nightlife, with many bars, clubs, and restaurants open late into the night.
9. The city is a major transportation hub, with many airports, train stations, and bus terminals.
10. The city is a major tourist destination, with millions of visitors coming to see its sights and experience its unique culture.
The branches of a tree are silhouetted against a bright sky, creating a stark contrast between the dark lines and the light background. The intricate network of branches and twigs forms an abstract pattern that is both organic and geometric. The image captures the essence of nature's complexity and beauty, even in its simplest form.
Mayor, City Council:
Due to the heavy amount of rainfall last Saturday, & Sunday. In order to protect our park grounds, we’ve postponed the final removal of the 2 – trees in the main City Park with Jeff Bayes with Tree Maintenance until Wednesday, February 13th, 2019 weather permitting.
Attached are photos from Jeff Bayes showing the severe rot in the 2 – Silver Maples, & 1 – London Plane Trees. I will place a copy of this email along with photos as part of my report on February 12th, 2019 City Council meeting.
City of Emmett
Bruce Evans
Superintendent
Public Works Department
Our vision:
Protecting and providing quality public improvements and services for City of Emmett
From: Bruce Evans
Sent: Friday, January 25, 2019 4:33 PM
To: 'Mayor Gordon Petrie<[email protected]>'; <[email protected]>; Mike Stout City Councilman ([email protected]) <[email protected]>; 'Eltona Henderson ([email protected])' <[email protected]>; Steve Nebeker ([email protected]) <[email protected]>; 'Shawn Alder City Councilman' <[email protected]>; 'Michelle Welch ([email protected])' <[email protected]>; Gary Resinkin <[email protected]>; 'Jake Sweeten' <[email protected]>
Cc: 'Clint Seamons<[email protected]>'; <[email protected]>; Doricela Millan-Sotelo ([email protected]) <[email protected]>; Steve Yates <[email protected]>; 'Jeff Bayes ([email protected])' <[email protected]>; Bob Thielges<[email protected]>
Subject: 3 - High Risk Trees that need to be removed
Mayor, City Council:
Attached is a Google map showing location of 3 – High Risk trees that Public Works Department will proceed to take down and remove. 2 of the trees are Silver Maples, 1 of the Trees is a London Plane (Sycamore) after opening the document, please press the view tab at the top of the page, press rotate view clockwise and the document will be showing the park ground with the top of the page showing North.
These 3 - trees have severe rot at the trunk of the Silver Maples along with rot at the top of the main portion of the tree, the London Plane tree is over 100 feet in height and Tree Maintenance boom truck can only reach 65 feet in height. This London Plane tree has severe rot at the main forks on the tree due to the squirrels eating on the bark on all the limbs thus causing a cancer effect at the fork of the tree branches. Since these trees are considered High Risk trees, I have ordered the removal of these 3 – trees due to scheduling with Jeff Bayes and for a crane is available on Tuesday, February 5th, 2019.
The main reason for this e-mail is that we will need assistance from our contract arborist/tree trimmer Jeff Bayes with Tree Maintenance to come in with a crane to assist with the removal of 2 of the trees due to their location near other trees and power lines. But Jeff Bayes already has the crane scheduled for another project on February 5th, 2019 which is 1 full week prior to the City Council Meeting.
I will provide more details in my monthly report on February 12th, 2019
City of Emmett
Bruce Evans
Superintendent
Public Works Department
Our vision:
Protecting and providing quality public improvements and services for City of Emmett
https://[email protected],-116.494603,322m/data=!3m1!1e3
Imagery ©2019 Google, Map data ©2019 Google 100 ft
The Raven
by Edgar Allan Poe
Once upon a midnight dreary, while I pondered, weak and weary,
Over many a quaint and curious volume of forgotten lore—
While I nodded, nearly napping, suddenly there came a tapping,
As of someone gently rapping, rapping at my chamber door.
" 'Tis some visitor," I muttered, "tapping at my chamber door—
Only this and nothing more."
Ah, distinctly I remember it was in the bleak December,
And each separate dying ember wrought its ghost upon the floor.
Eagerly I wished the morrow;—vainly I had sought to borrow
From my books surcease of sorrow—sorrow for the lost Lenore—
For the rare and radiant maiden whom the angels name Lenore—
Nameless here for evermore.
And the silken sad uncertain rustling of each purple curtain
Thrilled me—filled me with fantastic terrors never felt before;
So that now, to still the beating of my heart, I stood repeating
"The婆罗门教徒的诅咒"
POLAR PENGUIN
3396HY®
MAJESTIC
Figure 1. A 30-year-old woman with a 20-year history of chronic hepatitis C and cirrhosis. She presented with a 4-month history of progressive abdominal distension, nausea, vomiting, and weight loss. Physical examination revealed a large, tense abdomen with shifting dullness. Laboratory studies showed a hemoglobin level of 7.5 g/dL, a white blood cell count of 16,000/mm$^3$, and a platelet count of 80,000/mm$^3$. Abdominal computed tomography (CT) scan showed a large, solid mass in the right lobe of the liver. The patient underwent laparotomy, which revealed a large, solid tumor in the right lobe of the liver. The tumor was resected, and histopathologic examination confirmed the diagnosis of hepatocellular carcinoma. The patient's postoperative course was uneventful, and she was discharged from the hospital on the seventh postoperative day.
The tree is a symbol of life and growth, representing the cycle of nature and the passage of time. Its branches reach out towards the sky, reaching for the sun's warmth and light. The trunk stands tall and strong, providing support and stability to the entire structure. The bark is rough and textured, a testament to the tree's resilience and endurance. The leaves rustle in the wind, creating a soothing melody that fills the air with the sound of nature. The tree is a constant presence in our lives, a reminder of the beauty and wonder of the natural world.
Mayor, City Council:
Due to the heavy amount of rainfall last Saturday, & Sunday. In order to protect our park grounds, we’ve postponed the final removal of the 2 – trees in the main City Park with Jeff Bayes with Tree Maintenance until Wednesday, February 13th, 2019 weather permitting.
Attached are photos from Jeff Bayes showing the severe rot in the 2 – Silver Maples, & 1 – London Plane Trees. I will place a copy of this email along with photos as part of my report on February 12th, 2019 City Council meeting.
City of Emmett
Bruce Evans
Superintendent
Public Works Department
Our vision:
Protecting and providing quality public improvements and services for City of Emmett
From: Bruce Evans
Sent: Friday, January 25, 2019 4:33 PM
To: 'Mayor Gordon Petrie<[email protected]>'; <[email protected]>; Mike Stout City Councilman ([email protected]) <[email protected]>; 'Eltona Henderson ([email protected])' <[email protected]>; Steve Nebeker ([email protected]) <[email protected]>; 'Shawn Alder City Councilman' <[email protected]>; 'Michelle Welch ([email protected])' <[email protected]>; Gary Resinkin <[email protected]>; 'Jake Sweeten' <[email protected]>
Cc: 'Clint Seamons<[email protected]>'; <[email protected]>; Doricela Millan-Sotelo ([email protected]) <[email protected]>; Steve Yates <[email protected]>; 'Jeff Bayes ([email protected])' <[email protected]>; Bob Thielges<[email protected]>;
Subject: 3 - High Risk Trees that need to be removed
Mayor, City Council:
Attached is a Google map showing location of 3 – High Risk trees that Public Works Department will proceed to take down and remove. 2 of the trees are Silver Maples, 1 of the Trees is a London Plane (Sycamore) after opening the document, please press the view tab at the top of the page, press rotate view clockwise and the document will be showing the park ground with the top of the page showing North.
These 3 - trees have severe rot at the trunk of the Silver Maples along with rot at the top of the main portion of the tree, the London Plane tree is over 100 feet in height and Tree Maintenance boom truck can only reach 65 feet in height. This London Plane tree has severe rot at the main forks on the tree due to the squirrels eating on the bark on all the limbs thus causing a cancer effect at the fork of the tree branches. Since these trees are considered High Risk trees, I have ordered the removal of these 3 – trees due to scheduling with Jeff Bayes and for a crane is available on Tuesday, February 5th, 2019.
The main reason for this e-mail is that we will need assistance from our contract arborist/tree trimmer Jeff Bayes with Tree Maintenance to come in with a crane to assist with the removal of 2 of the trees due to their location near other trees and power lines. But Jeff Bayes already has the crane scheduled for another project on February 5th, 2019 which is 1 full week prior to the City Council Meeting.
I will provide more details in my monthly report on February 12th, 2019
City of Emmett
Bruce Evans
Superintendent
Public Works Department
Our vision:
Protecting and providing quality public improvements and services for City of Emmett
https://[email protected],-116.4941603,32m/data=!3m1!1e3
Imagery ©2019 Google, Map data ©2019 Google 100 ft
The Raven
by Edgar Allan Poe
Once upon a midnight dreary, while I pondered, weak and weary,
Over many a quaint and curious volume of forgotten lore—
While I nodded, nearly napping, suddenly there came a tapping,
As of someone gently rapping, rapping at my chamber door.
" 'Tis some visitor," I muttered, "tapping at my chamber door—
Only this and nothing more."
Ah, distinctly I remember it was in the bleak December,
And each separate dying ember wrought its ghost upon the floor.
Eagerly I wished the morrow;—vainly I had sought to borrow
From my books surcease of sorrow—sorrow for the lost Lenore—
For the rare and radiant maiden whom the angels name Lenore—
Nameless here for evermore.
And the silken sad uncertain rustling of each purple curtain
Thrilled me—filled me with fantastic terrors never felt before;
So that now, to still the beating of my heart, I stood repeating
"The婆罗门教徒的诅咒"
POLAR PENGUIN
3396NY®
MAJESTIC
The heart is the central organ of the circulatory system, responsible for pumping blood throughout the body. It is located in the chest cavity, protected by the rib cage and surrounded by a layer of tissue called the pericardium. The heart consists of four chambers: two atria (upper chambers) and two ventricles (lower chambers). The right side of the heart pumps deoxygenated blood to the lungs, while the left side pumps oxygenated blood to the rest of the body.
The heart's walls are made up of three layers: the endocardium, myocardium, and epicardium. The endocardium lines the inner surface of the heart and is composed of a thin layer of cells that form the lining of the heart valves. The myocardium is the middle layer, which is made up of cardiac muscle fibers that contract to pump blood. The epicardium is the outermost layer, which is a thin membrane that covers the heart and protects it from infection.
The heart's function is regulated by a complex network of nerves and hormones. The autonomic nervous system controls the heart's rate and rhythm, while hormones such as adrenaline and noradrenaline can also affect its activity. The heart's electrical activity is controlled by specialized cells called pacemakers, which generate electrical impulses that cause the heart to contract.
In summary, the heart is a vital organ that plays a crucial role in maintaining life by pumping blood throughout the body. Its structure and function are regulated by a complex network of nerves, hormones, and specialized cells. Understanding the heart's anatomy and physiology is essential for diagnosing and treating various cardiovascular diseases.
The tree is a symbol of life and growth, representing the cycle of nature and the passage of time. Its branches reach out towards the sky, reaching for the sun's warmth and light. The trunk stands tall and strong, providing support and stability to the entire structure. The roots dig deep into the ground, anchoring the tree firmly in place and drawing nourishment from the earth. The leaves rustle in the wind, creating a soothing melody that fills the air with their gentle sound. The tree is a constant presence in our lives, reminding us of the beauty and wonder of the natural world.
City of Emmett
Mayor Gordon Petrie
Emmett City Council
Thursday, February 07, 2019
RE: “Approval of SUNROC Asphalt Paving Only Contract in the amount of $51,432.00 with Mayor to Sign and Approval for City Clerk sign and submit SUNROC Online Credit application.”
Mayor, City Council:
[X] Concur with approving SUNROC Asphalt Paving Only Contract in the amount of $51,432.00 with Mayor to sign and Approval for City Clerk sign and submit SUNROC Online Credit application.”
Attached is the SUNROC Contract as Exhibit A and summary of BIDS as Exhibit B.
I recommend the following motion: “Motion to approve SUNROC Asphalt Paving Only Contract in the amount of $51,432.00 with Mayor to sign and Approval for City Clerk sign and submit SUNROC Online Credit application.”
Sincerely,
City of Emmett
Bruce Evans
Superintendent
Public Works Department
Our vision:
Protecting and providing quality public improvements and services for City of Emmett
Cc:
Clint Seamons, C.O.E. Assistant Superintendent of Public Works
Brian Sullivan, C.O.E. Building and Planning Administrator
Dorcela Millan-Sotelo, C.O.E Building and Public Works Office Manager
Bruce Evans
Telephone # 208-365-9569, Fax # 208-365-4651
E-mail: [email protected]
Asphalt Paving Only Proposal & Contract
To: City of Emmett
601 E 3rd St
Emmett, ID 83617
Project: Substation Rd
Location: Emmett, ID
Estimate: 19ID019
Date: 01/18/19
Name: Doricela
Phone: (208) 365-9569
Fax: (208) 365-4651
Email: [email protected]
| Item Number | Work Description | Estimate Quantity | Unit Description | Unit Price | Price Totals |
|-------------|------------------------------------------------------|-------------------|------------------|------------|--------------|
| 1 | CREW & EQUIPMENT MOBILIZATION | 1 | EA | $1,200.00 | $1,200.00 |
| 2 | 3" THICK PLANTMIX PAVEMENT | 36,400 | SQFT | $1.38 | $50,232.00 |
Total Estimate: $51,432.00
Special Notes:
1. Access for paver and dump trucks must be provided. Sunroc Corporation cannot be held responsible for damage to existing asphalt or concrete due to new asphalt pavement construction.
2. This quote does not include surveying, monument removal and reset, traffic control, materials testing, sawcutting, sweeping, concrete collars, pavement markings, herbicide, permits and/or Davis-Bacon wage rates.
3. SWPPP, BMP's, design, permits and implementation by others.
4. Asphalt paving only, as quoted above, requires that base aggregate preparation, grading and compacting be made ready to receive asphalt by others.
5. This is an asphalt paving unit price proposal. Billing will be for actual amount of asphalt utilized/area paved. Contractor to verify quantities.
6. Weather protection of any kind to be provided by others.
7. Sunroc will absorb total disincentive/incentive payments for all plant mix pavement accepted per quality specifications.
8. Sunroc cannot be responsible for drainage or water ponding on slopes of less than 1% or where grade is dictated by surrounding area.
9. Any paving between the dates of October 1st and March 1st may be impacted by weather and/or temperature. Such impacts shall result in additional costs due to decreased production rates as a result of weather and/or temperatures.
"Due to the instability of the petroleum industry with the associated price increases, Sunroc Corporation reserves the right to adjust the pricing for the asphalt products quoted above as we receive these increases." In the event that asphalt becomes unavailable, Sunroc will be held harmless. Asphalt plant mix quoted is ISPW/C SP3 1/2" or 3/4" with 64-34 performance grade oil unless otherwise specified.
*Approval of credit, notwithstanding purchaser’s acceptance of this proposal, Sunroc’s obligation to perform is conditional upon approval of the financial responsibility of the purchaser. Purchaser will furnish promptly, at Sunroc’s request, information necessary to determine purchaser’s financial responsibility and credit. If disapproved, purchaser will be notified, and unless a satisfactory arrangement for payment is made, this agreement will become null and void, without liability to either party.*
*All material and work is guaranteed to be as specified. Plans and specifications are a part of this proposal. All agreements and warranties expressed or implied are only as attached in written form. Any alterations or deviations from project specifications involving extra costs, or any additional quantities, will become an additional charge over and above attached specifications.*
*This contract covers only the work noted above. It does not include unforeseen problems or other work items. Sunroc Corporation is not responsible for damage, costs, or impact caused by or to any hidden or unknown items. Alterations, changes, additional work, unforeseen impacts, or deviations from these contract specifications will become an additional charge, due and payable.*
*Any required sub-grade repairs, which are discovered will be charged at time and materials. Sunroc Corporation is not responsible for existing base or design problems.*
*Sunroc Corp. cannot be responsible for drainage or water ponding on slopes of less than 1.0% or where grade is dictated by surrounding area. Patching can plug water drainage and can thus create ponding.*
*This is a unit price contract. The contract amount is based on estimated quantities. Actual payment will be on final quantities completed.*
*All agreements and/or warranties, either expressed or implied, are only in written form. This is a fully integrated contract.*
*This agreement is binding upon heirs, assignors, and successors in interest.*
*As a proposal, the prices quoted are good for fifteen (15) days from the date noted at the top of the proposal.*
*Full payment is due and payable on completion of work. Progress payments will be made if completed in stages. Interest will be charged at 1.5% per month or 18% A.P.R. for delayed payments. All expenses Sunroc Corporation incurs in the collection of money due will be reimbursed to Sunroc Corporation including attorney and consultant fees.*
*Retention not to exceed that withheld by owner. Full payment upon completion of above work.*
*Price is based on nothing preventing Sunroc Corporation from full production. No standby is included in price.*
SUNROC CORPORATION Public Works License: PWC-C-17452-UNLIMITED-1-4
Cole Cantrell
208-320-2997
[email protected]
Approximate Pave Date: ___________________________
Retainage Amount: ________________________________
| Amount | Company |
|---------|----------------------------------------------|
| $51,432.00 | SunRoc Corporation |
| $55,060.00 | Central Paving Received late 1/23/2019 |
| $56,420.00 | Knife River |
| $69,160.00 | Capital Paving Company, INC |
| $70,980.00 | Idaho Materials & Construction |
Automated Weather Observing System (AWOS) is a fully configurable airport weather system that provides continuous, real time information and reports on airport weather conditions. AWOS stations are mostly operated, maintained and controlled by aviation service providers.
Automated Weather Observing System (AWOS) - SKYbrary Aviation ...
airports with control towers that are not operating. These airports are ... Part 97 addresses instrument approach procedures (IAP). At airports ... patterns by definition would mean aircraft in the traffic pattern landing or taking off ...
navaid
noun
nav·aid | \ˈna-ˌvād \
Definition of navaid
: a device or system (such as a radar beacon) that provides a navigator with navigational data
Lighting Systems - Runway End Identifier Lights (REIL)
The Runway End Identifier Lights (REIL) system provides rapid and positive identification of the end of the runway. The system consists of two synchronized, unidirectional flashing lights. The lights are positioned on each corner of the runway landing threshold, facing the approach area and aimed at an angle of 10 to 15 degrees.
REIL is effective for identification of a runway surrounded by a preponderance of other lighting; identification of a runway which lacks contrast with surrounding terrain; and identification of a runway during reduced visibility. The REIL provides three intensity settings, and has an approximate range of three miles in daylight and twenty miles at night. The REIL can be controlled by the air traffic control tower, remotely by the pilot, by automatically sensing the electrical current through the runway edge lights, or manually from the control cabinet.
A precision approach path indicator (PAPI) is a visual aid that provides guidance information to help a pilot acquire and maintain the correct approach (in the vertical plane) to an airport or an aerodrome. It's generally located beside the runway approximately 300 meters beyond the landing threshold of the runway.
Area navigation (RNAV), usually pronounced as ar-nav) is a method of instrument flight rules (IFR) navigation that allows an aircraft to choose any course within a network of navigation beacons, rather than navigate directly to and from the beacons. This can conserve flight distance, reduce congestion, and allow flights into airports without beacons. Area navigation used to be called "random navigation", hence the acronym RNAV.\textsuperscript{1}
RNAV can be defined as a method of navigation that permits aircraft operation on any desired course within the coverage of station-referenced navigation signals or within the limits of a self-contained system capability, or a combination of these.
In the United States, RNAV was developed in the 1960s, and the first such routes were published in the 1970s. In January 1983, the Federal Aviation Administration revoked all RNAV routes in the contiguous United States due to findings that aircraft were using inertial navigation systems rather than the ground-based beacons, and so cost–benefit analysis was not in favor of maintaining the RNAV routes system.\textsuperscript{2} RNAV was reintroduced after the large-scale introduction of satellite navigation.
EXHIBIT NO. 1 FOR THE CITY OF BEMETT
OFFICE OF THE CITY OF BEMETT
LOCATED IN THE S1/2 OF THE S81/4 OF SECTION 14,
T.6N., R.2W., S.A., SEIN COUNTY, IDAHO
UNIT: 100' X 100'
SCALE: 1" = 100'
| UNIT | NUMBER OF UNITS |
|------|-----------------|
| 1 | 56 |
| 2 | 30 |
| 3 | 20 |
| 4 | 10 |
| 5 | 10 |
| 6 | 10 |
| 7 | 10 |
| 8 | 10 |
| 9 | 10 |
| 10 | 10 |
| 11 | 10 |
| 12 | 10 |
| 13 | 10 |
| 14 | 10 |
| 15 | 10 |
| 16 | 10 |
| 17 | 10 |
| 18 | 10 |
| 19 | 10 |
| 20 | 10 |
| 21 | 10 |
| 22 | 10 |
| 23 | 10 |
| 24 | 10 |
| 25 | 10 |
| 26 | 10 |
| 27 | 10 |
| 28 | 10 |
| 29 | 10 |
| 30 | 10 |
| 31 | 10 |
| 32 | 10 |
| 33 | 10 |
| 34 | 10 |
| 35 | 10 |
| 36 | 10 |
| 37 | 10 |
| 38 | 10 |
| 39 | 10 |
| 40 | 10 |
| 41 | 10 |
| 42 | 10 |
| 43 | 10 |
| 44 | 10 |
| 45 | 10 |
| 46 | 10 |
| 47 | 10 |
| 48 | 10 |
| 49 | 10 |
| 50 | 10 |
| 51 | 10 |
| 52 | 10 |
| 53 | 10 |
| 54 | 10 |
| 55 | 10 |
| 56 | 10 |
| 57 | 10 |
| 58 | 10 |
| 59 | 10 |
| 60 | 10 |
| 61 | 10 |
| 62 | 10 |
| 63 | 10 |
| 64 | 10 |
| 65 | 10 |
| 66 | 10 |
| 67 | 10 |
| 68 | 10 |
| 69 | 10 |
| 70 | 10 |
| 71 | 10 |
| 72 | 10 |
| 73 | 10 |
| 74 | 10 |
| 75 | 10 |
| 76 | 10 |
| 77 | 10 |
| 78 | 10 |
| 79 | 10 |
| 80 | 10 |
| 81 | 10 |
| 82 | 10 |
| 83 | 10 |
| 84 | 10 |
| 85 | 10 |
| 86 | 10 |
| 87 | 10 |
| 88 | 10 |
| 89 | 10 |
| 90 | 10 |
| 91 | 10 |
| 92 | 10 |
| 93 | 10 |
| 94 | 10 |
| 95 | 10 |
| 96 | 10 |
| 97 | 10 |
| 98 | 10 |
| 99 | 10 |
| 100 | 10 |
TOTAL UNITS: 100
## AIRPORT Annual Budget
| Description | 2016-17 | 2017-18 | 2018-19 | 2019-20 |
|--------------------------------------------------|---------|---------|---------|---------|
| **Operating Budget** | | | | |
| 105 SALARIES-ADMINISTRATIVE | $ - | $ - | $ 3,082 | $ 3,082 |
| 210 HEALTH & ACCIDENT INSURANCE | $ - | $ - | $ 500 | $ 500 |
| 220 MEDICARE | $ - | $ - | $ 45 | $ 45 |
| 221 SOCIAL SECURITY | $ - | $ - | $ 191 | $ 191 |
| 230 PERSI | $ - | $ - | $ 368 | $ 368 |
| 260 WORKERS COMPENSATION | $ - | $ - | $ 1,453 | $ 1,453 |
| 351 GRANT EXPENDITURE | $ - | $ - | $ - | $ - |
| 410 UTILITIES | $ - | $ - | $ - | $ - |
| 430 MAINTENANCE EQUIPMENT | $ 1,564 | $ 3,000 | $ 3,000 | $ 2,333 |
| 431 MAINTENANCE-BUILDINGS | $ 3,103 | $ 500 | $ 1,564 | $ 1,000 |
| 431-Maintenance-Hanger Door | $ - | $ 10,000| $ 25,000| $ - |
| 434 MAINTENANCE-PILOTS | $ 1,335 | $ 2,000 | $ - | $ 396 |
| 442 MAINTENANCE-Need Spraying | $ - | $ 3,000 | $ 3,000 | $ 3,000 |
| MAIN ENANCE-Show Removal costs estimates | $ - | $ - | $ - | $ - |
| Repairs for Rotating beacon, Runway lights, Windsocks | $ - | $ - | $ - | $ 166 |
| Moving weeds along runway | $ - | $ - | $ - | $ 780 |
| 520 INSURANCE-LIABILITY | $ 288 | $ 313 | $ 313 | $ 310 |
| 901 LANDFILL SPECIAL ASSESSMENT | $ 65 | $ - | $ 65 | $ 65 |
**Subtotal O & M Costs**
| 741 CAPITAL IMPROVEMENTS | $ - | $ - | $ - | $ - |
**TOTAL AIRPORT**
| $ 6,365 | $ 19,813 | $ 38,581 | $ 68,288 |
**TOTAL GRANTS**
| $ 6,365 | $ 19,813 | $ 36,581 | $ 68,288 |
**TOTAL LESS GRANTS**
City of Emmett
Mayor Gordon Petrie
Emmett City Council
Tuesday, January 15, 2019
RE: “Approval of new hanger lease agreement Ray Bolinger.”
Mayor, City Council:
[X] Concur with approving new hanger lease agreement between Ray Bolinger and the city of Emmett
Attached is the summary of hanger lease agreement as Exhibit A.
I recommend the following motion: “Motion to approve new hanger lease agreement between Ray Bolinger and the city of Emmett.”
Sincerely,
City of Emmett
Bruce Evans
Superintendent
Public Works Department
Our vision:
Protecting and providing quality public improvements and services for City of Emmett
Cc:
Clint Seamons, C.O.E. Assistant Superintendent of Public Works
Brian Sullivan, C.O.E. Planning/Building Administrator
Dorcela-Millan Sotelo, C.O.E Building – Public Works Office Manager
LEASE AGREEMENT
Lease agreement dated __________, 2019 ("Lease"), between the City of Emmett, Idaho ("Landlord") and Ray Bolinger whose address is 13129 South Tampico Place, Idaho 83634 ("Tenant").
WITNESSETH
Landlord leases and rents to Tenant, and Tenant leases and rents from Landlord, the real property described in Exhibit A which is attached hereto and incorporated herein by reference as if set out in full ("Premises"). The Premises that Landlord is leasing to Tenant is bare ground.
The term of this Lease is for a period commencing on ________, 2019 and terminating on ________, 2039 under the following terms and conditions:
1. **RENT**: Tenant shall pay Landlord rent in advance annually. The rent will be $50.00 more per year than the rent for two (2) tie-down spaces at the Emmett Airport. Rent will be $350.00. Rent is due on or before January 1 of each year. The method of calculating rent may be changed and the rent increased by Landlord on the third anniversary of the date of this agreement, and every three years thereafter during the term of this lease and any renewals of this lease, by giving notice sixty (60) or more days before the rent is due.
2. **PROPERTY OF TENANT**: Tenant shall obtain property insurance on all Property of Tenant located on the Premises and hereby releases and discharges Landlord of and from any liability for damage to the Property of Tenant. "Property of Tenant" shall mean and include all personal property of Tenant including structures, equipment, furniture, and personal belongings kept or used on or installed in the Premises that are owned by and separately assessed to Tenant.
3. **WARRANTIES**: There are no warranties by Landlord. Tenant, in executing this Lease, is relying upon its own judgment, information and inspection of the Premises.
4. **ENTRY BY LANDLORD**: Landlord shall have the right to enter the Premises at any reasonable time to examine the same and determine that Tenant is complying with the terms of this Lease.
5. **INDEMNIFICATION**: Tenant agrees to indemnify, defend and hold harmless Landlord and its officers, agents and employees, from and against any and all claims, losses, actions or judgments for damages or injury to persons or property arising out of or in connection with the acts and/or any performances or activities of Tenant, Tenant's agents, Tenant's employees, Tenant's representatives, Tenant's invitees, or any other person allowed on the Premises by Tenant.
6. **HAZARDOUS WASTE AND HAZARDOUS MATERIALS**: Tenant agrees not to store, generate, or otherwise use or bring upon the Premises, any hazardous waste as defined by Federal, State or local laws and regulations. All hazardous materials shall be stored and disposed of strictly in accordance with any State or Federal regulations. Tenant shall hold Landlord harmless from any liability associated with Tenant's use or possession of hazardous materials.
7. **USE OF PREMISES**: Tenant will construct a hangar on the Premises for aeronautical purposes, primarily to store, maintain and construct aircraft. Except for hazardous materials, non-aeronautical items may be stored in the hangar provided the items do not interfere with the aeronautical use of the hangar. Items are generally considered to interfere with the aeronautical use of the hangar when they impede the movement of aircraft in and out of the hangar, or displace the aeronautical contents of the hangar. Tenant shall, at all times, comply with all laws, regulations and ordinances associated with the use of the Premises. Tenant shall not construct any additional buildings on the Premises without first obtaining Landlord’s written permission. Tenant’s use of the Premises shall not be changed without the written consent of Landlord. All use and operation on the Premises shall be in strict accordance to all applicable Local, State and Federal (FAA) rules and regulations.
8. **USES NOT PERMITTED**: Tenant shall not use and Tenant shall not permit anyone else to use the Premises for any of the following purposes:
(a) The operation of any business without written permission from the Landlord;
(b) Construction of any additional buildings without Landlord’s written permission;
(c) Aircraft construction and maintenance not in accordance with Federal Aviation Regulations;
(d) Any residential use;
(e) The storage of any refuse or trash;
(f) Smoking by anyone in the hangar;
(g) Running the aircraft engine in the hangar;
(h) Fueling or de-fueling the aircraft in the hangar;
9. **OPTION TO RENEW**: Tenant shall have the right to renew the Lease for a period of twenty (20) years. If Tenant desires to renew the Lease, then written notice of such renewal shall be given not sooner than one (1) year and not less than one hundred twenty (120) days prior to the termination date of this Lease.
10. **TERMINATION OF LEASE**: In the event that Landlord ceases to own or operate the airport or finds that because of Federal, State or other restrictions, it is impractical to continue the Lease, or in the event that Landlord determines in its sole discretion that it is not in Landlord’s best interest to continue with the Lease, this Lease shall terminate. Landlord shall give Tenant notice of such termination 90 or more days in advance of the termination date.
11. **REPAIRS**: Tenant shall repair damages, except those caused by normal use, to the airport and Premises which are the result of Tenant’s action or of any invitee of Tenant while making use of the airport or Premises. Repairs shall be completed within ninety (90) days of the date of any such damage. If Tenant cannot reasonable
repair such damage within ninety (90) days, Tenant shall give notice to Landlord of that fact and request an extension of 90 days. Such an extension shall not be unreasonably withheld.
12. **RELOCATION**: In the event that Landlord undertakes airport renovation and/or expansion or any other project which requires the use of the Premises, Tenant shall relocate its hangar to another location. Landlord shall attempt to provide a comparable location for the substituted Premises. Landlord shall give Tenant written notice one (1) year in advance of when such relocation is required. Relocation shall be at Tenant's expense.
13. **UTILITIES**: Tenant shall pay before the same are delinquent all sewer, water, gas, electricity, power and other utilities used by Tenant. Tenant shall pay all connection costs, meter installation costs and any other costs associated with utilities used by Tenant. All installations must be approved by and comply with any municipal, state or federal laws and regulations.
14. **TAXES AND ASSESSMENTS**: Tenant shall pay all personal property taxes and assessment levied against Tenant's personal property, including the hangar and any other taxes associated with the Premises, promptly before the same become delinquent.
15. **ACCESS**: Tenant shall have access to the Premises by aircraft and by automobile. Automobiles may be parked inside the hangar while Tenant's aircraft is being operated, or at a parking area off of the aircraft ramps that is so designated.
16. **LIENS**: Tenant shall not suffer or permit any liens to be filed against the Premises or any part of the Premises. If a lien is filed against the Premises, Tenant shall cause the same to be removed of record within sixty (60) days after the date of the filing of the lien. Failure to remove the lien shall be a default under this Lease, or any renewal thereof.
17. **FIRE HAZARDS**: Tenant shall comply with all applicable fire codes.
18. **WASTE PROHIBITED**: Tenant shall not commit any waste or damage to the Premises and shall not permit any waste or damage to the Premises.
19. **MAINTENANCE**: Tenant shall keep and maintain the Premises in a neat and orderly manner and shall keep the Premises free from debris, garbage, and other unsightly material. Tenant shall maintain all leased surfaces not covered by asphalt or concrete in a weed-free condition.
20. **LIABILITY INSURANCE**: Tenant shall maintain a comprehensive liability insurance policy in an amount of not less than five hundred thousand dollars ($500,000.00) covering the Premises during the terms of this lease. The policy shall provide coverage for all acts for which Tenant is required to indemnify Landlord under Paragraph 5 of this agreement. Tenant shall have Landlord named as an additional insured and shall provide Landlord with proof of current insurance during the term of this Lease, or any renewal thereof. The policy shall provide that the insurance company shall give Landlord written notice of any proposed cancellation of the insurance 30 or more days in advance of such cancellation.
21. **ASSIGNMENT AND SUBLETTING**: Tenant shall not assign this Lease without the written consent of Landlord. Tenant may sublet the whole or any part of the Premises. Tenant shall promptly provide Landlord with the names and contact information of any sub-Tenants. If Tenant sublets, then Tenant shall remain liable to Landlord for full performance of Tenant's obligations.
22. **ATTORNEY'S FEES**: In the event an action is brought to enforce any of the terms or provisions of this Lease, or to enforce forfeiture thereof for default by either of the parties, the successful party in such action shall be entitled to recover from the losing party reasonable attorney's fees, together with such other costs as may be authorized by the court. Landlord shall be entitled to attorney's fees.
23. **SERVICE OF NOTICES**: Any notice may be served upon Landlord by certified mail, return receipt requested, to Landlord at 501 East Main Street, Emmett, ID 83617, and any notice may be served upon Tenant by certified mail, return receipt requested, to Tenant at the above address. Service of notice by certified mail shall be deemed complete upon the date of the post mark by certified mail. Either party may change the address for service of notice by written notice to the other party.
24. **CONSTRUCTION OF STRUCTURE**: Any construction approved by Landlord shall be in accordance with plans approved by Landlord. All plans and specifications shall be subject to the approval of the Landlord, the City of Emmett and the Gem County Building Inspector, the State of Idaho, and the FAA. All construction shall be at Tenant's own expense and must be according to the drawings and specifications submitted to and approved by Landlord prior to commencement of construction. Any changes must have the approval of all required approving agencies. Aesthetic design standards shall be determined by Landlord. Tenant shall comply with FAR Part 77 which requires that all such construction on an airport be coordinated with FAA using FAA Form 7460-1, "Notice of Proposed Construction or Alteration." Such forms shall be completed by the Tenant and approved by the Landlord before being submitted to the FAA. Tenant shall submit the form to the FAA unless otherwise directed by Landlord. Tenant shall provide a copy of all such forms to Landlord. The City Airport Advisory Committee with input from the Airport Manager shall approve the plans before construction is commenced. Structures shall be completed within one (1) year after construction has started.
25. **NOTICE TO AIRMEN**: Tenant shall notify the airport manager in writing when construction begins and when it ceases. The airport manager will request and cancel a NOTAM with the FAA in Boise, Idaho, for the appropriate time of construction.
26. **SALE OF HANGAR**: Tenant shall not sell the hangar without first obtaining written permission from Landlord. Landlord shall not unreasonably withhold its consent. Any sale shall be subject to the terms of this Lease.
27. **REMOVAL OF STRUCTURE**: At the termination of this Lease, Tenant shall be entitled to remove the hangar provided that the Tenant returns the Premises to the same or better condition as it existed immediately before Tenant commenced construction of the hangar. If the hangar has not been removed within 120 days after the lease expires, it shall be considered the property of Landlord and Tenant shall have no further right or interest in the hangar.
28. **DEFAULT**: In the event Tenant fails to comply with any of the terms of this Lease, Landlord shall be entitled to give Tenant written notice of such default. If Tenant has not corrected such default within ninety (90) days after the date such notice was sent, Landlord may terminate this Lease at Landlord’s option.
29. **ENTIRE AGREEMENT**: This is the entire agreement of the parties and can only be modified or amended in writing by the parties.
DATED this _____ day of__________________, 2019.
**LANDLORD:**
CITY OF EMMETT, IDAHO
By: ____________________________
Mayor
**TENANT:**
By: ____________________________
Ray Bolinger
Attest: ____________________________
City Clerk
STATE OF IDAHO
County of Gem
On this _____ day of _______________, 2019, before me, the undersigned, a Notary Public for Idaho, personally appeared Gordon Petrie, known to me to be the person whose name is subscribed to the within instrument, and acknowledged to me that he executed the same as the Mayor of the City of Emmett, Idaho.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal the day and year in this certificate first above written.
Notary Public for Idaho
Residing at _______________________
My Commission Expires ____________
STATE OF IDAHO
County of Gem
On this 9 day of Jan, 2019, before me, the undersigned, a Notary Public for Idaho, personally appeared Ray Gerald, known to me to be the person whose name is subscribed to the within instrument, and acknowledged to me that he executed the same as the manager of ________, for said company.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal the day and year in this certificate first above written.
Notary Public for Idaho
Residing at Gem County
My Commission Expires 9-18-2023
Exhibit A
LEASE AGREEMENT – Page 7
EXHIBIT MAP FOR THE CITY OF EMMETT
THE CITY OF EMMETT AIRPORT
LOCATED IN THE S1/2 OF THE SE1/4 OF SECTION 14,
T.6 N, R.2 W., M.A., GEM COUNTY, IDAHO
2018
TITLE: EXHIBIT MAP FOR:
THE CITY OF EMMETT AIRPORT
DATE: 10/2018
SCALE: 1"
DRAWING NO.: 16927
CHECKED: 16927
2030 S. WASHINGTON AVE.
EMMETT, ID 83617
(208) 398-3149
FAX (208) 398-8105
OWNER/DEVELOPER:
BRUCE EVANS
CITY OF EMMETT
| No. | BY | DATE | DESCRIPTION |
|-----|----|------|-------------|
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
| | | | |
Ray Bolinger
City of Emmett
Mayor Gordon Petrie
Emmett City Council
Tuesday, January 15, 2019
RE: “Approval of new hanger lease agreement Greg and Chris Barreto.”
Mayor, City Council:
[X] Concur with approving new hanger lease agreement between Greg and Chris Barreto and the city of Emmett
Attached is the summary of hanger lease agreement as Exhibit A.
I recommend the following motion: “Motion to approve new hanger lease agreement between Greg and Chris Barreto and the city of Emmett.”
Sincerely,
City of Emmett
Bruce Evans
Superintendent
Public Works Department
Our vision:
Protecting and providing quality public improvements and services for City of Emmett
Cc:
Clint Seamons, C.O.E. Assistant Superintendent of Public Works
Brian Sullivan, C.O.E. Planning/Building Administrator
Doricela-Millian Sotelo, C.O.E Building – Public Works Office Manager
Bruce Evans
Telephone # 208-365-9569, Fax # 208-365-4651
E-mail: [email protected]
LEASE AGREEMENT
Lease agreement dated __________, 2019 ("Lease"), between the City of Emmett, Idaho ("Landlord") and Greg and Chris Barreto whose address is 62819 Lower Cove Road, Cove, Oregon 97824 ("Tenant").
WITNESSETH
Landlord leases and rents to Tenant, and Tenant leases and rents from Landlord, the real property described in Exhibit A which is attached hereto and incorporated herein by reference as if set out in full ("Premises"). The Premises that Landlord is leasing to Tenant is bare ground.
The term of this Lease is for a period commencing on ________, 2019 and terminating on ________, 2039 under the following terms and conditions:
1. **RENT**: Tenant shall pay Landlord rent in advance annually. The rent will be $50.00 more per year than the rent for two (2) tie-down spaces at the Emmett Airport. Rent will be $350.00. Rent is due on or before January 1 of each year. The method of calculating rent may be changed and the rent increased by Landlord on the third anniversary of the date of this agreement, and every three years thereafter during the term of this lease and any renewals of this lease, by giving notice sixty (60) or more days before the rent is due.
2. **PROPERTY OF TENANT**: Tenant shall obtain property insurance on all Property of Tenant located on the Premises and hereby releases and discharges Landlord of and from any liability for damage to the Property of Tenant. "Property of Tenant" shall mean and include all personal property of Tenant including structures, equipment, furniture, and personal belongings kept or used on or installed in the Premises that are owned by and separately assessed to Tenant.
3. **WARRANTIES**: There are no warranties by Landlord. Tenant, in executing this Lease, is relying upon its own judgment, information and inspection of the Premises.
4. **ENTRY BY LANDLORD**: Landlord shall have the right to enter the Premises at any reasonable time to examine the same and determine that Tenant is complying with the terms of this Lease.
5. **INDEMNIFICATION**: Tenant agrees to indemnify, defend and hold harmless Landlord and its officers, agents and employees, from and against any and all claims, losses, actions or judgments for damages or injury to persons or property arising out of or in connection with the acts and/or any performances or activities of Tenant, Tenant's agents, Tenant's employees, Tenant's representatives, Tenant's invitees, or any other person allowed on the Premises by Tenant.
6. **HAZARDOUS WASTE AND HAZARDOUS MATERIALS**: Tenant agrees not to store, generate, or otherwise use or bring upon the Premises, any hazardous waste as defined by Federal, State or local laws and regulations. All hazardous materials shall be stored and disposed of strictly in accordance with any State or Federal regulations. Tenant shall hold Landlord harmless from any liability associated with Tenant’s use or possession of hazardous materials.
7. **USE OF PREMISES:** Tenant will construct a hangar on the Premises for aeronautical purposes, primarily to store, maintain and construct aircraft. Except for hazardous materials, non-aeronautical items may be stored in the hangar provided the items do not interfere with the aeronautical use of the hangar. Items are generally considered to interfere with the aeronautical use of the hangar when they impede the movement of aircraft in and out of the hangar, or displace the aeronautical contents of the hangar. Tenant shall, at all times, comply with all laws, regulations and ordinances associated with the use of the Premises. Tenant shall not construct any additional buildings on the Premises without first obtaining Landlord's written permission. Tenant's use of the Premises shall not be changed without the written consent of Landlord. All use and operation on the Premises shall be in strict accordance to all applicable Local, State and Federal (FAA) rules and regulations.
8. **USES NOT PERMITTED:** Tenant shall not use and Tenant shall not permit anyone else to use the Premises for any of the following purposes:
(a) The operation of any business without written permission from the Landlord;
(b) Construction of any additional buildings without Landlord's written permission;
(c) Aircraft construction and maintenance not in accordance with Federal Aviation Regulations;
(d) Any residential use;
(e) The storage of any refuse or trash;
(f) Smoking by anyone in the hangar;
(g) Running the aircraft engine in the hangar;
(h) Fueling or de-fueling the aircraft in the hangar;
9. **OPTION TO RENEW:** Tenant shall have the right to renew the Lease for a period of twenty (20) years. If Tenant desires to renew the Lease, then written notice of such renewal shall be given not sooner than one (1) year and not less than one hundred twenty (120) days prior to the termination date of this Lease.
10. **TERMINATION OF LEASE:** In the event that Landlord ceases to own or operate the airport or finds that because of Federal, State or other restrictions, it is impractical to continue the Lease, or in the event that Landlord determines in its sole discretion that it is not in Landlord's best interest to continue with the Lease, this Lease shall terminate. Landlord shall give Tenant notice of such termination 90 or more days in advance of the termination date.
11. **REPAIRS:** Tenant shall repair damages, except those caused by normal use, to the airport and Premises which are the result of Tenant's action or of any invitee of Tenant while making use of the airport or Premises. Repairs shall be completed within ninety (90) days of the date of any such damage. If Tenant cannot reasonable
repair such damage within ninety (90) days, Tenant shall give notice to Landlord of that fact and request an extension of 90 days. Such an extension shall not be unreasonably withheld.
12. **RELOCATION**: In the event that Landlord undertakes airport renovation and/or expansion or any other project which requires the use of the Premises, Tenant shall relocate its hangar to another location. Landlord shall attempt to provide a comparable location for the substituted Premises. Landlord shall give Tenant written notice one (1) year in advance of when such relocation is required. Relocation shall be at Tenant's expense.
13. **UTILITIES**: Tenant shall pay before the same are delinquent all sewer, water, gas, electricity, power and other utilities used by Tenant. Tenant shall pay all connection costs, meter installation costs and any other costs associated with utilities used by Tenant. All installations must be approved by and comply with any municipal, state or federal laws and regulations.
14. **TAXES AND ASSESSMENTS**: Tenant shall pay all personal property taxes and assessment levied against Tenant's personal property, including the hangar and any other taxes associated with the Premises, promptly before the same become delinquent.
15. **ACCESS**: Tenant shall have access to the Premises by aircraft and by automobile. Automobiles may be parked inside the hangar while Tenant's aircraft is being operated, or at a parking area off of the aircraft ramps that is so designated.
16. **LIENS**: Tenant shall not suffer or permit any liens to be filed against the Premises or any part of the Premises. If a lien is filed against the Premises, Tenant shall cause the same to be removed of record within sixty (60) days after the date of the filing of the lien. Failure to remove the lien shall be a default under this Lease, or any renewal thereof.
17. **FIRE HAZARDS**: Tenant shall comply with all applicable fire codes.
18. **WASTE PROHIBITED**: Tenant shall not commit any waste or damage to the Premises and shall not permit any waste or damage to the Premises.
19. **MAINTENANCE**: Tenant shall keep and maintain the Premises in a neat and orderly manner and shall keep the Premises free from debris, garbage, and other unsightly material. Tenant shall maintain all leased surfaces not covered by asphalt or concrete in a weed-free condition.
20. **LIABILITY INSURANCE**: Tenant shall maintain a comprehensive liability insurance policy in an amount of not less than five hundred thousand dollars ($500,000.00) covering the Premises during the terms of this lease. The policy shall provide coverage for all acts for which Tenant is required to indemnify Landlord under Paragraph 5 of this agreement. Tenant shall have Landlord named as an additional insured and shall provide Landlord with proof of current insurance during the term of this Lease, or any renewal thereof. The policy shall provide that the insurance company shall give Landlord written notice of any proposed cancellation of the insurance 30 or more days in advance of such cancellation.
21. **ASSIGNMENT AND SUBLetting:** Tenant shall not assign this Lease without the written consent of Landlord. Tenant may sublet the whole or any part of the Premises. Tenant shall promptly provide Landlord with the names and contact information of any sub-Tenants. If Tenant sublets, then Tenant shall remain liable to Landlord for full performance of Tenant's obligations.
22. **ATTORNEY'S FEES:** In the event an action is brought to enforce any of the terms or provisions of this Lease, or to enforce forfeiture thereof for default by either of the parties, the successful party in such action shall be entitled to recover from the losing party reasonable attorney's fees, together with such other costs as may be authorized by the court. Landlord shall be entitled to attorney's fees.
23. **SERVICE OF NOTICES:** Any notice may be served upon Landlord by certified mail, return receipt requested, to Landlord at 501 East Main Street, Emmett, ID 83617, and any notice may be served upon Tenant by certified mail, return receipt requested, to Tenant at the above address. Service of notice by certified mail shall be deemed complete upon the date of the post mark by certified mail. Either party may change the address for service of notice by written notice to the other party.
24. **CONSTRUCTION OF STRUCTURE:** Any construction approved by Landlord shall be in accordance with plans approved by Landlord. All plans and specifications shall be subject to the approval of the Landlord, the City of Emmett and the Gem County Building Inspector, the State of Idaho, and the FAA. All construction shall be at Tenant's own expense and must be according to the drawings and specifications submitted to and approved by Landlord prior to commencement of construction. Any changes must have the approval of all required approving agencies. Aesthetic design standards shall be determined by Landlord. Tenant shall comply with FAR Part 77 which requires that all such construction on an airport be coordinated with FAA using FAA Form 7460-1, "Notice of Proposed Construction or Alteration." Such forms shall be completed by the Tenant and approved by the Landlord before being submitted to the FAA. Tenant shall submit the form to the FAA unless otherwise directed by Landlord. Tenant shall provide a copy of all such forms to Landlord. The City Airport Advisory Committee with input from the Airport Manager shall approve the plans before construction is commenced. Structures shall be completed within one (1) year after construction has started.
25. **NOTICE TO AIRMEN:** Tenant shall notify the airport manager in writing when construction begins and when it ceases. The airport manager will request and cancel a NOTAM with the FAA in Boise, Idaho, for the appropriate time of construction.
26. **SALE OF HANGAR:** Tenant shall not sell the hangar without first obtaining written permission from Landlord. Landlord shall not unreasonably withhold its consent. Any sale shall be subject to the terms of this Lease.
27. **REMOVAL OF STRUCTURE:** At the termination of this Lease, Tenant shall be entitled to remove the hangar provided that the Tenant returns the Premises to the same or better condition as it existed immediately before Tenant commenced construction of the hangar. If the hangar has not been removed within 120 days after the lease expires, it shall be considered the property of Landlord and Tenant shall have no further right or interest in the hangar.
28. **DEFAULT**: In the event Tenant fails to comply with any of the terms of this Lease, Landlord shall be entitled to give Tenant written notice of such default. If Tenant has not corrected such default within ninety (90) days after the date such notice was sent, Landlord may terminate this Lease at Landlord’s option.
29. **ENTIRE AGREEMENT**: This is the entire agreement of the parties and can only be modified or amended in writing by the parties.
DATED this ____ day of__________________, 2019.
**LANDLORD:**
CITY OF EMMETT, IDAHO
By: ____________________________
Mayor
Attest: ___________________________
City Clerk
**TENANTS:**
By ____________________________
Greg Barreto
By ____________________________
Chris Barreto
STATE OF IDAHO )
) ss.
County of Gem )
On this ____ day of_______________, 2019, before me, the undersigned, a Notary Public for Idaho, personally appeared Gordon Petrie, known to me to be the person whose name is subscribed to the within instrument, and acknowledged to me that he executed the same as the Mayor of the City of Emmett, Idaho.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal the day and year in this certificate first above written.
Notary Public for Idaho
Residing at ______________________
My Commission Expires _______________
STATE OF Oregon
County of Marion
On this 11th day of Jan., 2019, before me, the undersigned, a Notary Public for Oregon, personally appeared Greg Barreto, known to me to be the person whose name is subscribed to the within instrument.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal the day and year in this certificate first above written.
Notary Public for Oregon
Residing at Marion
My Commission Expires 3-27-21
STATE OF Oregon
County of Marion
On this 11th day of Jan., 2019, before me, the undersigned, a Notary Public for Oregon, personally appeared Chris Barreto, known to me to be the person whose name is subscribed to the within instrument.
IN WITNESS WHEREOF, I have hereunto set my hand and affixed my official seal the day and year in this certificate first above written.
Notary Public for Oregon
Residing at Marion
My Commission Expires 3-27-21
Exhibit A
TITLE: ORIENT FMP FOR THE CITY OF DRYCUT AIRPORT
DATE: 10/2019
SCALE: 1" = 70 Feet
Greg + Chris
Barreto
CHAIR/DEVELOPER:
BRUCE EVANS
CITY OF DRYCUT
200 S. WASHINGTON AVE.
BONNETT, ID 83417
(208) 356-8161
FAX (208) 356-8163
WWW.SWTOOLSDS.COM
The Emmett City Zoning Commission held a regular meeting on January 7th, 2019 at 6:00 p.m. at 501 E. Main Street, Emmett, Idaho.
**Commissioners present:** Don Mackey, Bill Slabaugh, Kim Butler, Mick Vahlberg.
**Staff present:** Counselor Jake Sweeten, Zoning Administrator/Building Official Brian Sullivan and Recording Clerk Mary Lake.
**Public present:** Jill Mackey – 2112 Feltham Peak Drive
Commissioner Slabaugh called the meeting to order at 6:01 p.m.
**Public Hearing:**
Commissioner Slabaugh led the Pledge of Allegiance.
**Review of Agenda:**
Commissioner Vahlberg made a motion to approve the Agenda. Commissioner Mackey seconded the motion. **Motion Carried.**
**Approval of Minutes:**
Commissioner Mackey made a motion to approve the December 3rd, 2018 Minutes. Commissioner Vahlberg seconded the motion. **Motion Carried.**
**Election of Officers:**
Commissioner Mackey nominated Bill Slabaugh as Chairman. Any other nominations? Commissioner Vahlberg made a motion to cease the nominations. Commissioner Mackey seconded the motion. **Motion Carried.** All in favor to elect Bill Slabaugh as Chairman? AYES – 4 / NOES – 0 Motion Carried
Commissioner Mackey nominated Mick Vahlberg as Vice Chairman. Any other nominations? Commissioner Mackey made a motion to cease the nominations. Commissioner Butler seconded the motion. **Motion Carried.** All in favor to elect Mick Vahlberg as Vice Chairman? AYES – 4 / NOES – 0 Motion Carried
**Items from the Public:**
**Unfinished Business:**
**Items from the Commission:**
**Chairman Slabaugh:** I have one thing related to the seminar we went to at the attorney’s last time. When a written comment comes in too late, it misses the deadline, then it’s dead in the water.
**City Attorney:** I tend to take that as commissions discretion. I think the purpose of having a public hearing, weather they come in and give verbal comments or written
comments is to get the input. You could say no to accept it, but I would leave it to your discretion.
**Chairman Slabaugh:** I think it is best to hear all comments.
**Items from the Building Official/ Zoning Administrator:**
**Building Official/ Zoning Administrator:** The only thing I have is when you are talking in a hearing or any time, please pull your mics down. There were several times, while doing the minutes, where Mary could not hear what you were saying. So please make sure you speak into your mic. It’s huge to be able to get accurate minutes and see what is going on.
Next Regular Meeting – February 4, 2019
Commissioner Vahlberg made a **motion to adjourn**. Commissioner Mackey seconded the motion. **Motion Carried.**
Meeting adjourned at 6:08 p.m.
_____________________________ ________________________________
Chairman Bill Slabaugh Acting Secretary
The Emmett City Zoning Commission held a regular meeting on December 3rd, 2018 at 6:00 p.m. at 501 E. Main Street, Emmett, Idaho.
**Commissioners present:** Jeff Chapman, Bill Slabaugh, Gwen Earls, Kim Butler
**Staff present:** Building Official/Zoning Administrator Brian Sullivan, City Attorney Jake Sweeten, Recording Clerk Doricela Millan-Sotelo, Clerical Assistant Mary Lake
**Public present:** Morgyn and Dillon Rogers – 811 E 5th St, Emmett, Gary Koontz – 458 Old Maple Drive, Emmett, Jean Nutile – 628 S. DeClark, Emmett, Marion Henderson – 612 S Declark, Emmett, Marilyn Tucker – 557 Meadow Drive, Emmett, Karole Foruria – 638 Meadow Drive, Emmett, Mark Hoburg – 721 E 4th Street, Emmett, Michael Hughes – 1008 E Main Street, Emmett, Aaron Millan – 725 W 4th Street, Emmett, Kaylynn, Carmie, and Mariah Molyneaux 8352 Florence Ave, Emmett, Joyce Benscoter – 905 E 5th Street, Emmett, Brian and Jennifer Potts – 1007 E 3rd St, Emmett, Gary Thompson – 2303 Mountain View Drive, Emmett, Harry and Marsha Granger – 850 S Moffat, Emmett, Bob and Relda Teeter – 522 W. Idaho Boulevard, Emmett, Anthony and Gail Walker – 2295 Tanglewood Lane, Emmett, Phil Chaney – 10338 Bill Burns Rd, Emmett, Craig McCullough – 1310 Shady Lane, Emmett, James and Patricia Toles – 904 E 5th Street, Emmett, William Hopwood – 2225 Cherry Lane, Emmett, Tony Patterson – 400 E South Slope RD, Emmett, Paul and Kathleen Derig – 1518 E South Slope Road, Emmett, Lois Buck – 508 Meadow Drive, Emmett, Jeremiah Campos – 3247 Wilson Lane, Emmett, Paul and Marjorie Storm – 3702 Mill RD, Emmett, Gordon and Laurie Kissner – 1255 Gamage Lane, Emmett, Lyle Thompson – 2303 Mountain View Drive, Emmett, Earl DeFur – 1555 N South Slope RD, Emmett, Bryan Griggs – 334 W. HWY 52, Emmett, Jason Hill – 837 Tyler RD, Emmett, Janet Murphy – 908 E. 4th street, Emmett, Nathan Capen – 720 E. 5th Street, Emmett
Chairman Slabaugh called the meeting to order at 6:05 p.m.
**Public Hearings:**
**Special Use Permit – SUP#18-004 – 921 E. 4th St, Calvary Church, Calvary Christian Academy, Calvary Chapel Daycare and Learning Center**
Zoning Administrator gave an overview of the application for Calvary Chapel SUP #18-004 including staff finding and analysis.
Chairman Slabaugh asks if there are any questions for Mr. Sullivan. None at this time.
**Pastor Michael Hughes:** Thank you everyone for coming. I just wanted to say that we are excited to be a part of the city of Emmett. We looked through the packet and understand our request not to have access to 5th street. We figured we would ask for it but it does not bother us that we are not going to have access to 5th street. That is fine
to remove that from our plan. We can make adjustments to that and submit those to the city if that’s what you decide. It makes total sense that a street would dead end into a parking lot. So we do not want to cause problems there or a danger to anybody by doing that. Also I just wanted to say there were a few letters that were written to us from the community; two of them were concerned about the 5th street access and another one was concerned about drainage on our property. We are going to have it engineered of course according to city specs so that everything will drain into our own property so there won’t be any danger of excess drainage to other people’s yards or anything like that. Everything should be drained into the drains that we create on the property out of the parking lot and whatever else that we need to do that. And we will have engineers do that. Also, there was a question about fencing. Those are things of course that we are going to abide by. Whatever the city wants us to do as far as fencing and around the property if that is required. So I don’t think there is any concern there. And the question about access to irrigation water – we are going to be very careful to make sure that we are working with all the neighbors to make sure we are not blocking anyone’s access to irrigation. We will make sure that the neighbors will have access to what they have had access too, so no problems there. But it’s an exciting thing to be in the city, to have a lot of neighbors. Which it seems like we have some here today and some people from the church. We are hoping that we are a good neighbor. We haven’t had any complaints from our current neighbors. It’s a good place to take your kids and your family. And people use our current facility and playgrounds there. We want to make it accessible to the public on non-school hours. We allow people to come play. And we want it to be safe for everybody. Of course during school hours we do lock those things down just because we don’t want unapproved people on the grounds. During non-school hours we will open those gates and let the public in to play freely and things like that. We are just a church that loves the community and we want to be a benefit to the community. We try everything we can to be a part of what the community is doing and participate in community events as well as try to improve our community through different programs and things we do. We hope that we’ll be good neighbors and that we can be a benefit to all those around us and bring up property values. I’ve heard, you know I don’t know studies, but I’ve heard that having a school and a church in your neighborhood can bring up your property value. And certainly that’s true if somebody wants to enroll their children and or attend a church that’s close by. That’s all I have to say.
Chairman Slabaugh: Any questions for pastor?
Zoning Administrator: I received a letter today at 2:44 exactly, it was faxed to us. We found it on our fax machine just scrolling through. I have been advised by counsel that I need to read this letter into the minutes.
City Attorney: Probably Brian, why don’t you read it when we have the appropriate public presentation whether it is for or against.
Chairman Slaubaugh: Whichever category it fits. Okay, we’ll open it up to members of the public and like I said please come to the microphone and state your name and address first and speak clearly into the microphone and we will give you three minutes for each person to talk. So first of all we will have those who are in favor of the application, if you would like to speak in favor of it, please come forward and speak.
IN FAVOR-
Joyce Benscoter: My name is Joyce Benscoter, 905 E 5th Street, adjacent property to Calvary chapel is looking to building. I’m very pleased to hear that 5th is not going thru. With that being said, I think this would be a great addition to that area. And it does provide access for kids. I am a little bit biased in that regard beings that I am a teacher of thirty-nine years. So I don’t see that children being an issue. They do have set hours. So, with that being said, that would be an addition that would be quite welcome.
Jean Nutile: I’m Jean Nutile at 628 S. DeClark. I am basically in favor of this. My cats are not pleased at all but they will adjust. It’s their hunting ground. My one concern, I don’t know if this is a question or concern, deals with lighting. This area is surrounded by residential properties and I’m a great proponent of dark skies. I understand that they are going to have to have light but I don’t want it to be so blaring that it will come into our windows and everything. I would like some assurance that the lighting, though necessary is not going to be really intrusive. And I think as far as this is a better use I believe than a subdivision with two story boxy houses all over, that blocks all of our views. In that regard I am for it. I am glad they are not using the 5th street access. And my cats will adjust.
Gary Koontz: Hi, my name is Gary Koontz. I live at 458 Old Maple Dr. I wanted to say that I believe that there are benefits to having the church there and the school. What I would site is a study done and published by the Huffington Post in December 4th, 2013. That said as church attendance rises crimes fall. The Ameripedia also released a study that said there was a six percent reduction in delinquency if there was more church attendance. Now, also, saving money that way, the churches do outreach. That saves money for general relief and they do counseling. Which is good for the community. So I believe there are tangible many reasons that the church is a benefit to community. So, that is one of the many reasons I think it would be a good idea, you know, and to promote that property into being made into a church.
Morgyn Rogers: My name is Morgyn Rogers and I live at 811 E 5th. I just wanted to say that I am all for the church coming into that property, but I am very excited that we won’t have access to 5th. That was my only thing.
Patricia Toles: My name is Patricia Toles I live with my husband at 904 E 5th Street. We are probably the closest in proximity to our new neighbors. And on 5th street we were concerned that the street was going to open. That has been settled for us and we are actually pretty happy about that because of the traffic. We are just moved in there September and we were looking forward to the peace and quiet but having the church next door to us I am very much in favor of. As a matter of fact, I may come see you and we will welcome our new neighbors. I am in favor of this. Thank you.
Relda Teeter: Hi my name is Relda Teeter, I live at 522 W. Idaho Boulevard. I am a current neighbor of Calvary chapel. We have been here eleven years. The first person we met was Pastor Mike Hughes. He was looking in our window as we were sitting and having lunch and I went oh, maybe that’s our new neighbors. He was on the other side of our fence looking at the house and it was very cute. Him and his wife and his little boy that’s now a big boy. We have been here only eleven years. We have seen this church grow, the school come in, the daycare come in, and the church just grow and grow and grow. It’s very exciting for us, we do go to Calvary Chapel. There has not been noise or if they cut the trees up a little high, I did get used to that. They used to block the church off but now they don’t and it’s still okay. Anyway, I am very, very excited about this.
Lyle Thompson: My name is Lyle Thompson and I live at 2303 Mountain View Dr. I am the athletic director for Calvary Christian Academy. I just wanted to say I am excited about the possibility about having another gym in our community because I don’t know if you guys have ever tried to look for gym here. It is impossible to find. And also our sports field will be nice to have an extra practice area for the rugby. I know that one of my friends is a rugby coach and he was super excited because there is only one rugby field in Emmett. There is a boys and a girls team and so it makes practice hard, games hard, things like that. So just from an athletic point of view I am excited to have more facilities in this community to use.
Nathan Capen: Hi there I am Nathan Capen and I live at 720 E 5th Street. I’m also the family pastor up at the Nazarene church here in town. Hearing all of my neighbors concern was only about opening up 5th street and so the whole purpose being here tonight was to speak on that behalf. And figuring that that’s not going to be happening we are all okay. So we are excited for it. My wife is a teacher and we are really looking forward to just seeing what this is going to do for our community opening it up and Just the way that having a church in your area they reach out, they go and touch the community. I am exciting for seeing how the students are going to interact with our area there. So, excited for it and all for it. Thank you.
Paul Derig: Thank you. I am Paul Derig, I live at 1518 E. South Slope Road. Being in the county I feel a little bit out of place but I would certainly advocate for the church and the location. My main purpose is as president of Last Chance Ditch Company Board
and we also maintain and control the Cook Daily lateral which is a pipe line that runs down 4th street. So, from that aspect there should be adequate irrigation and I don’t know the plan but if it is a pressurized system that’s put in on that piece of property there will be very little runoff. Those are things to consider but certainly I feel it’s a boom for the city of Emmett. We are all for it. Thank you!
**Chairman Slabaugh:** They will have to design everything according to the standards of the ditch company’s approval and all of that.
**Janet Murphy:** Hello my name is Janet Murphy and me and my family live at 908 E 4th street. We are right across from the property. We are for it for one of the main reasons is that property has been vacant and an eye sore for a really long time so it would be nice to have something done with it. Thank you.
**Chairman Slabaugh:** Would anyone else like to speak in favor of the application? Okay, anyone would like to speak against it, you’re opposed to it, and we would love to hear from you as well.
**Mark Hoburg:** My name is Mark Hoburg I live at 721 E 4th Street. I am opposed to any development that would create additional traffic on 4th street until some provisions are made to put a second access into the Monte Vista Mobile Trailer Park off of 7th street.
**Harry Granger:** Harry Granger 850 S Moffat. I am not opposed to their plan; I am opposed to a part of the design. The access that you are talking about onto 7th and Moffatt, I went out and measured the surface of the street Sunday all up and down there. Your paved surface there on 7th street is 15 feet. I owned the property a long time ago. I proposed a subdivision in there. One of the main reasons it was denied, well not really denied, it just ended the whole thing between the city and I, is that access. The access hasn’t changed, with the design that is there, if you approve this I would like to see some sort of moratorium on that access until Moffatt or 7th street are widened out to be adequate. Our subdivision streets in the city of Emmett are paved surface of 36 feet. That’s twice what is there. And it’s more than just power poles that are out into the right of way. We got all kinds of things down there. Take a drive down there before you make a decision if you haven’t already. So like I said the church itself, it’s an R-1 situation so it’s no big deal. But you really need to look at access on there. I notice you don’t like access of 5th street dead ending in there, if you look at that plan you’ve got an access that makes Moffatt Street, actually S. Moffatt running from 4th street to 12th street, so that is if you are going to make a drive way through there, it needs to somehow control that it is a driveway or if it is going to be a city street. Because that is what you have going on that map you’ve got access completely thru there and is totally inadequate with that type of traffic. How many cars did you say this parking lot is for? 224. The only time we have 224 cars, we don’t have half that many, is when we shut down Johns for
maintenance and they all hit 7th street and it's absolutely ridiculous most days but anyway, we live with it. Anyway, consider that in your consideration please.
**Chairman Slabaugh:** Anybody else in opposition or concerns that haven't been raised yet. We would love to hear those right now as well. Anything that you think, any issues that haven't been considered?
**Jean Nutile:** If there is going to be a fence is it going to be a great big high fence, I don't know if there is a certain height because we do have a view now and I would personally would still like a view it's not going to be like a big 10 foot fence right? At the end of my property.
**Chairman Slabaugh:** I will have Mr. Sullivan respond to that. And a couple of other things in a moment here. Anybody else?
**Zoning Administrator:** I will come up and read my letter now. I think it is appropriate. Okay, we received this letter again today at 2:44. Our cutoff date was last week for the written letters to go into the packet so it did not make that. So this in reference to the special use permit for Calvary Christian Academy at 921 E 7th street. The letter is from Robert Meyer at 816 S. Moffatt Avenue, Emmett, Idaho. Attention City of Emmett Zoning Department: In regard to special use permit Calvary chapel at the 921 E 4th street location I am totally against issuing that permit. The chapel says it is for what, I can't read the word, to then locating their school to said location. I object to this project due to the increased traffic flow that will occur from exiting the south end of 921 E 4th street onto E. 7th Street and Moffatt Ave. E. 7th Street and Moffatt Ave. converge into dead end into each other. Note E. 7th street and Moffatt Ave. roads are so narrow and have electric power poles in both roads. Two vehicles cannot pass unless one vehicle pulls to the right side of the road until the other vehicle passes by them. The one vehicle can then continue traveling on. I also object to the chapel obtaining utilities from E. 7th street and Moffatt Avenue. I suggest the utilities come from E 4th street so that I will not be blocked in or out of my house. And again, any traffic exiting out of the south end of that lot will cause traffic jams at Johns Avenue and E. 7th street, also E. 12th street and Moffatt Avenue waiting to make turns onto those streets. And then if you have any questions call and he has his phone number here.
**Chairman Slabaugh:** While you are up here would you address a couple things that have come up, one related to the lighting and the other related to the fencing. Could you talk about our dark sky ordinance?
**Zoning Administrator:** So, the lighting, we do have a dark sky ordinance in place for the city of Emmett. So, when they submit plans, I will review the plans to make sure they are in compliance with our dark sky ordinance which requires all lighting to be down cast. So its not lighting up the night sky. They are called cutoff shields on the
lights to reflect all the lighting down towards the ground. So we will be covered on the light pollution in that way. And the other one, there was a concern about the fencing. We do have a landscape ordinance with the city of Emmett. So two incompatible land uses have to be buffered from each other. So we can make a landscape buffer of either vegetation to provide that barrier or we can do up to a six foot high wood or vinyl fence to give that separation of the two separate properties. So either direction we go, the landscape buffer does say within three years has to grown within mature height to give that buffer between the two land uses.
**Chairman Slabaugh:** Isn’t it also the dark skies ordinance, the lighting has to be directional so it doesn’t go on neighbors properties?
**Zoning Administrator:** Yes, it is down cast lighting. I called it downcast lighting, but it is ninety degree and one hundred- and eighty-degree cutoff shields is what they are called on the lights that down cast away from neighboring properties.
**Chairman Slabaugh:** Any other questions for Mr. Sullivan?
**Commissioner Chapman:** Has there been a recent traffic study done on Johns or johns and 4th?
**Zoning Administrator:** There could have been on John’s, but I don’t have that. We are doing that S. John’s widening project so there probably was a traffic study with that project that was through ITD. I do not have that.
**Commissioner Earls:** I have a question, I see on the map the 4\textsuperscript{th} street, however, I would like a better explanation of were the entrances are proposed right now. I guess I’m just not seeing it on the map. Is that 7\textsuperscript{th} street? Where the thru street ends, where does that dead end into?
**Zoning Administrator:** Are you talking about on the south side of the property? That goes right onto the intersection east 7\textsuperscript{th} street goes down this way and then turns into Moffatt. That goes right at that intersection is where makes that turn where it would access 7\textsuperscript{th} and Moffatt right at that intersection. That was in intersection that was approved for cherry grove subdivision. It was the same access point there for that subdivision. So they are using the same point.
**Commissioner Earls:** So there is an entrance on 4\textsuperscript{th} street.
**Zoning Administrator:** Two on 4\textsuperscript{th} and that one is proposed, if you go through with it, down on 7\textsuperscript{th} and Moffatt.
**Commissioner Earls:** Thank you.
**Chairman Slabaugh:** Any other questions for Mr. Sullivan?
Zoning Administrator: I will touch also on irrigation, we do have a letter in here from Last Chance which I do believe you have all read. Does state that engineered irrigation system has to be completed. So we will be covered by the irrigation side.
Chairman Slabaugh: I don’t want to cut anybody off, if you have anything to say that’s a concern or that you are not in favor for the application, please speak now. Thank you. Is there a motion to close the public hearing?
Commissioner Earls: Chairman,
City Attorney: Just a reminder, now is the time to get all the information you feel like you need to make a decision. Once we close the public hearing no new information can come in. You can’t get anymore question from the public or ask for additional outside information. Once the public hearing is closed its just the information that was presented in your packet and information that the public expressed to you tonight. Otherwise we would have to notice up a new public hearing and reopen it. That is my only advice just make sure you are one hundred percent absolutely sure you are ready. You have all the information you need and ready to close the public hearing.
Chairman Slabaugh: Pastor Hughes, do you have something to say? Please step up to the microphone.
Pastor Michael Hughes: So one thing that I wanted to say about the 7th and Moffatt street. Our building is going to be facing 4th street. Our main entrances will be on 4th street. We don’t anticipate much traffic on 7th and Moffatt. Our parking lots will be on the 4th street side. And so 7th and Moffatt will just give one more access to emergencies, for a little bit of traffic that may want to go that direction. But I don’t anticipate much of the traffic to head in that direction. Just to speak to that. Also, and just to reiterate that sub development was approved with those streets. I have driven them, they are small, but our traffic will be flowing at any given point will be flowing in one direction, if it does go down those streets, so it’s not going to be major inlet or outlet for the chapel or the school. I don’t anticipate it being. And if it did become a problem or a safety concern then we would definitely address that as things went forward.
Chairman Slabaugh: Any other questions for Pastor Hughes?
Harry Granger: Harry Granger again, 850 S Moffatt. That’s all fine and good to hear that if we have a problem later on we will address it. That’s not the time to do it, it’s now. If that access there is restricted now where it can’t be used until those streets are widened, it makes a lot more sense than saying, well now there’s people going there. If that, on your map says a through street. If you look on your map it says a through street. And that through street is right down to 12th street which is a main artery of town. You don’t see it. You don’t have the whole thing there. Just consider, I hope you will
consider that in your considerations on giving the use permit. Use permit is pretty undeniable as far as building that ground. Restricting access to the back part where there is 15 feet. Your driveways are wider than that. So, most driveways are bigger than that. Your required anything bigger than that in the county. So it needs to be slowed down now not later on. Thank you.
**Zoning Administrator:** I would like to just make a quick comment to Mr. Granger’s statement. It’s very true now is the time to make a decision but with a special use permit we do have leverage. We can review the special use permit if there is trouble coming up. In the future we can review that special use permit and bring it back to the commission and put stipulations on it then if we do not now. But we do have some leverage with special use permits, they go with the property, they stay there, so if there is any outstanding problems in the future we can bring it back and revisit it and address it again.
**Commissioner Earls:** So if we were to do another special use permit would that also entail a notice to the public? To deal with the 7th and Moffatt issue.
**Zoning Administrator:** If there was an issue, we would have to bring it back and revisit that special use permit, if you approve it tonight, we would come back, revisit this special use permit. I’m not sure if it would be a public meeting/public hearing or if it would just be a public meeting.
**City Attorney:** I’m not sure either. It seems to me if you are going to, the initial special use permit required a public hearing I think a review would also require a public hearing.
**Zoning Administrator:** I would suggest doing a public hearing just for that reason. So the public could come back in. They are the ones that are going to be complaining about the issue. So we would want input from the public I would think at that meeting.
**Commissioner Earls:** Okay, so at this point then is there anything that can be done or any requirement that we could make at the 7th and Moffatt at this point to either pass.
**Zoning Administrator:** What we have done in the past on another subdivision, we limited access, we put chains across the road so that it’s emergency. So we did emergency access only, we chained off the road with bollards and we put a chain crossed it so if there is an emergency that needs to get in there they can pop the chain and go in and out that direction but as far as daily flow it limits that. The reason we did it in the subdivision was because there was only one access in and one access out so that gave them a secondary means, but they didn’t want the flow through traffic of that subdivision. That is a means that you can do.
Commissioner Earls: what would need to be done to 7th or Moffatt or wherever this intersection is in order to make that a better entrance/exit street.
Zoning Administrator: The roads are very narrow down there so the only thing that could be done is the roads widened. I think they have only got a twenty-five-foot access. Its very narrow going out of their property its just a little sliver that goes out there. So even a one-way traffic might be, one way in and one way out could be an option also for that property. Because it is pretty narrow, I think that its only twenty five feet. I can’t read the, its on the plan but I can’t read it. But whatever you do, if you do decide to limit you need to put that into your motion and your conditions of approval or denial or whatever.
Commissioner Earls: Mr. Hughes, if we had it as an emergency or in a situation like that, is that something that would work for you guys? Or are you needing more access?
Pastor Michael Hughes: We would like more access but we may block off our parking lot on that direction sometimes anyway, you know with cones to keep people from using that. We would like the access just for people who live in those neighborhoods to be able to access the property. Again, I don’t believe that its going to cause a significant traffic in that area and if it does then we are absolutely willing to revisit that. We don’t want to be a danger to anybody. We would like the access.
Chairman Slabaugh: I think we have one more person back there that wants to say something.
Bryan Griggs: My name is Bryan Griggs and I live at 334 W. HWY 52. That’s a city road back there right? That Moffatt? Is it maintained by the city?
City Attorney: It is.
Bryan Griggs: What does the city maintain as an easement, as a right of way through there? Is it twenty from the center? Is it forty-foot-wide back there? Is it an old alleyway back there? Do we know what they setbacks are for the easement there?
Zoning Administrator: We have a fifty foot right of way from the center line on local streets.
Bryan Griggs: Okay, that was my question.
Chairman Slabaugh: Any more questions? Any more input?
Commissioner Earls: Sir can I ask you what you were, why you asked, why you made that point now? What are you trying to infer here? I don’t mean offence, I mean to understand.
Bryan Griggs: Once again Bryan Griggs 334 W. HWY 52. Just to look at the possibility, I didn’t know if it was an alley way back there or if it was a road or what we have to work with. I mean obviously if we have got a fifty-foot easement back there. There’s plenty of room to widen that road.
Chairman Slabaugh: Mr. Granger this will be your last time because you have on over your three minutes.
Harry Granger: Okay, that’s fine. He is exactly right. That Moffatt is both city and county thru there. Not sure if we have the whole fifty feet on the county part of it which is fine. Once that is the right size it’s no big deal. The problem is now, if you approve it now, without it chained off access or something else, with that traffic, because I have watched traffic for a long time, where that traffic is going to be from 12th street into there. So that needs to be restricted now until that is developed where it is a decent street one way or the other. It would be nice to have both 7th and Moffatt or both if either were the right size would draw the traffic to it. That is why I request the restriction.
Commissioner Butler: Brian, so according to the map you said 4th street has two access points correct?
Zoning Administrator: Yes, two on the front of the property, yes.
Commissioner Butler: two on the front of the property. So, because my eyes aren’t very good on the south side of the property showing this through street is this ending the very southernmost part of this property ends at 12th street?
Zoning Administrator: No that’s 7th and Moffatt right there to the south side.
Commissioner Butler: That is 7th and Moffatt.
Zoning Administrator: That’s 7th and Moffatt, yeah. 12th street is about.
Commissioner Butler: So, it’s two city blocks?
Zoning Administrator: Approximately yes.
Commissioner Butler: the reason I am asking is, I’m sorry, pastor Hughes, you have mentioned you were wanting people to be able to use that access which I understand. The more ways to get into a place the easier it is. So the reason I’m asking is the concern of public who do have to live there. That’s why I am asking just so you know. Thank you.
Commissioner Chapman: A typical mapped through street, I am thinking of next to the middle school where the loading zone is for the bus there is some signage requirements on the front of that is that though public works?
Zoning Administrator: That is all private. Yeah, once it goes onto private property it’s private signage. We don’t take care of anything that way. We only do our city street.
Commissioner Chapman: With the special use permit can signage be.
Zoning Administrator: Yes, you can request of the applicant to put signage up stating it’s one way or whatever, not a through street.
Commissioner Chapman: Emergency access only or something to that effect.
Zoning Administrator: yes, you could request that signage.
Commissioner Butler: Mr. Chairman, I have got one more for you. Pastor Hughes this is for you. I am just curious as to when the main times are for, what time does the school let out, for traffic purposes because there are a few other schools on that street. It does cause a lot of traffic on that street.
Pastor Michael Hughes: Yeah, our school starts at 8:30 so drop off time would be between 8 and 8:30 Monday through Thursday because we don’t have school on Friday. The daycare is open from 6 to 6. And so people kind of drop off. We have a very small parking lot at the daycare right now with maybe oh I would say 15 spots for employees and people dropping off and we have never had any congestion there so it is kind of sporadic throughout the day. You know the people come.
Commissioner Butler: and this is for the daycare.
Pastor Michael Hughes: Yeah, this is for the daycare. Our daycare will not be bigger where we are going than it is now. It will probably actually be smaller. The facility we currently have is sixty eight hundred square feet for the daycare. The new facility we don’t anticipate having more kids than we have now at the current daycare. So that’s not a significant source of traffic. Church is Sunday morning. And I honestly don’t know, right now we have 8:30, 10:30, and 12:30 services on Sunday morning which will probably be reduced down to one service. So there will be some traffic on Sunday morning.
Commissioner Butler: As far as pick up from schools or release time.
Pastor Michael Hughes: Oh, so school release time would be Monday through Thursday at, well there is two school release times because we have elementary school gets out at 3:30 and then junior high and high school get out at 4:00. It kind of breaks that traffic flow up a little bit.
Commissioner Butler: Yes it does for those two schools.
Pastor Michael Hughes: And then church is probably just going to be 10:00 to noonish.
Chairman Slabaugh: are we ready for a motion?
Commissioner Earls: Mr. Chairman, I propose that we close the public hearing.
Chairman Slabaugh: is there a second?
Commissioner Chapman seconds.
Chairman Slabaugh Closed the Public Hearing.
Chairman Slabaugh led the Pledge
Review of Agenda:
Commissioner Earls made a motion to approve the Agenda. Commissioner Chapman seconded the motion. Motion Carried.
Approval of Minutes:
Commissioner Earls made a motion to approve the October 1st, 2018 Minutes. Commissioner Chapman seconded the motion. Motion Carried.
Decision of Public Hearing:
Commissioner Earls: So, Mr. Chairman, I was kind of curious, I was very interested in what you were thinking for the signage. What did you have in mind, what is over at the middle school?
Commissioner Chapman: I was just using that as an example with the middle school. As a similar set up with busses where they drive through there and I know that I believe it just says school bus loading zone no entry or something to that effect. It seemed like it would be an option here to put through street or some sort of signage in place that limit the traffic going on to 7th.
Chairman Slabaugh: yeah it could be a sign for exit only for example or an entrance only with signage on both sides and the other option is close it until it is widened or to put the emergency bollards and chains across so its emergency access only. So these are the typical options.
Commissioner Earls: So if the signs were not proving effective then we could have the other hearing, is that my understanding?
Chairman Slabaugh: I don’t think the signs would prove ineffective. People always disobey signs. How many times have you pulled out of Wells Fargo and turned left. You don’t have to admit to it in public. But there are always going to be people that disobey the signs other than if there is a chain across there. That’s pretty typical in Emmett
especially on Washington Avenue. You know we have limited access all up and down there with signage. So that would be some of the options or to give complete access and see how it goes. You know if there were complaints and those sorts of things. We could revisit it.
**Commissioner Butler:** That’s why I asked when school times get out because I know Black Canyon is out at 2:41 and there preschool lets out at noon. Down 4th street the middle school is 2:45 and so the 3:30 4:30 is actually a better time as far as the 4th street traffic going in and out. Obliviously it is a private school and the buses so there will be parents especially with the move I imagine there are going to be a lot of happy parents because their children can walk to school now but that being said I’m sure there are other parents that are going to have to drive their kids.
**Chairman Slabaugh:** Yeah and I think one thing to consider with the traffic on 4th street I don’t think there will be as much traffic with Butteview school and the administration of Black Canyon high school now plus with the Calvary Christian school there used to be when Butteview was a full elementary school. Did you get all your questions answered as far as 5th street being closed, the ditch water access, those kinds of things? Do you have any questions on the parking and layout?
**Commissioner Earls:** The only thing that I still have a question about is how the map is done I can’t see where exactly it comes into Moffatt and 7th. I mean I’m being told it is on the corner but without it having it drawn on the map specifically I’m struggling with how that looks, and I would like to have a clearer picture of that. But if I can’t I can’t.
**Chairman Slabaugh:** Doesn’t 7th and Moffatt take a ninety degree at that point?
**Zoning Administrator:** Yes.
**Chairman Slabaugh:** 7th street comes down this way and this would be Moffatt.
**Commissioner Earls:** So technically it’s entering on 7th?
**Chairman Slabaugh:** Well it entering right at the bend of the streets.
**Commissioner Butler:** And Moffatt goes straight thru until 12th street?
**Commissioner Earls:** Is 7th and Moffatt the same width?
**Zoning Administrator:** 7th is narrower than Moffatt Avenue. Correct Harry?
**Harry Granger:** Yeah. 18 feet on Moffatt, 15 feet on 7th.
Zoning Administrator: Yes, that corner will be expanded because we do have a minor subdivision right at the corner. They will expand the corner on the opposite side of the road but not where this enters. Which a minor goes through staff for approval.
Commissioner Earls: Is there any plans to improving Moffatt?
Brian Zoning Administrator: None that’s in the works that I know of at this time right now.
Chairman Slabaugh: On page three the required finding of staff analysis with the reminder that when the motion is made you will need to reference the required staff finding and staff analysis. I would recommend also mention the report from public works and the ditch company and those kinds of things. Because they said several times in their letters they are going to require.
Commissioner Chapman: Mr. Chairman, when the motion is made it can be made to adopt the staff finding and all the staff reports.
Chairman Slabaugh: And requirements from public works and the ditch company.
Commissioner Chapman: Does that fall under staff findings?
Chairman Slabaugh: No, that would be separate from staff findings.
Chairman Slabaugh: On A: On page three required findings and staff analysis does require a special use. There was the daycare center wasn’t specially noted but that requires a special use as well.
Recording Clerk Doricela Millan-Sotelo: Doricela pulls up google maps from the projector to get better view of area.
Zoning Administrator: explains were the 7th St. and Moffatt Ave. access point is. Goes over the boundaries of the whole property. Points out 4th street access points. Upon Commissioner Earls request, Brian scrolls out to show where 12th street is. Brian points out S. John’s for Commissioner Butler. Brian also points out the stretch of road that will be improved on Johns. Brian points out 4th St., 12th St., 7th St., and Moffatt Ave. He also points out where the 5th street access point would have been. Chairman points out there will be a roundabout on 4th St. and John’s Ave. when it’s completed.
Chairman Slabaugh: On B: Must be harmonious and in accordance with general objectives of the comprehensive plan of zoning ordinance, any thoughts or comments? On page four at the bottom says title nine zoning regulation. Staff finds the following sections of title nine apply to this application. The commission must find the application is either in accordance with these provisions or they do not apply before the application can be approved. And it has to do with church, private school, nursery is permitted
under the special use permit, in the R zone. Are you in agreement that we are in compliance with that section?
**All:** Yes.
**Chairman Slabaugh:** On C: will be designed, constructed, operated, and maintained, to be harmonious and appropriate in appearance with the existing intended character of the general vicinity and such use will not change the essential character of the same area. Any questions? the requirement of the conceptual plan for both sides showing location of the buildings, parking, loading and unloading, traffic access, traffic circulations, do we need to discuss that? Have you had enough now with the google map to feel like you understand whether or not we are in compliance with that part of it?
**Commissioner Earls:** No something else that came to mind. Mr. Chairman, the subdivision that was planned to go in before, how big was it?
**Zoning Administrator:** I believe it was 50 to 60 lots is what was scheduled to be in there.
**Chairman Slabaugh:** D: Will not be hazardous, disturbing to existing or future neighborhood uses. Any questions?
**Chairman Slabaugh:** E: Will be served adequately by essential public facility, highways, streets, water, sewer, refuge. There is the letter from Bruce Evans, Superintendent of Public Works, and he requests, and one of his requirements is that 5th street access will be denied. And part of the problem there is not just the cul-de-sac and extending it but also coming into a parking lot but there is also a drainage problem in that cul-de-sac that would negatively impact. The parking lot of church is going to be higher than the neighbor’s area and so it will have to be maintained and drainage taken away has already been said. It would have to be in accordance with the drainage and landscaping plan city of Emmett required anyway.
**Chairman Slabaugh:** F: Will not create excessive additional requirements to public cost to public facilities and services and will not be detrimental to the economic welfare of the community. The infrastructure facilities/ utilities are already there and have been approved by Superintendent of Public Works. Any other thoughts?
**Chairman Slabaugh:** G: Will not involve uses, activities, processes, materials, equipment, conditions, or operations that will be detrimental to any person, property, or the general welfare because of excessive production of traffic, noise, smoke, fumes, glare, and odors. We have talked about the traffic to some extent. Any other thoughts, comments? This would probably be a good place to talk about what would be your preference regarding the southern access onto Moffat and 7th.
Commissioner Butler: H: Okay, so we are at a one hundred cars. Mr. Chairman if you could go to section H under the same section of the zoning. Staff findings of vehicular approaches proposed, two on E. 4th and one on S. Moffatt Street will be adequate.
Chairman Slabaugh: Did you have a comment on that?
Commissioner Butler: That’s my comment.
Chairman Slabaugh: That was your comment. Okay. Go Back to E: that was raising a question of 5th street. The general design for the area and it mentions there in the staff findings. The Emmett school district office, Black Canyon High school, formerly Butte View Elementary school, there is the LDS church in the neighborhood, it’s not very far from many of those. There are a lot of those uses already in that area.
Commissioner Chapman: Can I ask Brian a question? When the building permits are submitted for signage, barricades, or bollards, is that part of your approval before the actual building permit.
Zoning Administrator: Yes, what we will do is a certificate of zoning compliance first when they first start the project to make sure everything is in compliance with parking, signage, lighting, landscaping, all those requirements are met and whatever requirements you might put on this special use permit have to be reviewed at that time. Which I would be the one reviewing that.
Commissioner Chapman: Is it typical or standard process for, I know in other jurisdictions they have had, I have has this scenario where it been required where we provide a traffic study seeing what impacts by a designed professional or either option as to limit the access if we are concerned about it provided by a traffic study or is that opened deal up for interpretation.
Zoning Administrator: I am not sure one that one.
City Attorney: I don’t think we have anything in our code that requires a traffic study.
Zoning Administrator/Building Official: For a subdivision or a large annexation we do but for a special use permit we don’t. For building permits we don’t either.
Commissioner Chapman: So if it were presented, would it be acceptable if either provide signage limiting this or traffic study saying that 7th street adequately provides access too. I don’t know if that is making sense. It would be nice to see some data if it was a requirement and they wanted it no matter what and they could provide the study that would limit this at certain times of the day would impact with the street or something to that effect.
Commissioner Earls: How expensive are traffic studies roughly? Do you know?
Chairman Slabaugh: The last one I looked into was twelve thousand dollars.
Zoning Administrator/Building Official: That was on Washington Avenue.
Commissioner Earls: Is that because of the location? Was it a business related?
Chairman Slabaugh: Well that was according to Idaho transportation department which would require probably a much more extensive. One of the difficulties with a traffic study is all you can do is study what the traffic is now and then guess at what it is going to be added impact.
Zoning Administrator: Yeah, it’s just an educated guess.
Commissioner Earls: I don’t feel that a traffic study would be an appropriate thing. I also think it is cost prohibitive in a situation like this. The way I feel about this start out least restrictive with signage, but I’m open discussion about that.
Commissioner Chapman: The traffic study is more if you didn’t want to put signs up or didn’t want to put a barricade up then this would be an option. If a person has done a study and its adequate.
Chairman Slabaugh: Well lets kind of get back into it. Probably the most restrictive that would make sense would be the chain and bollards for emergency vehicle use only. And then the least restrictive would be just open it up. So commissioners are you more in favor of something not totally restrictive but something that is least restrictive?
Commissioner Earls: I am of the mind that I would like to see signs verses a chain across just because I understand the need to, I mean one way or, however they do it, however the traffic flow works. I do believe that most people will come in off of 4th street.
Chairman Slabaugh: The way to do it with signage for one way is it would be an exit only for people leaving the property, it wouldn’t make sense to have an entrance only there. But to me it makes sense to have an exit only because at peak hours your reducing the traffic on 4th street to some extent. You know when people come out of the church parking lot as they leave the church, they have the opportunity to go south or to go north. That’s when they want to go home the quickest. They are not in a big hurry to get to church right. I’m a pastor so I think I can say that. How many show up on time. So I think for a restriction it would be an exit only at that point. Just it would say, exit only, not entrance. You would have signs on each side of the street and one would say exit only so people would hopefully obey that. Their good Christian people.
Commissioner Butler: I agree with what you said as far as maybe doing a one-way traffic. I’m leaning toward that because I want to address the concerns of everyone who lives there. I also live in a subdivision where people use it for a drive through and it
drives me crazy but it is a city street and there is not a lot I can do about it. I would like it to be one way on my street. The least amount of blocking access I think would be better. Hopefully the church itself can encourage participants to respect that especially during those times when the traffic is going to be flowing.
**Commissioner Chapman:** I agree. I like the signage requirement limiting, trying to make it work everywhere. The only reason I was bringing up the traffic study was if the applicant needed it and was dead set against it. Then that would be an option. I think limiting it is good. Hopefully that will work for everyone as well. I think that it falls in the staff findings.
**Commissioner Earls:** Where did we leave off at?
**Chairman Slabaugh:** Letter I, that’s where we left off.
**Chairman Slabaugh:** I: Would not result in the destruction, loss, or damage of natural scenic, or historic feature of major importance. I think we realize that it doesn’t do that.
**Commissioner Earls:** Mice aren’t scenic?
**Commissioner Butler:** Sorry people you are still going to have mice.
**Chairman Slabaugh:** The church might have trouble with cats for a little while. They will find another place to hunt. Anything we haven’t addressed or discussed yet?
**Commissioner Earls:** Are you preparing the motion?
**Commissioner Chapman:** Just making notes.
**City Attorney:** So presuming you are ready to make a decision you really have three choices: One is to approve, two is to approve with conditions, or three is to not approve. Brian has got a suggested motion in there under his recommendation but of course you are always free to add in your own conditions and change the wording.
**Chairman Slabaugh:** You will notice there if you recommend approval of this application you will have to add in the motion to adopt the staff report, adopt all staff findings and staff comments, and I would recommend we adopt the statements of the Public Works Department and the ditch company as well. And then if we add a condition related to one way exit onto 7th St. and Moffatt Ave. Then that would be the condition that we would add. I don’t think we talked about any other conditions, did we? That condition could be stated for a one-way exit.
**Commissioner Earls:** And that’s the ditch manager correct? Or did you mean the company?
Chairman Slabaugh: Well it would be the company. Last Chance Ditch Company.
Commissioner Chapman: Mr. Chairman, I would like to make a motion to approve the application adopting the staff report, all staff findings, all staff comments, the city of Emmett Public Works Department findings, and the Last Chance ditch company’s findings, be a part of the approval in addition to the findings, the applicant provides signage at 4th street entrance and limiting access to exit only onto 7th street or some means of restriction there. This signage would need to be approved and submitted to the Planning and Zoning Department as part of the Buildings Departments plan approval.
Chairman Slabaugh: Is there a second to that motion?
Commissioner Earls: Wait, I have a clarification. You said signage on 4th street not on 7th and Moffatt.
Commissioner Chapman: I’m sorry. Signage at the entrance limiting the access to 7th St.
Commissioner Earls: Do you mean at the entrance on 4th street or do you mean the signage should be at 7th and Moffatt because I think that’s where the signage should be?
Commissioner Chapman: I guess both. All entrances have posted signage.
Commissioner Earls: So we probably need to redo that then.
Chairman Slabaugh: Can you clarify your motion?
Commissioner Chapman: clarifying my motion. At all entrance’s signage will be posted and the signage plan would be submitted to the planning and zoning department as part of the approval process of the permit.
Chairman Slabaugh: With exit only on the 7th street.
Commissioner Chapman: Correct.
Chairman Slabaugh: Is there a second?
Commissioner Butler: I second.
Chairman Slabaugh: Commissioner Butler seconds. Is there any question now on the motion itself? All in favor?
Motion Carried.
Items from the Public:
Unfinished Business:
Items from the Commission:
Items from the Building Official/Zoning Administrator:
Commissioner Slabaugh set next regular meeting to January 7th, 2019.
Next Regular Meeting –January 7th, 2019
Commissioner Earls made a motion to adjourn. Commissioner Chapman seconded the motion. Motion Carried.
Meeting adjourned at 7:36 p.m.
Chairman Bill Slabaugh
Acting Secretary
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INTERNATIONAL JOURNAL OF LAW MANAGEMENT & HUMANITIES
[ISSN 2581-5369]
Volume 4 | Issue 3
2
021
© 2021 International Journal of Law Management & Humanities
Follow this and additional works at: https://www. ijlmh. com/
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The Data Protection Regime: A Critical Analysis of Global Scenario with Special Emphasis on India
SAKSHAM MAHAJAN 1 AND MANAS AGRAWAL 2
ABSTRACT
Today, in this era of rapidly changing technology, everything from monetary transactions to private data has been and is yet getting digitally transformed. If one has to send his credentials, one tap and the person on the other end will receive it. The same goes for several other day to day activities. However, it is the ever-increasing want of the bureaucrats of various nations who are trying to hamper the growth of this digitalized mechanism. Be it is for the purpose of national security or for its own selfish and shallow reasons, the governments are leaving no stone unturned to gather the information of its citizens.
Recent trends make the desperate attempts of government to seek as much personal data of its people as possible clearly visible. Linking of the Aadhar cards, latest proposed amendment to acts are all illustrations of such hustle. In the paper, the authors seek to put forth an analysis of the different models of three countries, namely The United States of America, The Republic of China and the Europe, as to how they gather information of their citizens and put forward their national policies. Then, the current situation of India has also been studied and critiqued minutely on the basis of the recommendations of Justice Verma Committee along with the study of the proposed amendment regarding the Bills Act. Later, a different view has been put forward by authors by studying the different side of the issue of data gathering as how much the nation's data is secured with the Government of India and as if the Government is ready to securely keep and protect the humongous amount of digital data from any sort of cyber-attacks.
Keywords:
Data protection, Data privacy.
I. INTRODUCTION
The recent past has undoubtedly witnessed a sudden shift, growth as well as transformation in the technological field. This transformation of technology has indeed led to the birth of
1 Author is a student at Amity Law School, Noida, India.
2 Author is a student at Amity Law School, Noida, India.
extremely complex and sophisticated problems as never seen before some of which are data theft, cyber-attacks and foreign surveillance. Looking forward to the technological advancements and the ever-increasing enormous amount of data being collected and processed on a daily basis across the globe, the grave need for a dedicated law over the subject was realized. The developed and more technologically advanced nations enacted independent legislations dealing with the matter of data protection so as to protect personal and sensitive data of the state from being compromised.
As far as the term "data" is concerned, as yet it lacks a clear and precise legal definition however several countries across the globe have attempted to define what comprises personal or sensitive or sensitive personal data through definition clause of their exclusive legislations dealing with the data protection regime. The General Data Protection Regulation, 2018 of Europe more commonly referred to as (GDPR) vide Article 4.1 and Data Protection Act, 2018 of UK modelled on GDPR serve as best examples of such comprehensive definitions defining personal data.
However, as far as India is concerned, it still seems to be at a primitive stage in this regard and lacks any separate exclusive legislation dealing with data protection. In India, The Information Technology Act, 2000 along with rules made thereunder which is "Information Technology (Reasonable Security Practices and Procedures and Sensitive Personal Data or Information) Rules, 2011" introduced under Section 43A of the Act vide notification no. G.S.R. 313(E) of 13 April 2011) make up the legislative base for data protection.
Looking forward to the rapidly changing times as well as the immediate need that was being increasingly felt due to lack of any exclusive legislation over the subject, in an attempt to join the league of western nations, India also Introduced the Draft Data Protection Bill, 2018 and subsequently The Data Protection Bill, 2019 was introduced as recently as 11 th December 2019 by Ravi Shankar Prasad, Minister of Electronics and information technology. The bill provides for establishing Data protection authority so as to ensure protection of personal data of individuals.
Generally, personal data includes private information and data about a person such as health and medical records, sexual orientation, financial information, passwords and other such information. Currently in India, Rule 3 of "Information Technology (Reasonable Security Practices and Procedures and Sensitive Personal Data or Information) Rules, 2011" define Sensitive Personal Data and includes all aforementioned information within its ambit amongst
several others. 3 The Data Protection Bill, 2019 is amongst a few legislations which defines the term "data". S. 2(11) of the Bill provides that "data" includes a representation of information, facts, concepts, opinions or instructions in a manner suitable for communication, interpretation or processing by humans or by automated means. 4
Besides defining the term data, the bill also provides comprehensive definitions for several other terms such as biometric data, genetic data, financial data, health data, personal data and sensitive personal data and also defines harm and person.
Deliberation over the topic of Data Protection raises a question in our minds that what is the need to protect data. The answer to this question though simple requires a radical insight in several aspects of law such as Privacy, Human Rights and morality. Hence, the legal regime over data protection aims at setting up of practices, policies, procedures, and penalties in case of any breach so as to prevent and prohibit undue intrusion into one's privacy caused by collection, storage and/or dissemination of personal data.
The Indian constitution does not manifestly grant the Fundamental right to privacy. However, the recent judicial opinion is somewhat different. The Indian courts have read right to Privacy as natural, inalienable and integral part of other existing Fundamental Rights which are Right to Freedom of Speech and Expression under Article 19 (1)(a), Freedom of Movement under Article 19 (1)(d) and Right to life & Personal Liberty under Article 21 of the Indian Constitution. However, the fundamental rights are subject to reasonable restrictions especially in case of freedoms provided under Article 19, Article 19 (2) to Article 19(6) provide for reasonable restrictions that may be imposed by the state under certain circumstances.
Recently, the Landmark Judgement of the case Justice K S Puttaswamy (Retd.) & Anr. vs. Union of India and Ors. 5 , which overruled – MP Sharma v Satish Chandra, District Magistrate, Delhi (8 Judges Bench) 6 as well as Kharak Singh v State of Uttar Pradesh (6 Judges Bench) 7 and rather upheld the decision Gobind v State of Madhya Pradesh 8 & R Rajagopal v State of Tamil Nadu. 9 These subsequent decisions which affirmed the existence of a constitutionally protected right of privacy, were rendered by Benches of a strength smaller than those in M P Sharma and Kharak Singh. In Puttaswamy Case, the constitution bench of
3 Information Technology (Reasonable Security Practices and Procedures and Sensitive Personal Data or Information) Rules, 2011. Rule 3.
4 Data Protection Bill, 2019.Section. 2(11).
5 [2017] AIR 10 SCC 1.
6 [1954] SCR 1077.
7 [1964] 1 SCR 332.
8 [1975] 2 SCC 148
9 [1994] 6 SCC 632.
the Hon'ble Supreme Court finally cleared this cloud of ambiguity and has held Right to Privacy as a fundamental right, subject to certain reasonable restrictions.
Hence looking forward to the history and present scenario, there's an immediate need to discuss and deliberate over the Data Protection Regime of India and compare it with those of other well-developed nations in connection with the Fundamental Right to Privacy. Also, there is a need to look over to the situations prevailing in different countries and steps taken therein to tackle the modern data protection problems. The researchers have attempted the same in fore coming sections of this paper.
II. GLOBAL ANALYSIS OF DATA PROTECTION REGIME
In this section, the authors have made an attempt to advance the comparison between three types of models of data protection. These three models are pioneered and followed by the most advanced countries of the globe. First, is that of the United States, Second of the European Union and lastly, of the People's Republic of China.
The United States of America follow a laissez faire system of data protection and does not have an overarching data protection framework. The US lacks Federal legislation for data protection. Along with this, there are several state levels laws in this regard. Due to the dominance of the state level laws, the state attorney general plays a key role in the enforcement. Also, at the Federal level, there is the presence of Federal Trade Commission which has an authority to ensure that there is compliance with data protection laws. Along with this, the bigger problem that persists is that the states have different laws with less unanimity. This can be analysed by the fact that all States of the US have adopted data protection notification laws of some sort, however there are differences in the definition of the term 'personal data' and as to what circumstances lead to breach of such data.
The American courts have however, collectively recognized the right to privacy protections being reflected in different constitutional amendments. The Fourth Amendment prohibits 'unreasonable searches and seizures' by the government. 'Reasonableness' of search can be premised on the putting forward of a valid judicial warrant. Reasonableness can also be established if one of the exceptions to the warrant exists, as established by the courts and along with that if the government meets any additional reasonableness test applied by the courts in particular circumstances. However, the scope of Fourth amendment is pretty limited in the context of data protection 10 . This is because the scope of the amendment is cut short by the
10 Bowden C and Bigo D, 'The US Surveillance programmes and their impact on EU citizens' fundamental rights' (2013)
words 'where the individual has legitimate expectation of privacy' 11 . In the 1970's, the Supreme Court in different cases held that individuals have no "legitimate expectation of privacy" in information which they are voluntarily turning to third parties, including telephone records 12 and banking records 13 and therefore most of the government data processing falls outside the purview of the Fourth amendment. The Federal Courts of Appeal has observed that this is an issue in which 'Supreme Court's jurisprudence is in turmoil'.
Also, there has been a made a fourteenth amendment in the American Constitution. Though this amendment was not related to the data protection but did protect the privacy rights of a pregnant woman. As per the change, several State and Federal Abortion Laws were declared void. The state has no right to interfere with the rights of a pregnant woman when she opts for abortion, however, certain conditions were indeed proposed 14 .
There is also a Federal Act present which regulates the collection, use and disclosure of all types of personal information, by all types of federal agencies, including the law enforcement
agencies called the
Privacy Act of 1974
. This Act seeks to ensure transparency in personal data processing of individuals by alerting them about the presence of a personal records system by
publishing a notice in the Federal Register.
There are several states of America which are actively developing and amending their data privacy legislation, and detailing their similarities and scaling out the differences in their
approaches, illuminating the complexities in privacy protection.
The California Consumer
Privacy
Act is an initiative against the tech giants who have been collecting the data of users and selling them over for long period of time. The Act incorporates the core principles of data
protection and data privacy of the European Union's, The GDPR Law. This Act will come in force from 1
st
January, 2020. The next Act is by the State of Massachusetts called the
Standards for The Protection of Personal Information
of Residents of the Commonwealth. This legislation is very important for the protection of Massachusetts residents against any sort of
data theft or identity fraud. Any organizations which licenses, stores or maintains about personal information about the residents are required to follow a comprehensive information
security program. The next law is the
Minnesota Government Data Practices Act of 1979.
This Act safeguards the rights of residents of State of Minnesota to access government data and controls collection and storage and use and dissemination of private data.
11 Katz v United States (1967) 347
12 Smith v Maryland (1979) 442 US
13
United States v Miller (1976) 425 US
14
Roe v Wade (1973) 410 US
Next is the model of the European Union. The EU has been at the forefront of global protection norms. Recently it has enacted in 2018, the EU General Data Protection Regulation (GDPR) Law, replacing the Data Protection Directive of 1995. This model has inspired the California Consumer Privacy Act.
According to the law, the focus will be on the users that they fully know, understand and consent to the data collected about them. The users will not be forced to consent before signing Personal data is information that relates to an identified or identifiable individual. If you cannot directly identify an individual from that information, then you need to consider whether the individual is still identifiable. You should take into account the information you are processing together with all the means reasonably likely to be used by either you or any other person to identify that ". The law provides that unless there is a detailed consent given by the data subject for one or more purposes, the data cannot be processed till there is atleast one legal basis to do has enlisted different provisions for data collection.
in on any online platform. According to the European Union Commission, " individual so. For this purpose, Article 6 of the GDPR The rights of the subject are very carefully taken care of by attaching different rights. These rights include information and access of subject's data, rectification and erasure of data and right to object and automated decisions. Article 25 makes sure that data protection measures are designed and incorporated in business procedures for products and services. Different measures are employed by the data controller in this regard. Pseudonymization of personal data of subjects is one such method. The law is one of the best pieces of legislation in the world relating to the data privacy and protection. However, there are some limitations present. One such limitation is its wording. The wording of law is weakening it as the data of the subjects can be collected by the outside entities and processed outside of the EU. Thus, resulting in 'escaping of the data' to foreign lands.
Another latest model being established is that of People's Republic of China. The PRC lacked a comprehensive legislation protecting the privacy and data protection laws. However, in 2018, the PRC Cyber-security Law came into force and became the first piece of legislation to address the cyber-security and data protection concerns by the name of the Information Security Technology – Personal Information Security Specification. From the law passed by the PRC, a different approach has been observed. PRC has made clear its intention that it intends to link data protection with the cyber security, which is in contrast with its counterparts. Many at times it was found that the data of its citizens was leaked and being sold illegally. Article 64 provides for the stringent actions to be taken against culprits responsible for privacy breaches and cyber-attacks, including warnings, ratifications, confiscation of illegal earnings,
and fines; in severe cases, the punishments may cover suspension of related business, winding up for rectification, shutdown of their website, and revocation of their business license.
III. DATA PROTECTION REGIME IN INDIA
The past few decades have witnessed enormous developments as well as transformations and transitions in the field of technology. However, the Indian legislative attitude suggests that Indian legislature has been slow to respond and mould its legislative environment in accordance to the fast-moving technology and the rapidly changing times moving times. The Indian Legislative scenario has been pretty much different from that of European Union which adopted the Data Protection Directive as early as 1995. EU recently introduced General Data Protection Directive popularly known as GDPR which assumed force since 25 th May, 2018.
Unfortunately, India still as of yet lacks an exclusive legislation over Data Protection and it is pertinent to note that the Information Technology Act as originally passed did not contain any provisions relating to protection or procedure to be undertaken so as to protect an individual's Sensitive personal data. It was only in 2006, when India realized the immediate need to protect data, as digitalization was taking place and the amount of data being collected stored and processed was more than ever before. This finally led the introduction of Information Technology (Amendment) Act, 2008 the provisions of which came into force in 27 October, 2009. This Amendment introduced several new sections related to privacy, cybercrimes, monitoring, surveillance and data protection. In context of data protection, S. 43A and 72A were inserted and it was the first step towards data protection regime in India. Subsequently, the Central Government in exercise of Powers Conferred under S.87(2)(ob) read with S.43 A of the IT Act, 2000 introduced Information Technology (Reasonable security practices and procedures and sensitive personal data or information) Rules, 2011 (hereinafter referred to as the "2011 Rules").
S.43A provides for the liability of a corporate body when it possesses or deals with sensitive personal data of Information and is negligent while delating with such data and consequently causes wrongful gain or wrongful loss to any person. S. 72A provides for punishment in case of breach of lawful contract.
The 2011 Rules were notified vide notification G.S.R. 313(E) in April 2011, the Rules apply only to corporate bodies and persons located in India. Rule 3 defines "Sensitive Personal Information" (SPD) and includes within its ambit information such as passwords, sexual orientation, biometric and financial information etc. It if further made clear that the information
in Public domain falls out of the Scope of SPD. 15 Rule 5 to Rule 8 deal with the procedures and practices to be adopted by the Corporate bodies while dealing with the SPD. These include drafting a privacy policy and making it easily accessible to information provider, seeking permission to disclose such information to any 3 rd party, duties of the corporate body and lastly the international standards and reasonable security practices and procedures to be adopted by the body corporate. 16
Interestingly, data protection regime also experienced a shift with to Right to Privacy being lifted up to the pedestal of Fundamental Right. The Position was very uncertain and doubtful till the Nine Judge Bench passed the judgment of K.S Puttaswamy v. Union of India 17 in 2017. This Judgement made the position clear and held Right to Privacy to be a Fundamental Right under Article 21 of the Indian Constitution. The Apex Court of India has read right to Privacy as natural, inalienable and integral part of other existing Fundamental Rights which are Right to Freedom of Speech and Expression under Article 19(1)(a), Freedom of Movement under Article 19(1)(d) and Right to life & Personal Liberty under Article 21 of the Indian Constitution. However, the fundamental rights are subject to reasonable restrictions especially in case of freedoms provided under Article 19, Article 19(2) to Article 19(6) provide for reasonable restrictions that may be imposed by the state under certain circumstances.
Before the Puttaswamy Judgement the position was uncertain as the in the first two cases relating to Right to Privacy, first MP Sharma v. Satish Chandra, District Magistrate, Delhi 18 rendered by a Bench of eight judges and the second, Kharak Singh v. State of Uttar Pradesh 19 rendered by a Bench of six judges observed that the Indian Constitution does not specifically protect the Right to Privacy.
However, the Supreme Court also took note of several decisions of this Court in which the right to privacy has been held to be a constitutionally protected Fundamental Right. Those decisions include: Gobind v. State of Madhya Pradesh 20 ; R Rajagopal v. State of Tamil Nadu 21 ; and People's Union for Civil Liberties v. Union of India 22 . These subsequent decisions which affirmed the existence of a constitutionally protected right of privacy, were
15 Information Technology (Reasonable Security Practices and Procedures and Sensitive Personal Data or Information) Rules, 2011. Rule 3.
16 Information Technology (Reasonable Security Practices and Procedures and Sensitive Personal Data or Information) Rules, 2011.
17 (2017) 10 SCC 1.
18 (1954) SCR 1077.
19 (1964) 1 SCR 332.
20 (1975) 2 SCC 148.
21 (1994) 6 SCC 632.
22
(1997) 1 SCC 301.
rendered by Benches of a strength smaller than those in MP Sharma and Kharak Singh. Faced with this predicament and having due regard to the far-reaching questions of importance involving interpretation of the Constitution the matter was Referred to a larger bench of Nine Judges so as to finally adjudicate and make the position clear in respect of Right to Privacy. Hence, the Supreme Court finally cleared out the dense cloud of ambiguity in K.S Puttaswamy v. Union of India (2017) 23 and unambiguously held Right to Privacy to be a Fundamental Right under Article 21 of the Indian Constitution.
With the passing of this judgement the B.N. Srikrishna committee was setup upon the report & recommendation of which Draft Data Protection Bill was introduced in 2018. On 11 th December 2019, the Data Protection Bill,2019 was introduced in the parliament which had certain major deviations from the recommendations of the committee and was an amended and altered version of 2018 draft. The bill has not yet seen the light of the day, once it is passed it will be an exclusive law over data protection. It will be interesting to see how Indian legislature will meet the needs of the day, along international standards set by EU and US as well as how it will overcome modern challenges.
IV. DATA PROTECTION: ANOTHER ASPECT
The data protection should be assessed from a different angle, that is, the preparation of government to protect the digitally gathered data from any potential cyber-aggressions.
Government of any country has a very grave responsibility of ensuring that the data gathered by it is in safe hands. By safe hands it is meant that the data should be protected against all sorts of cyber-attacks, cyber vulnerabilities as well as against any negligent handling. Any data which has been obtained by digital means is for sure prone to such aforementioned problems. However, it has been observed and analysed that the Government of India is still not prepared to counter such insurgencies and protect the public's data. By this, a very important point needs to be covered that the cyber threats mentioned above are different from the cyber vulnerabilities. A cyber vulnerability is not any type of virus or malware but some deficiency in the operating systems of electronic machines like computers. For instance, an alert has been generated by the Ministry of Home Affairs that a bug has been found in the Android Operating System by the name of "Strandhogg". This bug is not any sort of malware still can attack the personal data of its user and give hackers the autonomy to exploit the users' data.
Now coming on to the cyber vulnerability, recently a major malware-attack on one of India's
23 (2017) 10 SCC 1.
Nuclear power plant was seen. This attack took place on the "Kudankulum Nuclear Power Plant" situated in Tamil Nadu. This power plant was established in accordance to jointpartnership of India and Russia. The magnitude of this attack cannot be over seen. The catastrophe which can be caused by exploiting the data of any nuclear power plant of any country needs no explanation. The reason why this issue needs an early hearing is because if the government is not able to protect its own confidential data of research and experiments, then how it seeks to assure the citizens of the country that their data will be secured with it and no exploitation of it will take place. This type of issue raises questions over the national security of India.
The information regarding the cyber-attack on the power plant was with the Government of India weeks before the actual press release was made. However, the Government tried to hide this fact that installation facility of such power plant was hit by such attack. The famous cyber security analyst of India, Mr. Pukhraj Singh gave a statement that cyber-attack has resulted in the "domain-controlled level access at Kudankulum Nuclear Power Plant". Accordingly, it was also claimed that "extremely mission-critical targets were hit" and the government was notified "way back". After that, the pressure of media rose, resulting in the official release. The virus which hit the systems of the power plant was "D Track" virus. This type of malicious software is used by North Korean backed hackers' group "Lazarus".
These hackers have notorious history of using this type of virus in other countries too, for instance, against South Korea in the recent past. Hereinafter, the more shocking discovery which was made was that the computer containing the critical data was of an administrative level computer. These types of computers do not have any connection with the outside world as they are not connected via the world-wide-web. So, to target these computers, there needs to be an insider who has to inject such malicious software manually through hard disc or pendrive or through any other means. So, a conclusion is drawn that a scientist belonging to the facility has tried to sell out the information of the power plant to an outsider. Though the technology containing systems were not infected, still the files containing the functioning of the power plant were compromised.
Yet no official release has been made confirming that who actually did this cyber-attack and what kind of official confidential data was taken. It is often said that the Government of India has still no measures to fight a cyber war and protect its digitally secured data. Mr. Sudhir Kumar, former Director General of the Defence Research and Development Organization, specifically has warned in the past regarding this 'fifth dimensional warfare' and India's vulnerability against it. Unlike other countries like China or the United States, India has no
[Vol. 4 Iss 3; 3159]
special means to combat these types of breaches. If an internal attack can be conducted from within the power plant, then any other brutal attack can be launched against systems which are connected with the outside internet services crippling our banks and other institutions.
This critical analysis of assessing the other aspect connected with data protection, that is, cyberattack on digitally stored data with the government, is inserted only with the aim of providing a self-introspection, as to whether our facilities are well equipped to safeguard the digitally collected, secured and confidential data of its own people against any sort of cyber aggression or will be at the mercy of cyber aggressors. If the government was not able to safeguard its own data, how the public can trust as if it would be able to safeguard their information too. It is the need of the hour to first strengthen our own technologies and facilities before taking the responsibility of gathering the private data.
Another instance is seen in the time of Coronavirus pandemic. The Government of India in one of many initiatives launched the 'Arogya Setu' mobile Application. Through this application, the main aim is to assist people in assessing whether they are showing any symptoms of COVID-19 or are they being vulnerable to it or any associated risk. The noble intentions of the Government cannot be suspected to be tainted, but the issue which popped up was with respect to the way user data is collected and how it violates user privacy. This app was launched by the Ministry of Electronics and Information Technology under the Central Government. The app uses cutting edge Bluetooth technology, artificial intelligence mechanism and algorithms for collection of data. However, the issues came with the transparency of the working of application. There was not much information provided with respect to the usage of collected data and time limit till when it will be stored. This is because the app's privacy policy specifies only the data available on the app and does not specify how long the Government of India will retain 'sever-side data'. Further, the proportionality aspect of this app is also an issue as if the proportionality test ,as given in the Puttaswamy Judgment, is applied then to which extent the privacy of an individual be compromised for greater public good. The foremost concern was that the application was not an open-based application which meant that not everyone can access the data collected in this app. Further, it was a criminal offence for anyone who via reverse-engineering crack its code. Next issue being that the Government of India can share data collected with anyone for medical or other administrative intervention 24 .
So to address these issues The GOI on 11 th May, 2020 released guidelines to clear confusions. The Government provided that the data shall be made 'de-identified' which means it will get
24 Privacy Policy, Arogya Setu Application, Clause 2(a)
stripped off from any collected personal information of the users. Further, with whom data might be shared was broadly told and the data shall be kept for 180 days. Yet the vagueness prevails, as this cannot be done by an Executive Order as now legislation to protect the data privacy of the citizens prevail in the country, though one such Bill is pending in the Parliament and only needs the President's approval. And more precisely to be said, the Government is again going with the "Adhar Way". Now, it was expected that specific third parties name might be told with whom the data might get shared but again no clarification was given as the Government can do so with whom it seemed necessary. Further, the process of 'deidentification' can be reversed to get know of whose personal information is stored with the government database. Recently, to re-address the issues, the Government made the android version of the app 'Open Sourced', through which software developers can easily check and improve the functioning of application. To show the app's robustness, the Government launched a bug-bounty programme to find any vulnerability or flaws in the Aarogya Setu App. However, the concerns were not fully again addressed. The Source Code released by the Government was of the previous version of the application which 1.1.3 and not for the version 1.2. Also, the 'server side code' was not made public of the app. This is one such instance which despite falling under the protection of unprecedented emergency circumstances raises concerns over continual arbitrary use of powers by the central government conferred upon it under the it act allied rules along with its effect on the privacy concerns of the common public. The holistic view of the current data privacy regime in India alongside the conduct of the government has somewhere sent out a message that it reserves with it unfettered powers to manipulate data privacy laws as per its whims and will. However the future though under a cloud of haze as of yet provides a faint ray of hope with data privacy bill still pending to receive assent of the president.
V. CONCLUSION
India has seen a seismic shift of its stand on the issues of right to privacy. The passing of the Puttaswamy judgement has elevated the status of privacy to that of the Fundamental Right of Right to Life as enshrined under Article 21 of the Indian Constitution.
Though, India does not have an umbrella legislation which will take of all the issues of privacy, data breaches and prevention from cyber-attacks, it must observe the measures being adopted by different countries. Each model of data and privacy protection of countries mentioned has its pros and cons as to cater the needs of their specific regions. As seen in the USA, there is presence of both federal and state legislations; in the EU there was an overhaul of its existing
law to cater the needs of its citizens and in China, a whole new different approach is followed.
Unfortunately, India as of now has no such robust legislation to protect its citizens from any sort of privacy breaches. Though, the Government of India has proposed for the passing of a new legislation called the Data Protection Bill, it has been varied from the recommendations as provided by the Justice Srikrishna Committee. The new bill has given unchecked power to the Government. It has also provided for setting up of Regulatory Authority, yet this also seems to have been flawed. The recommendation has provided for the members to be independent from the Government, but the same is not incorporated in the bill. The want of Government to intervene so much into the lives of people in the name of any arbitrary reason has been a sign of worry. Along with this, it was also assessed that the government is still in its primitive stage when it comes to protecting its own confidential data from cyber aggressors. If the government is not able to guard its own top-secret information, not much can be expected from it with regards to its citizens' private data.
Therefore, it is submitted that India first needs to introspect the need of the hour by clearing the clouds of its own self-governed beliefs. A well planned and comprehensive legislation needs to be enacted, in which at the enforcement front, an autonomous panel can function without any pressure. The recommendations forwarded by the Justice Srikrishna Committee should be seriously taken into consideration without any tampering. After that, a strong 'Anti Cyber-Attack' force is required to be established to protect the nations', including citizens' and Government's, digitally stored data. Then only, the government should embark on its journey of data collection.
*****
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Tagline
Short synopsis
Long synopsis
Ángela Vidal, the spunky young television reporter that entered the building in 2007 has exited with the swat team. Little do they know that she carries the seed of the strange demonic infection. She is taken to an oil tanker miles off shore which has been especially equipped for the quarantine...
Technical information and credits
Original title: [REC] 4: Apocalipsis
English title: REC 4: Apocalypse
Year: 2014
Country: Spain
Language: es
Subtitles: cz
Running time: 91 min
Dostupnost:
Awards
Genre: Action, Horror Directed by: Jaume Balagueró Written by: Edited by: Cinematography:
Actors
Manuela Velasco, Paco Manzanedo, Héctor Colomé
Films partners
Film Europe s.r.o. V Jámě 1, 110 00 Praha 1 info@filmeurope.cz www.filmeurope.cz
Film title
REC 4: Apocalypse
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Implementing our healthcare data integration and management platform enabled a national home health service provider to offer their payer clients centralized, efficient, and scalable data onboarding along with enhanced and broader advanced analytics.
- Data Quality Management
- Healthcare Big Data Processing
www.citiustech.com
The Business Challenge
Our client is a leading risk-bearing entity (RBE) and home health service provider extending in-home primary care services to more than 100k members with chronic conditions across 15 states in a value-based model with 20+ health plans. The client struggled to manage multiple streams of inconsistent data sources and onboarding new health plan clients efficiently. They wanted to establish repeatable, standardized data management processes that would improve efficiency and accuracy, enhance downstream data collaboration, and support high-value business decisions.
Key challenges faced:
- Every new health plan onboarding was reinvented as a new project with ground-up development and no economies of scale by repurposing of existing code
- Downstream data-sharing was complex, requiring significant custom development
- Low-data reliability was driving erroneous business decisions like incorrect client billing
- Staff had to invest considerable time and energy to resolve data anomalies and the negative impact on health plan clients
The Solution: PERFORM+ DataScale Data Mgmt. Platform
After a detailed discovery phase, CitiusTech implemented its data quality management platform, PERFORM+ DataScale, including necessary customizations to address the customer’s business priorities.
Several solution capabilities transformed their stakeholder experience:
- Creating standard file specifications and repeatable processes for onboarding new health plan clients
- Establishing methods for managing a variety of file formats for payer administrative, regulatory, and clinical data formats, including claims, membership, provider, gaps, risks, CMS MMR, MOR, RAPS, etc.
- Developing a comprehensive set of pre-built data quality rules across various file formats for enhanced data reliability, as well as rule configuration management UI and triggers to indicate the need for custom data rules
- Designing dashboard utilities for monitoring data quality in real-time, and managing data run schedules and operations
- Standardizing data access and analytics for downstream business teams
PERFORM+ Datascale Benefits:
- Address the challenges of managing multiple streams of inconsistent data sources and enhance health plan client onboarding.
- Establish standardized data management processes.
- Improve overall efficiency while increasing downstream data collaboration, enabling high-value business decisions.
## Business Value Delivered
### Faster Customer Onboarding
- Eliminated need for custom coding for new health plan onboarding
- Saved ~2 days of development effort/time through creating a centralized, standardized, and repeatable onboarding model
- Automated scheduling requires near-zero monitoring for DAGS for payer files
### Improved Data Quality
- Data issues were prevented through comprehensive data quality validation
- Easy detection of data anomalies in near real-time with dashboards and alerts
- Significant improvement to data quality submitted to the billing application
### Accurate HEDIS Measure Processing
- Ability to ingest large volumes and higher-quality data due to upstream PERFORM+ DataScale processing
- Historical data retention capability leading to easy access to patient history data for review
- Improved representation of data sets for HEDIS, quality measures, and risk scores
### Accurate Business Reporting
- Accurate data for specialized care of elderly patients with chronic conditions
- Easy tracking and traceability of claims data
- Consistent case names, plan changes, and adjustments, etc.
### Standardized Business Process
- Uniform and standardized data achieved across entities using crosswalk file
- Significant reduction in ad-hoc requests from business to operations team due to standardized output format
- Near-zero data latency with same-day updates from file ingestion to EDW storage
15+ Health Plans Onboarded
10K Annual support staff hours saved
95% Decrease in data issue tickets
20+ File formats standardized
10 to 3 Gender codes reduced
26 to 2 Claim payment status codes reduced
11k to 465 Specialty codes reduced
Historically, the client used RDBMS architecture to enroll new health plans by engineering ETL scripts and SSIS packages as part of onboarding.
PERFORM+ DataScale platform transitioned client from RDBMS to a Big Data technology stack on Hadoop, enabling considerable future data scalability and rapid processing.
Simplified onboarding of various data sources into the platform with a standardized DataScale source template and playbook. DataScale solution implementation allowed customer to consolidate multiple payer pipelines into a singular pipeline, driving significant maintenance savings.
Implemented Apache Airflow-based utility for monitoring and alerting new source file arrivals.
Created efficient management of data ingestion pipelines from multiple sources along with transparency into data operations transparency through audit reports.
Apache NiFi-based utility was implemented for Extract, Transform and Load (ETL) from source to DataScale data platform with simplified UI-based data mapping and efficient source-target data routing.
Apache Spark’s large-scale data processing was leveraged for data ingestion from source through multiple layers of DataScale to the customer’s ODS.
DataScale implementation unified downstream data collaboration through a centralized ODS. This contributed for significant overhead savings, eliminating 160+ stored procedures for collaborating outputs prior to DataScale implementation.
Technical Architecture
Payer 1
Payer 2
Payer 20
PERFORM+ DataScale UI
Raw Layer
Common Layer
Entity Layer
ODS
EDW
Single data pipeline across all sources
Single repository for raw data
Comprehensive data quality and unified data governance
Standardized and clean data – Single source of truth
Data Consumers (views/marts)
Actuarial
EMR
Analytics
Billing
Quality
Outreach
Risk Scoring
Reporting
Seamless Health Plan Onboarding for National Home Health Services Organization
About CitiusTech
With 8,000+ healthcare technology professionals worldwide, we are the partner of choice to the world’s largest healthcare and life sciences organizations, accelerating digital innovation, driving business transformation and enabling industry-wide convergence. We provide strategic consulting, digital engineering, as well as data-, analytics- and AI-specialized platforms and end-to-end solutions. With over 130 clients across the payer, provider, medtech and life sciences industries, our key focus areas include healthcare interoperability data management, quality performance analytics, value-based care, omnichannel member experience, connected health, virtual care delivery, real-world data solutions, clinical development, personalized medicine, and population health management.
CitiusTech has two subsidiaries, FluidEdge Consulting (www.fluidedgeconsulting.com) and SDLC Partners (www.sdlcpartners.com) - both with deep expertise in healthcare consulting and payer technologies, respectively. CitiusTech’s cutting-edge technology experience, deep healthcare domain knowledge, and a strong focus on digital transformation enable healthcare organizations to reinvent themselves to deliver better outcomes, accelerate growth, drive efficiencies, and ultimately make a meaningful impact on patients.
8,000+ healthcare IT professionals
130+ healthcare clients
70+ NPS - highest in the industry!
CitiusTech Key Contacts
**Shyam Manoj**
Sr. Vice President & Head of Health Plans
Shyam has 22 years' experience across payers, providers, pharma, life sciences, and HCIT companies.
For 10+ years, he has held multiple leadership roles at CitiusTech across sales, delivery, partnership and strategy. A U.S. healthcare industry veteran, he has significant expertise across healthcare interoperability, clinical data management, quality management, value-based care, and Medicare Advantage products.
He holds a bachelor's degree in biomedical engineering.
Email Shyam at: [email protected]
---
**Jeffrey Springer**
Sr. Vice President Product Management
Jeff has 20+ years of healthcare industry experience, having worked with leading healthcare technology vendors.
Prior to CitiusTech, Jeff served in leadership roles at Siemens and MEDecision. Previously, he developed new products working with payers and providers at McKesson. He also founded the U.S.' first payer-provider contract management company.
Jeff holds an MBA and engineering degree from the Wharton School at the University of Pennsylvania where he graduated as a Palmer Scholar.
Email Jeff at: [email protected]
---
**Swanand Prabhutendolkar**
Sr. Vice President Data Management
Swanand has 20+ years of experience in Information technology across companies like EPIC, Polaris and 3i Infotech. He leads CitiusTech’s data management proficiency. He has also been a key architect of CitiusTech BI-clinical platform.
He has strong experience in regulatory reporting requirements like Meaningful Use, as well as healthcare standards and frameworks like HL7.
He holds a Master's Degree in Information Technology from IIT Mumbai.
Email Swanand at: [email protected]
This document is confidential and contains proprietary information, including trade secrets of CitiusTech. Neither the document nor any of the information contained in it may be reproduced or disclosed to any unauthorized person under any circumstances without the express written permission of CitiusTech.
Copyright 2023 CitiusTech. All Rights Reserved. www.citiustech.com
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Published on The City of Independence Oregon - Official Website (http://www.ci.independence.or.us)
24/7 Ballot Drop Site
The City of Independence is pleased to announce that beginning with the May, 2013 election, a 24-hour ballot drop site will be located in Independence.
Karin Johnson, City Elections Officer and Val Unger, Polk County Clerk, worked out details that would allow a ballot box to be placed in the front entryway of the Independence Civic Center. Previously, voters were able to drop a ballot off only during open hours at the library, drive to the 24-hour site in Dallas, or return the ballot by mail. The Independence Library will also continue to host a ballot box during elections.
This will provide voters the ability to vote at a time convenient to their schedule, and could increase voter turnout. "Many people can't get to the library drop box during normal hours so this will provide a great alternative", said City Recorder Karin Johnson. "It will be especially important during the last days of the election when it's too late to mail in your ballot".
Karin Johnson, MMC City Recorder City of Independence 503.838.1212 office 503.606.3282 fax
Source URL (retrieved on 2013-12-10 02:21): http://www.ci.independence.or.us/cityrecorder/247-ballot-drop-site
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MINUTES OF MEETING
TARA COMMUNITY DEVELOPMENT DISTRICT 1
The regular meeting of the Board of Supervisors of Tara Community Development District 1 was held on Thursday, February 26, 2004 at 1:00 p.m. at the Tara Clubhouse, located at 7340 Tara Preserve Lane, Bradenton, Manatee County, Florida 34203.
Present and constituting a quorum were the following:
John Agnelli Board Supervisor, Chairperson
Dave Rekow Board Supervisor, Vice Chairperson
Joe Pufa Board Supervisor, Assistant Secretary
Wayne Westerman Board Supervisor, Assistant Secretary
Also present were:
Brian Lamb District Manager, Rizzetta & Company, Inc.
Patricia Petruff District Counsel, Dye, Deitrich, Prather, Petruff & St. Paul
Bob Lombardo District Engineer, Lombardo, Skipper & Foley, Inc.
FIRST ORDER OF BUSINESS
Call to Order
Mr. Lamb called the meeting to order and called the roll.
SECOND ORDER OF BUSINESS
Consideration of Minutes of the Board of Supervisors’ Meeting on January 22, 2004
Mr. Lamb stated that the first item on the agenda is to consider the minutes of the Board of Supervisors’ meeting on January 22, 2004 (behind tab 1). He asked if there were any additions, deletions or corrections to the minutes. Hearing and seeing none, he asked for a motion to approve.
On a MOTION by Mr. Westerman, seconded by Mr. Agnelli, with all in favor, the Board approved the Minutes of the Board of Supervisors’ Meeting on January 22, 2004 for Tara Community Development District 1.
THIRD ORDER OF BUSINESS
Consideration of Authorization to Disburse District Funds 2004-05
Mr. Lamb stated that the next item on the agenda is the consideration of the Authorization to Disburse District Funds 2004-05 (located behind tab 2). The disbursement consists of invoices for standard contractual obligations and management fees. Mr. Lamb asked if there were any questions. Hearing and seeing none, He asked for a motion to approve.
On a MOTION by Mr. Agnelli, seconded by Mr. Pufta, with all in favor, the Board approved the Authorization to Disburse District Funds 2004-05 for Tara Community Development District 1.
FOURTH ORDER OF BUSINESS
Consideration of Resolution 2004-01, Redesignating District Secretary
Mr. Lamb stated that the next item on the agenda is the consideration of Resolution 2004-01, Redesignating District Secretary. He explained that Mr. Staszko, the former District Secretary is no longer with Rizzetta & Company, Inc. Mr. Lamb stated that he will be assuming the position of District Secretary. He asked if there were any questions. There were none, so has asked for a motion to approve.
On a MOTION by Mr. Westerman, seconded by Mr. Pufta, with all in favor, the Board approved Resolution 2004-01, Redesignating District Secretary for Tara Community Development District 1.
FIFTH ORDER OF BUSINESS
Staff Reports
A. District Counsel
No report.
B. District Engineer
No report.
C. District Manager
Mr. Lamb distributed copies of the current Financial Statements to the Board. He explained that in an effort to allow resident participation but provide expeditious meeting progression, future agenda packets will contain a coversheet which outlines
the various components of the District meeting and provides guidelines for resident participation. The format is similar to those utilized in county and city commission meetings. Mr. Lamb asked if there were any questions. Ms. Petruff asked for verification whether the agenda format was reviewed to verify that it does not conflict with the Rules and Procedures that were previously adopted by the Board. Mr. Lamb stated that he does not believe any conflict with the previously adopted Rules of Procedure exists; however, he will verify this information. He asked if there were any further questions. There were none, so he asked for a motion to approve.
On a MOTION by Mr. Rekow, seconded by Mr. Westerman, with all in favor, the Board approved the agenda format changes (pending verification that the adoption of this format does not conflict with the previously adopted Rules of Procedure) for Tara Community Development District 1.
Mr. Lamb stated that the website has been established. The website address is www.taracdd.org.
SIXTH ORDER OF BUSINESS
Supervisor Requests and Audience Comments
Mr. Lamb stated that the next item on the agenda is Supervisor requests and audience comments. Mr. Agnelli stated that an informational workshop was held which provided information to the residents of the community regarding the differences between the CDD and the HOA. It was well-attended and received by the community.
Mr. Agnelli stated that there are members of the audience present. He asked if there were any audience comments.
Ms. Merriman, a resident, asked how the announcement of the website would be disseminated to the community. Mr. Agnelli stated that an announcement concerning the website would be on the community channel #11. He suggested that if needed the District could research and organize a bulk mailing announcing the website. Mr. Lamb asked for a motion to authorize the Chairman and District Manager to research the pricing for a bulk mailing to the residents announcing the website. He asked for a motion not to exceed $5,000.
On a MOTION by Mr. Westerman, seconded by Mr. Rekow, with all in favor, the Board authorized the Chairman and District Manager to research bulk mail pricing for sending notification of the website to residents for Tara Community Development District 1.
SEVENTH ORDER OF BUSINESS
Mr. Lamb stated that there were no other agenda items to come before the Board and asked for a motion to adjourn.
On a MOTION by Mr. Pufta, seconded by Mr. Westerman, with all in favor, the Board adjourned the meeting for Tara Community Development District 1.
Brian K. Lamb
Assistant Secretary
John Agnelli
Chairman
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Evaluation of Hydroacoustic Assessment Techniques for Chinook Salmon on the Kenai River using Split-beam Sonar
by
Deborah L. Burwen,
Daniel E. Bosch,
and
Steven J. Fleischman
December 1995
Alaska Department of Fish and Game
Division of Sport Fish
Symbols and Abbreviations
The following symbols and abbreviations, and others approved for the Système International d'Unités (SI), are used in Division of Sport Fish Fishery Manuscripts, Fishery Data Series Reports, Fishery Management Reports, and Special Publications without definition. All others must be defined in the text at first mention, as well as in the titles or footnotes of tables and in figures or figure captions.
**Weights and measures (metric)**
| Unit | Symbol |
|---------------|--------|
| centimeter | cm |
| deciliter | dl |
| gram | g |
| hectare | ha |
| kilogram | kg |
| kilometer | km |
| liter | L |
| meter | m |
| metric ton | mt |
| milliliter | ml |
| millimeter | mm |
**General**
- All commonly accepted abbreviations.
- All commonly accepted professional titles.
- and
- at
- Compass directions:
- east E
- north N
- south S
- west W
- Copyright ©
- Corporate suffixes:
- Company Co.
- Corporation Corp.
- Incorporated Inc.
- Limited Ltd.
- et alii (and other people)
- et cetera (and so forth)
- exempli gratia (for example)
- id est (that is)
- latitude or longitude
- monetary symbols ($, £)
- (U.S.)
- months (tables and figures): first three letters
- number (before a number)
- pounds (after a number)
- registered trademark ®
- trademark ™
- United States (adjective)
- United States of America (noun)
- U.S. state and District of Columbia abbreviations (e.g., AK, DC)
- Jan,...,Dec
- # (e.g., #10)
- # (e.g., 10#)
- use two-letter abbreviations
- U.S.
- USA
**Mathematics, statistics, fisheries**
- alternate hypothesis $H_A$
- base of natural logarithm e
- catch per unit effort CPUE
- coefficient of variation CV
- common test statistics F, t, $\chi^2$, etc.
- confidence interval C.I.
- correlation coefficient R (multiple)
- correlation coefficient r (simple)
- covariance cov
- degree (angular or temperature) °
- degrees of freedom df
- divided by ÷ or / (in equations)
- equals =
- expected value E
- fork length FL
- greater than >
- greater than or equal to ≥
- harvest per unit effort HPUE
- less than <
- less than or equal to ≤
- logarithm (natural) ln
- logarithm (base 10) log
- logarithm (specify base) log$_2$, etc.
- mideye-to-fork MEF
- minute (angular) ′
- multiplied by x
- not significant NS
- null hypothesis $H_0$
- percent %
- probability P
- probability of a type I error (rejection of the null hypothesis when true) α
- probability of a type II error (acceptance of the null hypothesis when false) β
- second (angular) ″
- standard deviation SD
- standard error SE
- standard length SL
- total length TL
- variance Var
**Weights and measures (English)**
| Unit | Symbol |
|-----------------------|--------|
| cubic feet per second | ft$^3$/s |
| foot | ft |
| gallon | gal |
| inch | in |
| mile | mi |
| ounce | oz |
| pound | lb |
| quart | qt |
| yard | yd |
**Time and temperature**
| Unit | Symbol |
|-----------------------|--------|
| day | d |
| degrees Celsius | °C |
| degrees Fahrenheit | °F |
| hour (spell out for 24-hour clock) | h |
| minute | min |
| second | s |
**Physics and chemistry**
| Unit | Symbol |
|-----------------------|--------|
| all atomic symbols | |
| alternating current | AC |
| ampere | A |
| calorie | cal |
| direct current | DC |
| hertz | Hz |
| horsepower | hp |
| hydrogen ion activity | pH |
| parts per million | ppm |
| parts per thousand | ppt, ‰ |
| volts | V |
| watts | W |
**Spell out acre and ton.**
**Spell out year, month, and week.**
EVALUATION OF HYDROACOUSTIC ASSESSMENT TECHNIQUES FOR CHINOOK SALMON ON THE KENAI RIVER USING SPLIT-BEAM SONAR
by
Deborah L. Burwen,
Daniel E. Bosch
Division of Sport Fish, Anchorage
and
Steven J. Fleischman
Division of Sport Fish, Research and Technical Services, Anchorage
Alaska Department of Fish and Game
Division of Sport Fish, Research and Technical Services
333 Raspberry Road, Anchorage, Alaska, 99518-1599
December 1995
This investigation was partially financed by the Federal Aid in Sport Fish Restoration Act (16 U.S.C. 777-777K) under Project F-10-10, Job No. S-2-5b.
The Fishery Data Series was established in 1987 for the publication of technically-oriented results for a single project or group of closely related projects. Fishery Data Series reports are intended for fishery and other technical professionals. Distribution is to state and local publication distribution centers, libraries and individuals and, on request, to other libraries, agencies, and individuals. This publication has undergone editorial and peer review.
Deborah L. Burwen, Daniel E. Bosch
Alaska Department of Fish and Game, Division of Sport Fish,
and Steven J. Fleischman
Alaska Department of Fish and Game, Division of Sport Fish, Research and Technical Services
333 Raspberry Road, Anchorage, AK 99518-1599, USA
This document should be cited as:
Burwen, D. L., D. E. Bosch, and S. J. Fleischman. 1995. Evaluation of hydroacoustic assessment techniques for chinook salmon on the Kenai River using split-beam sonar. Alaska Department of Fish and Game, Fishery Data Series No. 95-45, Anchorage.
The Alaska Department of Fish and Game administers all programs and activities free from discrimination on the basis of sex, color, race, religion, national origin, age, marital status, pregnancy, parenthood, or disability. For information on alternative formats available for this and other department publications, contact the department ADA Coordinator at (voice) 907-465-4120, or (TDD) 907-465-3646. Any person who believes s/he has been discriminated against should write to: ADF&G, PO Box 25526, Juneau, AK 99802-5526; or O.E.O., U.S. Department of the Interior, Washington, DC 20240.
# TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| LIST OF TABLES | iii |
| LIST OF FIGURES | iv |
| LIST OF APPENDICES | v |
| ABSTRACT | 1 |
| INTRODUCTION | 1 |
| METHODS | 2 |
| Biological and Physical Setting | 2 |
| Sample Design | 3 |
| Dual-Beam Sonar Operation | 3 |
| Split-Beam Sonar Operation | 6 |
| Calibration | 8 |
| Voltage Threshold Settings | 8 |
| Data Sets | 9 |
| Split-Beam versus Dual-Beam Comparison Data | 9 |
| Split-Beam High and Low Threshold Data | 9 |
| Analytical Methods | 10 |
| RESULTS AND DISCUSSION | 11 |
| Objective 1: System Performance | 12 |
| Calibration | 12 |
| Target Strength Measurements | 16 |
| Target Detection | 16 |
| Attenuation Due to Absorption | 16 |
| Conclusions | 18 |
| Objective 2: Spatial Distribution of Targets | 18 |
| Analytical Methods | 19 |
| Results | 19 |
| Conclusions | 19 |
| Objective 3: Direction of Travel | 29 |
| Previous Studies | 29 |
| Analytical Methods | 29 |
| Results | 29 |
| Conclusions | 32 |
| Objective 4: Species Discrimination Using Target Strength | 32 |
| Previous Studies | 32 |
| Analytical Methods | 35 |
| Results | 35 |
| Conclusions | 39 |
| Objective 5: Accuracy of Dual-Beam Abundance Estimates | 39 |
| Sources of Error | 39 |
| Comparison With Other Estimates and Indices | 40 |
| RECOMMENDATIONS | 43 |
| Section | Page |
|-------------------------------|------|
| LITERATURE CITED | 45 |
| APPENDIX A | 47 |
| APPENDIX B | 49 |
| APPENDIX C | 51 |
| APPENDIX D | 55 |
# LIST OF TABLES
| Table | Page |
|----------------------------------------------------------------------|------|
| 1. Principal components of the dual- and split-beam systems used in the 1994 comparative study | 5 |
| 2. Dates and sample times of data used for dual- and split-beam sonar comparison | 9 |
| 3. Split-beam data collected at a high voltage threshold, equivalent to a -33.8 dB target on-axis | 10 |
| 4. Split-beam data collected at lower voltage thresholds | 10 |
| 5. Daily estimates of sockeye salmon passing the rm 19 sockeye sonar site in the Kenai River, 1994 | 11 |
| 6. Number of fish detected by either dual beam or split-beam sonar systems, Kenai River chinook salmon sonar site, 1-5 July 1995 | 17 |
| 7. Number and target strength (TS) characteristics of downstream targets in four data sets collected with split-beam sonar at the Kenai River chinook salmon sonar site, 1994 | 30 |
| 8. Number and target strength (TS) characteristics of upstream targets in four data sets collected with split-beam sonar at the Kenai River chinook salmon sonar site, 1994 | 30 |
| 9. Sonar and mark-recapture abundance estimates with 95% confidence intervals for early and late runs of chinook salmon, 1987-1989 | 41 |
| 10. Comparison of late-run Kenai River chinook salmon sonar estimates (river mile 8) and Kenai River sockeye sonar estimates (river mile 19) for 1987-1994 | 43 |
# LIST OF FIGURES
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 1 | Location of Kenai River chinook salmon sonar site | 4 |
| 2 | Cross-sectional (top) and overhead (bottom) view of Kenai River chinook salmon sonar site showing ensonified portion of the river | 7 |
| 3 | Horizontal and vertical position of a 38.1 mm tungsten carbide target sphere in the acoustic beam during *in situ* calibrations on 9 June (top) and on 11 July (bottom) | 13 |
| 4 | Target strength frequency distributions for a 38.1 mm tungsten carbide target measured on 9 June with split-beam sonar (top) and on 4 June by dual-beam sonar (bottom) | 14 |
| 5 | Target strength frequency distributions for a 38.1 mm tungsten carbide target measured simultaneously by split-beam sonar (top) and dual-beam sonar (bottom) on 11 July 1994 | 15 |
| 6 | Within-fish standard deviation of target strength versus range for dual- and split-beam sonar | 17 |
| 7 | Target strength versus range for dual- and split-beam sonar | 18 |
| 8 | Mean vertical position versus mean range for upstream fish (top) and downstream fish (bottom) for the early-run, high-threshold data set | 20 |
| 9 | Mean vertical position versus mean range for upstream fish (top) and downstream fish (bottom) for the late-run, high-threshold data set | 21 |
| 10 | Vertical distribution (surface = 1.75°, bottom = -1.75°) of upstream traveling, early-run fish during the rising, falling, and low tide stages | 22 |
| 11 | Vertical distribution (surface = 1.75°, bottom = -1.75°) of upstream traveling, late-run fish during the rising, falling, and low tide stages | 23 |
| 12 | Mean vertical position versus mean range for upstream (top) and downstream (bottom) fish in low-threshold data collected on 4 July 1994 | 24 |
| 13 | Mean vertical position versus mean range for upstream (top) and downstream (bottom) fish in low-threshold data collected on 18 July 1994 | 25 |
| 14 | Frequency distribution of range for all targets in high-threshold data collected during the early (top) and late (bottom) runs | 26 |
| 15 | Frequency distribution of range for all targets in high-threshold data collected during the early run (top) and late run (bottom), by tide stage | 27 |
| 16 | Frequency distribution of range for all targets in low-threshold data collected on 4 July (top) and on 18 July (bottom) | 28 |
| 17 | Target strength distributions by direction of travel for high-threshold data collected during the early run (top) and late run (bottom) | 31 |
| 18 | Chart recording from 26 July 1989 showing probable sockeye salmon near shore | 33 |
| 19 | Frequency distribution of range for all targets during entire early run of 1989 (top), and for the dates 9 July through 14 July 1989 of the late run (bottom) | 34 |
| 20 | Frequency distributions of target strength for all targets, for targets at ranges less than 15 m, and for targets at ranges greater than 15 m, from high-threshold data collected during the early run (top) and late run (bottom) | 36 |
| 21 | Frequency distributions of target strength from low-threshold data collected on 4 July (top) and on 18 July | 37 |
| 22 | Frequency distributions of target strength for all targets, for targets at ranges less than 15 m, and for targets at ranges greater than 15 m, from low-threshold data collected on 4 July (top) and 18 July (bottom) | 38 |
| 23 | Daily estimates of chinook salmon passage (thousands) and daily catch per unit fishing effort (fish per net minute drifted) of chinook salmon in tagging studies for the early (left) and late (right) runs, 1988 through 1990 | 42 |
# LIST OF APPENDICES
## Appendix
| Appendix | Description | Page |
|----------|------------------------------------------------------------------------------|------|
| A1 | Calibration measurements, settings, and tracking parameters for the dual-beam sonar system data presented in this report. | 48 |
| B1 | Estimation of target strength. | 50 |
| C1 | Sonar calibration measurements, equipment settings, and tracking parameters for the split-beam sonar data presented in this report. | 52 |
| D1 | Examples of output files generated by the split-beam sonar tracking program. | 56 |
ABSTRACT
Dual-beam sonar has been used since June 1987 to estimate abundance of chinook salmon *Oncorhynchus tshawytscha* in the Kenai River. During 1994, a split-beam system was run concurrently with the dual-beam system to compare several performance attributes and to test assumptions and design parameters of the current dual-beam system. The split-beam system provided advantages in its ability to determine the direction of travel for each target and the spatial distribution of fish in the acoustic beam. The dual- and split-beam systems detected similar numbers of targets. Split-beam data confirmed earlier studies showing that fish were strongly oriented to the bottom of the acoustic beam during both runs, although vertical distribution did vary somewhat by direction of travel, tide stage, and season. Estimated proportions of downstream targets ranged from 9.5% to 15.7% for different data sets, substantially higher than the 3% to 5% estimated in previous studies. Contrary to previous studies, mean target strength appeared to provide little discriminatory power for separating Kenai River chinook from sockeye salmon due to high within- and between-fish variability.
Key words: Split-beam sonar, dual-beam sonar, chinook salmon, hydroacoustic, Kenai River, riverine sonar, standard target.
INTRODUCTION
Side-looking dual-beam sonar has been used to assess chinook salmon *Oncorhynchus tshawytscha* returns to the Kenai River since 1987. Chinook salmon support one of the largest and most intensively managed recreational fisheries in the state (Nelson 1994). Kenai River chinook salmon are among the largest in the world and have sustained in excess of 100,000 angler-days of fishing effort annually. Sonar estimates of inriver return provide the basis for estimating spawning escapement and implementing management plans that regulate harvest in competing sport and commercial fisheries for this stock. Implementation of these management plans has been a contentious issue for the state, one that commands much public attention. In recent years, some provisions of the management plan have been implemented which have resulted in significant fishery restrictions.
Hydroacoustic assessment of chinook salmon in the Kenai River is complicated by the presence of more abundant sockeye salmon *O. nerka* which migrate concurrently with chinook salmon. Dual-beam sonar was chosen for its ability to estimate target strength, which was to serve as the discriminatory variable to systematically identify and count only chinook salmon targets. To our knowledge, this was the first attempt to use this technology to discriminate between species in a riverine environment.
Distributions of hydroacoustic size (target strength) observed during developmental years of the project (1985-1986) had two distinct modes, which were assumed to originate from large chinook salmon versus sockeye/small chinook salmon (Paul Skvorc, Alaska Department of Fish and Game, Anchorage, personal communication). The trough between the two modes was chosen as a target strength threshold: only those fish with mean target strength above this value were counted as chinook salmon. During times of high sockeye abundance, a range threshold was also used; i.e., targets within a designated distance from the transducer were interpreted to be sockeye salmon and not counted. These two criteria have been the basis for discriminating between species and estimating the return of chinook salmon to the Kenai River.
Recent modeling exercises have called into question the feasibility of discriminating between chinook and sockeye salmon using target strength. Eggers (1994) performed stochastic computer simulations based upon Dahl and Mathisen’s (1982) laboratory measurements of fish target
strength which suggest that, theoretically, Kenai River chinook and sockeye salmon could not be differentiated using mean target strength due to high within-fish variability. Eggers et al. (1995) noted that, based on generally accepted models of fish target strength versus size, the lower modes of the 1985-1986 target strength distributions were probably too low to be sockeye salmon. However Eggers et al. (1995) concluded that the dual-beam sonar estimates of chinook salmon passage into the Kenai River were still credible. They based their conclusions on the similarity in target strength distributions between times when sockeye abundance in the river was grossly different, and consistencies between sonar estimates of passage with those from mark-recapture experiments and with gillnet CPUE data. They hypothesized that discrimination between species was achieved primarily because of spatial segregation, sockeye salmon near shore and chinook salmon mid-river, and that the range thresholds in place had effectively prevented substantial numbers of sockeye from being counted.
In 1994, we conducted more rigorous experiments to test important assumptions and design parameters of the current dual-beam sonar configuration. Key to our ability to design more definitive experiments in this observational study was the recent availability of split-beam sonar. Split-beam sonar provides several important advancements over dual-beam technology for riverine applications, most notably the ability to estimate the three-dimensional position of a target in space. This capability allows the direction of travel of each target to be determined as well as the trajectory of the target as it moves through the acoustic beam. The data-processing capabilities of split-beam systems have only recently been developed to the point where they are comparable to those available for dual-beam sonar.
We deployed such a split-beam system side-by-side with the dual-beam system for much of the 1994 season. In this report our objectives are to:
1. compare several performance attributes of the split- and dual-beam systems,
2. describe the spatial distribution of targets passing through the acoustic beam using split-beam sonar and compare these results with previous studies that used downward looking sonar,
3. estimate the proportion of targets traveling downstream using split-beam sonar and compare these estimates with previous studies using alternate techniques,
4. reassess the feasibility of using target strength measurements to discriminate chinook salmon from sockeye salmon, and
5. assess the credibility of dual-beam sonar estimates of chinook salmon passage.
We also provide recommendations for future program direction. Estimates of 1994 chinook salmon passage, generated from the dual-beam sonar system, are presented in a separate report (Burwen and Bosch *In press*).
**METHODS**
**BIOLOGICAL AND PHYSICAL SETTING**
The Kenai River has two stocks of chinook salmon: an early run which enters the river from mid-May through June, and a late run which enters the river from late June through early August (Burger et al. 1985). Each run is managed independently and statistics are compiled by run.
The Kenai River also supports early and late runs of sockeye salmon. Sockeye returns mirror the timing of the early and late-run chinook. Most of the early-run sockeye migrate to the Russian River, and have numbered from 5,460 to 215,710 since 1963 (Nelson 1994). Late-run sockeye are destined for spawning locations throughout the Kenai River drainage and are far more numerous. Total abundance of late-run sockeye, estimated with sonar at river mile 19, has ranged from 285,000 to 1,598,000 since 1977 (Nelson 1994).
Both the split-beam and the dual-beam systems were deployed at the river mile 8 sonar site, which has been used since the mid 1980s (Figure 1). This site was originally selected for its acoustically favorable characteristics, its location relative to the riverine sport fishery, and its location relative to known chinook spawning sites. At this site the river has a single channel with a uniformly-sloping, absorptive bottom from each bank to the center of the channel. The amount of boat traffic and associated boat wake, which interferes with sonar, is somewhat reduced because the site is downstream from the highest concentration of sport fishing effort. The site is also below the lowest suspected mainstem spawning sites for chinook salmon (Alexandersdottir and Marsh 1990) which reduces the incidence of chinook salmon loitering in the sonar beam or returning downstream. One disadvantage of the site is that it is located within tidal influence, with the current reversing during some high tides. Although previous studies have shown only small proportions (< 5%) of downstream migrants (Eggers et al. 1995), the effect of tidal cycles on fish distribution and direction of travel has remained a concern.
**SAMPLE DESIGN**
Experimental split-beam data were collected jointly with the standard dual-beam data used to provide estimates of chinook salmon abundance for fishery management purposes. The dual-beam sonar system was deployed and operated from 15 May to 7 August in the same manner as in previous years (Burwen and Bosch *In press*). The right and left bank were each sampled for 20 minutes per hour, the right bank from the top of each hour until 20 minutes after, the left bank from 25 minutes until 45 minutes after the hour. The system was idle the remaining 20 minutes per hour. This routine was followed 24 hours per day, 7 days per week.
The split-beam system was operated essentially continuously on the right bank only, 24 hours per day, from 12 June until 4 August. Split-beam data collection was first directed toward meeting objective (1), specifically to determine whether the dual- and split-beam systems produced comparable counts of fish and comparable measurements of individual fish. To do so, the split-beam system was deployed immediately adjacent to the dual-beam system so that individual fish could be ensonified by both systems. A relatively high voltage threshold, which could be maintained throughout all tide stages, was used. Such data collection continued until early July.
For the remainder of the season we attempted to collect data at lower voltage thresholds, which was desirable in order to address objective (4). Although the system was collecting data continuously, high quality low-threshold data could only be obtained during the rising tide when background interference from bottom and surface noise was low, and on Mondays when boat traffic was prohibited.
**DUAL-BEAM SONAR OPERATION**
The main components of the dual-beam sonar system are listed in Table 1. See Burwen and Bosch (*In press*) for a description of auxiliary equipment.
Figure 1.- Location of Kenai River chinook salmon sonar site.
Table 1.-Principal components of the dual- and split-beam systems used in the 1994 comparative study.
| System Component | Dual-Beam | Split-beam |
|-----------------------------------|---------------------------------------------------------------------------|----------------------------------------------------------------------------|
| Frequency | 420 kHz | 200 kHz |
| Sounder | Biosonics Model 102 Dual-beam Echosounder | Hydroacoustics Technology Inc. (HTI) Model 240 Split-Beam Echosounder |
| Signal Processor | Model 281 Echo Signal Processor based in a Compaq 386 20e personal computer | Model 340 Digital Echo Processor based in a Leading Edge 486 personal computer |
| Transducers | (1) Biosonics Dual-Beam nominal beam widths: narrow beam: $3^\circ \times 8.2^\circ$ wide beam: $6^\circ \times 17.4^\circ$ | (2) HTI Split-Beam nominal beam widths: $2.9^\circ \times 10.2^\circ$ nominal beam widths: $4.4^\circ \times 8.9^\circ$ (not used) |
| Multiplexer | Biosonics Model 151 | Same (shared) |
| Chart Recorder | HTI model 403 digital dual-channel chart recorder | Same (shared) |
| Video Display | Simrad Model CF-100 color video monitor | Same (shared) |
| Remote Pan and Tilt Aiming Controller | Biosonics Model SP500 Rotator Control Box | Remote Ocean Systems Model PTC-1 Pan and Tilt Controller |
| Remote Pan and Tilt Aiming Unit | Biosonics Model SP500 Rotator Axes | Remote Ocean Systems Model P-25 Remote Pan and Tilt Unit |
One elliptical, dual-beam transducer was mounted on each of two steel tripods. At the start of the season the transducer tripods were placed on each bank in a position close to shore but still submerged at low tide (Figure 2). As the water level rose throughout the season, the tripods were periodically moved closer to shore so that the total range ensonified by the sonar beams increased from approximately 75 m early in the season to approximately 100 m later.
The vertical and horizontal aiming angles of each transducer were remotely controlled by the dual-axis electronic pan and tilt system. In the vertical plane, the transducer was aimed so that the sonar beam lightly grazed the bottom of the river. In the horizontal plane, the transducer was aimed perpendicular to the flow of the river current in order to maximize the probability of ensonifying fish from a lateral aspect.
Digitized electronic dual-beam data were filtered by the Echo Signal Processor (ESP) to eliminate echoes with narrow-beam voltage less than a threshold of 900 millivolts (mV), equivalent to a -35.0 decibel (dB) target on the maximum response axis. Data were written to computer disk following Burwen and Bosch (*In press*). Paper chart recordings were printed for each 20-minute sample. The chart recorder was set to display all echoes greater than 636 mV, 3 dB less than the ESP threshold.
The number of fish per sample was determined by using both the electronic, partially filtered data output by the ESP and the paper chart recordings. Specially developed software (Burwen and Bosch *In press*) was used to perform additional filtering of individual echoes and to perform initial tracking (grouping of echoes into targets, Appendix A1). Results were compared with paper chart recordings to ensure tracking accuracy and to eliminate obvious debris. Debris typically left long straight traces on the chart recordings, and had echoes with extreme pulse widths.
Dual-beam techniques were used to estimate the target strength of individual echoes (Appendix B1). Echo target strength values (in dB) were averaged to obtain mean target strength for each fish.
**Split-Beam Sonar Operation**
Principal components and features of the split-beam sonar system are listed in Table 1, where they can be compared with equivalent dual-beam components.
The $4.4^0 \times 8.9^0$ transducer was used only briefly, at the beginning of the season. It proved to be too wide in its vertical dimension during low tide stages, so the $2.9^0 \times 10.2^0$ transducer was used thereafter.
From 12 June until 13 July, the split-beam transducer was deployed immediately downstream (tripod legs overlapping, less than 2 feet separation) of the right-bank dual-beam transducer, in order to collect paired dual- and split-beam data on the same fish targets. The split-beam and the dual-beam systems were triggered simultaneously by the multiplexer. Cross-talk (unwanted signals from the opposite sonar system) between the two systems sometimes required that the split-beam aim be slightly offset (less than 3 degrees) to avoid creating duplicate targets on the dual-beam system.
On 13 July, the split-beam tripod was moved 3-5 m downstream from the dual-beam transducer, and it remained in this configuration until the end of split-beam data collection on 4 August.
The digital echo sounder (DES) sent the data from each returned echo to the digital echo processor (DEP). The DEP performed the initial filtering of returned echoes based on user-selected criteria (Appendix C1), and recorded the start time, date and number of pings processed.
Figure 2.-Cross-sectional (top) and overhead (bottom) view of Kenai River chinook salmon sonar site showing ensonified portion of the river.
for each sample. As with the dual-beam system, a voltage threshold (see below) was used to filter data at this level. Minimum vertical and horizontal off-axis values of 1.8° and 6.0° were used to prevent consideration of unreliable data from transducer side lobes. For each echo passing initial filtering criteria, information was written to computer disk. The sum channel split-beam data from the Model 240 DES was also printed out on a dot matrix printer using a Model 403 Digital Chart Recorder. The chart recorder voltage threshold was set equal to the DEP threshold.
The DEP used software, with user-selected parameters, to perform additional filtering of echoes and to group filtered echoes into targets. Echoes belonging to each tracked target were written to computer disk as a file with extension .ECH, and summary information for each target was written to a file with extension .FSH (Appendix D1). Results were compared with paper chart recordings to ensure tracking accuracy and to eliminate debris.
Split-beam techniques were used to estimate target strength of individual echoes (Appendix B1). Echo target strength values (in dB) were averaged to obtain mean target strength for each fish.
**CALIBRATION**
Both systems were professionally calibrated by Alliant Tech Systems\(^1\) in Seattle. Target strength measurements were also obtained from a 38.1 mm tungsten carbide sphere (Foote and MacClennan 1984) at the calibration facility. At the sonar site, we measured the same standard sphere *in situ* by suspending it from monofilament line in the acoustic beam. For each system, we performed such *in situ* calibration verifications twice more during the season to measure any drift in performance. For each calibration verification, we recorded the maximum background noise level and voltage threshold in addition to the data collected automatically by each system.
**VOLTAGE THRESHOLD SETTINGS**
Voltage thresholds for data acquisition must be set high enough to exclude background noise from sources such as boat wake, the river bottom, and the water’s surface. Collection of data from unwanted noise causes data management problems and also makes it difficult to distinguish echoes originating from valid fish targets. The amount of background noise is determined largely by the dimensions of the sonar beam in relation to the depth of the river. Since the water level at the sonar site is strongly influenced by tidal stage (vertical fluctuations of more than 4 m), the amount of background noise fluctuates periodically, with lowest noise levels during high tide and the highest levels during low tide. Voltage thresholds could be lowered substantially as the water level rose. This enabled the detection of more echoes from valid targets. However, there are disadvantages to using a constantly changing threshold; for instance, target strength measurements made at two different thresholds are not comparable due to the effects of threshold-induced bias (MacClennan and Simmonds 1992). So for most data collection (all dual-beam data, split-beam data before 4 July) the threshold was set just high enough to exclude background noise at the lowest tide, when noise was at a maximum. This threshold (-35 dB dual-beam, -33.8 dB split-beam) could therefore be used at all tide stages. Beginning on 4 July, the split-beam system threshold was lowered during higher tide stages so as to collect data at the lowest thresholds possible.
---
\(^1\) Mention of a company’s name does not constitute endorsement.
DATA SETS
Dual-beam data were checked for tracking accuracy in the course of generating daily passage estimates inseason. With the split-beam data, however, the time-consuming process of tracking and hand-checking for accuracy had to be done postseason. Therefore, although the split-beam system was operated continuously 24 hours a day from 12 June until 4 August, only a portion of the data could be processed for analysis in the time available. Boat traffic and tidal fluctuations also limited the amount of low-threshold data which could be collected. Three data sets were analyzed for this report. Because these data were sampled from only portions of the season, inferences drawn from them are limited in scope to the time frame during which they were collected.
Split-Beam versus Dual-Beam Comparison Data
Data from 4 days (1-3 July, 5 July; Table 2) were compared with chart recordings to pair each target tracked by split-beam sonar with its counterpart tracked by dual-beam sonar. Data collection voltage thresholds were -35 dB for the dual-beam system and -32 dB for the split-beam system. The split-beam threshold was set 3 dB higher than the dual-beam threshold because the split-beam sonar measured a standard sphere approximately 3 dB larger than did the dual-beam system, and we wished to equalize the effect of threshold-induced bias between systems.
A total of 175 targets were tracked by both systems. An additional 47 targets were tracked by one system only, and/or were recovered when chart recordings were consulted. Target strength measurements were readily available only for the 175 targets tracked by both systems. Of these targets, we eliminated 30 which differed in range by more than 2 meters in order to reduce the probability that two different targets were paired. We used the remaining 145 targets to compare target strength measurements between systems.
Split-Beam High and Low Threshold Data
We processed 11 days of split-beam data collected in June and July at a relatively high voltage threshold (-33.8 dB) similar to the standard threshold used with the dual-beam system (Table 3).
Additional split beam data were collected at lower thresholds (-40.8 to -38.9 dB) on 4 July and 18 July (Table 4). In general, this threshold could only be maintained during certain tide stages on Mondays, when there was no boat traffic. The 2 days of low-threshold data contrast greatly in the
| Date | Sample Times | Targets |
|------|--------------|---------|
| 7/1 | 0000, 0100, 0200, 0300, 0500, 1100, 1200, 1300, 2000, 2200 | 68 |
| 7/2 | 0100, 0200, 0300, 0400, 0500, 1200, 1300, 1400, 2200, 2300 | 46 |
| 7/3 | 0100, 1300, 1400, 1500, 1700 | 50 |
| 7/5 | 0300, 1500 | 11 |
Table 3.-Split-beam data collected at a high voltage threshold, equivalent to a -33.8 dB target on-axis.
| Date | Targets | Tide Stages Sampled |
|--------|---------|---------------------|
| Early Run | | |
| 6/13 | 160 | rising, falling, low|
| 6/20 | 165 | rising, falling, low|
| 6/27 | 262 | rising, falling, low|
| 6/29 | 404 | rising, falling, low|
| Total | 991 | |
| Late Run| | |
| 7/1 | 60 | rising, falling |
| 7/2 | 49 | rising, falling |
| 7/3 | 80 | rising, falling |
| 7/4 | 427 | rising, falling, low|
| 7/5 | 11 | rising |
| 7/11 | 127 | rising, falling, low|
| 7/18 | 656 | rising, falling, low|
| | 1,410 | |
number of sockeye salmon present. On 4 July there were few sockeye salmon in the river, while on 18 July the sockeye passage rate was high (see mile-19 sockeye sonar counter passage estimates, Table 5).
**ANALYTICAL METHODS**
Analytical methods are described along with the results and discussion specific to each individual objective, each of which is addressed in turn below.
Table 4.-Split-beam data collected at lower voltage thresholds.
| Date | Targets | Threshold | Tide Stages Sampled | Relative Sockeye Abundance |
|--------|---------|-----------------|----------------------|-----------------------------|
| 7/4 | 469 | -38.9 dB | rising, falling, low | low |
| 7/18 | 624 | -38.9 to -40.8 dB | rising, a few on the falling | high |
Table 5.-Daily estimates of sockeye salmon passing the rm 19 sockeye sonar site in the Kenai River, 1994.
| Date | Number of Sockeye |
|--------|-------------------|
| 02-Jul | 399 |
| 03-Jul | 301 |
| 04-Jul | 534 |
| 05-Jul | 1,091 |
| 06-Jul | 859 |
| 07-Jul | 4,022 |
| 08-Jul | 3,522 |
| 09-Jul | 2,495 |
| 10-Jul | 2,403 |
| 11-Jul | 3,003 |
| 12-Jul | 2,200 |
| 13-Jul | 1,858 |
| 14-Jul | 2,145 |
| 15-Jul | 7,204 |
| 16-Jul | 30,546 |
| 17-Jul | 10,369 |
| 18-Jul | 49,484 |
| 19-Jul | 41,634 |
| 20-Jul | 26,201 |
| 21-Jul | 42,744 |
| 22-Jul | 37,055 |
| 23-Jul | 29,363 |
| 24-Jul | 45,222 |
| 25-Jul | 55,772 |
| 26-Jul | 20,567 |
| 27-Jul | 8,027 |
| 28-Jul | 4,761 |
| 29-Jul | 7,860 |
| 30-Jul | 9,935 |
| 31-Jul | 19,493 |
| 01-Aug | 55,382 |
| 02-Aug | 95,473 |
| 03-Aug | 53,274 |
| 04-Aug | 23,549 |
| 05-Aug | 16,884 |
| 06-Aug | 14,713 |
| 07-Aug | 12,394 |
| 08-Aug | 7,796 |
| 09-Aug | 9,241 |
| 10-Aug | 13,434 |
| 11-Aug | 20,892 |
| 12-Aug | 22,260 |
| 13-Aug | 21,054 |
| 14-Aug | 22,078 |
| 15-Aug | 17,841 |
| 16-Aug | 21,482 |
| 17-Aug | 18,149 |
| 18-Aug | 11,871 |
| 19-Aug | 16,437 |
| 20-Aug | 21,492 |
| 21-Aug | 13,544 |
| 22-Aug | 8,094 |
| 23-Aug | 6,578 |
| 24-Aug | 8,465 |
From: Reusch and Fox 1995
RESULTS AND DISCUSSION
The primary motive for considering the change from dual-beam to split-beam sonar was to derive the benefits of determining the 3-dimensional location and direction of travel of each individually-tracked target. Knowing the location of targets as they transit the beam facilitates *in situ* calibration verification, allows estimation of target spatial distribution, and provides additional information that may be used in trouble-shooting and verifying proper operation of the equipment. Direction-of-travel information should improve the accuracy of chinook salmon passage estimates by accounting for the positive bias due to a previously unknown downstream component. Although we make other comparisons of the two sonar systems used in this study, these comparisons are made only to identify large disparities in target detection or target strength.
measurement that would affect the continuity of historical data. They are not a rigorous comparison between dual- and split-beam technologies, especially since the two systems used in this study differed in operating frequency. Dual-beam and split-beam techniques are described in greater detail by Ehrenberg (1983). Analytical and theoretical comparisons of dual- and split-beam techniques can be found in Traynor and Ehrenberg (1990), and Ehrenberg (1979, 1983).
**OBJECTIVE 1: SYSTEM PERFORMANCE**
In theory, split-beam sonar offers several potential improvements over dual-beam sonar for riverine applications. In addition to identifying the 3-dimensional location and direction of travel for each target, theoretical (Ehrenberg 1983) and analytical (Traynor and Ehrenberg 1990) studies have concluded that split-beam sonar performs better than dual-beam sonar in the presence of noise. The split-beam system leased in 1994 also operated at a lower frequency (200 kHz) than the existing dual-beam system (420 kHz), and should therefore exhibit reduced sonar signal attenuation at long ranges (MacLennan and Simmonds 1992). In order to assess the suitability of 200 kHz split-beam sonar as a replacement for the existing 420 kHz dual-beam sonar, we needed to determine the extent to which the potential advantages applied to our application. In addition, we needed to compare the fish counts and measurements obtained from both systems in order to preserve the continuity of the historical database as much as possible.
We compared the performance of the two systems with regard to ease and accuracy of calibration, precision of target strength measurements, target detection, and attenuation due to absorption.
**Calibration**
The split-beam system had two clear logistical advantages over the dual-beam system during *in situ* calibration checks. First, the split-beam system had a higher signal-noise ratio (SNR), which allowed the target to be located more easily. Second, the split-beam system was able to display the X-Y position of the target during data collection. This greatly facilitated aiming the transducer so that the target was on-axis (Figure 3).
The split-beam system yielded more precise measurements of target strength on the standard sphere than did the dual-beam system. *In situ* calibration data were collected several times during the 1994 season, using the same 38.1 mm diameter tungsten carbide sphere. Data were collected with the dual-beam system on 4 June and 11 July, and the split-beam system on 9 June and 11 July. During both the June and July calibration checks, the split-beam measurements were 4-5 times less variable than the dual-beam measurements (Figures 4 and 5). Traynor and Ehrenberg (1990) also found that beam pattern and target strength measurements of a standard sphere collected using the dual-beam technique were more variable than those derived using the split-beam technique. The difference in target strength variability between systems may also be partly due to the lower frequency of the split-beam sonar and the older technology of the dual-beam transducers. The 38.1 mm sphere may also not have been optimal for the 420 KHz system (MacClellnan and Simmonds 1992).
June and July measurements were within 1 dB of each other for each system (Figures 4 and 5). The split-beam *in-situ* results were also within 1 dB of the results (-38.3 dB) of a preseason calibration check by the manufacturer in Seattle.
Figure 3.-Horizontal and vertical position of a 38.1 mm tungsten carbide target sphere in the acoustic beam during *in situ* calibrations on 9 June (top) and on 11 July (bottom).
Figure 4.-Target strength frequency distributions for a 38.1 mm tungsten carbide target measured on 9 June with split-beam sonar (top) and on 4 June by dual-beam sonar (bottom).
Figure 5.-Target strength frequency distributions for a 38.1 mm tungsten carbide target measured simultaneously by split-beam sonar (top) and dual-beam sonar (bottom) on 11 July 1994.
The split-beam system measured the standard sphere approximately 3 dB larger (-38 dB) than the dual-beam system (-41 dB; Figure 4, Figure 5). Two factors may have contributed to this difference. First, laboratory measurements of system source level and gain may not have been accurate, especially for the 420 kHz dual-beam system. Past calibrations of this system have not always been consistent, being sensitive to changes in temperature and calibration method (Alan Wirtz, Precision Acoustic Systems, Seattle, personal communication). Second, standard sphere measurements are frequency dependent, and the frequency effect interacts with target diameter (MacLennan and Simmonds 1992). The two systems, operating at different frequencies, would not be expected to measure the standard sphere exactly the same.
**Target Strength Measurements**
For fish ensonified by both systems, mean target strength as measured by split-beam sonar was correlated with mean target strength measured by dual-beam sonar ($r = 0.45$, $n = 145$, $P < 0.0001$). The split-beam sonar estimated target strength more precisely than did the dual-beam sonar (Wilcoxon signed-rank test on within-target standard deviations, $n = 145$, $P < 0.001$). Within-target standard deviation of target strength decreased with range for dual-beam sonar ($F = 8.35$; $df = 1$, 143; $P = 0.005$) but not for split-beam sonar ($F = 0.37$; $df = 1$, 143; $P = 0.544$; Figure 6).
Mean target strength did not differ between sonar types for fish ensonified by both (Wilcoxon signed rank test, $n = 145$, $P = 0.35$), however this result should be interpreted cautiously because of the differing *in situ* calibration results between the two systems and the differing thresholds used to process the data (see above).
**Target Detection**
The dual- and split-beam systems showed good agreement with regard to target detection. A total of 222 targets was detected by one system or the other. Of these, split-beam sonar detected 217 fish, or 98% of the total, and dual-beam sonar detected 214 fish, or 96% of the total (Table 6). The split-beam system detected slightly more echoes per target ($\bar{x} = 35.5$) than did the dual-beam system ($\bar{x} = 31.2$; Wilcoxon signed rank test, $n = 145$, $P = 0.032$). This difference would have been greater still, had the split-beam threshold not been artificially raised to be equivalent to the dual-beam threshold.
**Attenuation Due to Absorption**
Sound energy attenuates (declines) exponentially with distance due to absorption. The rate of attenuation is proportional to the square of the frequency (MacLennan and Simmonds 1992), so 420 kilohertz (kHz) sound should attenuate >4 times faster than 200 kHz sound. Among targets ensonified by both systems, mean target strength increased as a function of range for both 200 kHz and 420 kHz sonar ($F = 27.84$; $df = 1$, 326; $P < 0.001$); although the rate of increase did not differ between them ($F = 0.23$; $df = 1$, 326; $P = 0.633$; Figure 7). The increase in target strength with range may be due to an increase in size of fish with distance from shore or the measurement bias against smaller targets at greater ranges (Traynor *In press*). That is, as SNR decreases and variability increases with range, more of the smaller echoes are censored by the noise threshold. The equal rates of target strength increase were unexpected given the relationship between absorption rates and frequency. It is possible that the above measurement bias is greater for the dual-beam system and compensates for the increased absorption rate. This would explain the decrease in standard deviation over range exhibited only by the dual-beam system (Figure 6).
Figure 6.-Within-fish standard deviation of target strength versus range for dual- and split-beam sonar.
Table 6.-Number of fish detected by either dual-beam or split-beam sonar systems, Kenai River chinook salmon sonar site, 1-5 July 1995.
| Detected by dual-beam system | Not detected by split-beam system | Total detected by at least one system |
|-----------------------------|----------------------------------|--------------------------------------|
| Detected by split-beam system | 209 | 5 | 214 |
| Not detected by dual-beam system | 8 | (0)a | 8 |
| Total detected by at least one system | 217 | 5 | 222 |
a Actual number of fish not detected by either system is unknown.
Conclusions
In addition to its ability to determine fish spatial distribution and direction of travel, the split-beam system proved to have several advantages over the dual-beam system for our application. It was easier to calibrate *in situ* and gave more precise standard sphere measurements. The split-beam system also provided more precise estimates of fish target strength.
The split-beam system did not, however, appear to have any distinct advantages over the dual-beam system with regard to detecting and tracking fish when both systems were well-aimed and operating concurrently. Nor was there a detectable difference in how target strength varied with range between the 200 kHz split-beam system and the 420 kHz dual-beam system. At present, we cannot state whether the increase in target strength with range is due to measurement bias or actual change in mean fish target strength. Attenuation is probably not a major factor with either frequency for this application. However, additional data should be collected with a standard sphere at varied ranges to confirm this.
**Objective 2: Spatial Distribution of Targets**
Knowledge of the spatial distribution of fish is desirable for determining appropriate transducer beam dimensions and for developing strategies for ensonifying a specific area. This is particularly important at the present (mile 8) site, where tidally-induced changes in water level have been shown to affect fish distribution. During the 1986 season cross-river transects were conducted with downward-looking sonar to map the vertical distribution of fish at the current sonar site at four tide stages: high slack, low slack, flood tide, and falling tide. Fish were
strongly bottom-oriented, especially at low tide (Eggers et al. 1995). However, there was some question as to whether the results were biased because of inadequate sample volume near the surface or because of fish avoiding the transect boat.
**Analytical Methods**
Split-beam data collected at high (-33.8 dB) and low thresholds (-40.8 to -38.9 dB) were analyzed for spatial distribution of targets. Mean position in the X (up- and downstream), Y (up and down), and Z (range, or distance from transducer) dimensions was calculated for each target.
**Results**
Fish were strongly oriented to the bottom of the acoustic beam during both runs, although vertical distribution did vary somewhat by direction of travel, tide stage, and season. In the high-threshold data set, relatively more targets occurred above the acoustic axis among downstream targets than among upstream targets ($\chi^2 = 25.4$, df = 1, P < 0.001; Figure 8, Figure 9). There were more upstream targets above the axis on the rising tide than during falling or low tides ($\chi^2 = 26.2$, df = 2, P < 0.001) during the early run, but not the late run (Figure 10, Figure 11). Finally, with the low-threshold data set, there were more upstream targets above the axis on 18 July than on 4 July ($\chi^2 = 26.4$, df = 1, P < 0.001; Figure 12, Figure 13).
There were relatively more targets ($\chi^2 = 34.2$, df = 1, P < 0.001) within 15 m of the transducer during the late run (15%) than during the early run (7%) for the high-threshold data set (Figure 14). Most nearshore fish in the late-run high-threshold data occurred during the rising tide (Figure 15).
Range distribution also differed between data collected 4 and 18 July at low threshold ($\chi^2 = 103.3$, df = 1, P < 0.001). A much larger proportion of targets was close to shore (38.5% at < 15 m range) on 18 July when many sockeye were present, than on 4 July when few sockeye were present (9.2%; Figure 16). High rates of passage near shore persisted throughout all tide stages on 18 July.
**Conclusions**
Upstream-traveling targets were strongly bottom-oriented in the beam, indicating the importance of maintaining a precise aim along a straight bottom profile. The potential for missing bottom-oriented fish swimming under the beam is minimized by the fact that the river bottom at the mile 8 site is composed of acoustically lossy mud which allows a very low grazing angle as the beam is aimed parallel to the bottom. The result is that the acoustic beam effectively ensonifies the near-bottom region very well. Additionally, the location of the primary acoustic scatterer (the swim bladder) is located just below the backbone and consequently will be at least several inches above the river bottom.
Given the declining density of targets with distance from the bottom during all tide stages, it seems unlikely that many upstream-traveling fish escape detection by swimming over the beam. Downstream targets, however, were more evenly distributed throughout the beam, indicating that a portion of downstream migrants were probably undetected above the beam. At present, it is unclear what proportion of downstream targets are fish rather than debris (see following section Direction of Travel).
Figure 8.-Mean vertical position versus mean range for upstream fish (top) and downstream fish (bottom) for the early-run, high-threshold data set.
Figure 9.-Mean vertical position versus mean range for upstream fish (top) and downstream fish (bottom) for the late-run, high-threshold data set.
Figure 10.-Vertical distribution (surface = 1.75°, bottom = -1.75°) of upstream traveling, early-run fish during the rising, falling, and low tide stages.
Figure 11.-Vertical distribution (surface = 1.75°, bottom = -1.75°) of upstream traveling, late-run fish during the rising, falling, and low tide stages.
Figure 12.-Mean vertical position versus mean range for upstream (top) and downstream (bottom) fish in low-threshold data collected on 4 July 1994.
Figure 13.-Mean vertical position versus mean range for upstream (top) and downstream (bottom) fish in low-threshold data collected on 18 July 1994.
Figure 14.-Frequency distribution of range for all targets in high-threshold data collected during the early (top) and late (bottom) runs.
Figure 15.-Frequency distribution of range for all targets in high-threshold data collected during the early run (top) and late run (bottom), by tide stage.
Figure 16.-Frequency distribution of range for all targets in low-threshold data collected on 4 July (top) and on 18 July (bottom).
The proportion of targets nearshore increased during times of high sockeye passage, which is consistent with evidence from other sites that most sockeye salmon migrate close to shore (e.g., King and Tarbox 1989a, 1989b, 1991).
The above analyses do not directly address the question of how many chinook salmon swim behind the transducer. However, the majority of targets were near the middle of the river when sockeye were few in number, suggesting that chinook salmon tend to travel offshore in the deeper sections of the river. This is consistent with the observed preference of Kenai River sport fisherman for fishing in deep holes and near mid-channel. Personnel involved with netting and tagging chinook salmon have also had higher capture success when fishing the middle portions of the river (Mary King, Alaska Department of Fish and Game, Soldotna, personal communication).
**OBJECTIVE 3: DIRECTION OF TRAVEL**
The dual-beam system, as it has been traditionally deployed, is incapable of determining whether a fish passing the sonar is traveling upstream or downstream. Fish traveling downstream have therefore been included in dual-beam chinook salmon passage estimates, biasing the results to some degree. The magnitude of this bias has been a matter of perennial concern for the project, especially since the sonar site is located relatively near the river mouth and has current reversal during extreme high tides.
**Previous Studies**
Two previous experiments have been conducted to determine direction of travel of migrating chinook salmon. The first experiment was conducted in 1985 and used angle of passage through the acoustic beam to determine direction of travel for targets. This study estimated a downstream component of 3.5% of all tracked targets. However, the results were inconclusive due to the large number of targets (>50%) for which direction of travel could not be determined (Eggers et al. 1995).
Bendock and Alexandersdottir (1990) observed a large proportion of radio-tagged chinook moving downstream past the sonar (39%), so a second experiment was implemented to provide an independent estimate of downstream fish. This study, conducted in 1990, used two side-by-side mounted transducers to track fish as they moved first through one beam, through both beams, and finally through the second beam. This method appeared to be more reliable than the first and yielded an estimate of 3% downstream fish. Eggers et al. (1995) showed that the number of downstream targets was similar to the fraction of tagged chinook salmon (caught with sport gear and radio tagged) that migrated below the sonar site multiplied by the total number of released chinook salmon from the sport fishery. This suggested that the primary source of downstream targets might be chinook salmon caught and then released by sport anglers.
**ANALYTICAL METHODS**
A target was classified as upstream if its ending (X-axis) position was located upriver from its starting position, and downstream if its ending position was downriver from its starting position.
**Results**
Estimated proportions of downstream targets ranged from a low of 9.5% for the late run, high-threshold data, to a high of 15.7% for the low-threshold data with many sockeye present.
However, downstream targets had different target strength (TS) distributions than did upstream fish. Mean TS was less for downstream targets than for upstream targets for all four data sets (Z tests, $P < 0.001$), with the differences ranging from 2.1 to 2.8 dB (Table 7, Table 8). Between-target standard deviation of TS was always larger, and the within-target standard deviation was always smaller, for downstream targets than for upstream targets (Table 7, Table 8). Downstream target-strength distributions appeared to be multimodal, with the upper mode approximately corresponding to the mode of the upstream target strength distribution (Figure 17).
**Table 7.-Number and target strength (TS) characteristics of downstream targets in four data sets collected with split-beam sonar at the Kenai River chinook salmon sonar site, 1994.**
| Data Set | Total # of targets | Total # Downstream | Percent Downstream | TS Mean | Between-target standard deviation | Within-target standard deviation |
|----------------|--------------------|--------------------|--------------------|---------|-----------------------------------|----------------------------------|
| High threshold | | | | | | |
| Early Run | 991 | 144 | 14.5% | -23.28 | 3.14 | 3.30 |
| Late Run | 1410 | 134 | 9.5% | -23.93 | 3.70 | 3.25 |
| Low threshold | | | | | | |
| 4 July | 469 | 58 | 12.4% | -25.84 | 4.31 | 3.32 |
| 18 July | 624 | 99 | 15.7% | -28.10 | 4.16 | 3.21 |
**Table 8.-Number and target strength (TS) characteristics of upstream targets in four data sets collected with split-beam sonar at the Kenai River chinook salmon sonar site, 1994.**
| Data Set | Total # of targets | Total # Upstream | Percent Upstream | TS Mean | Between-target standard deviation | Within-target standard deviation |
|----------------|--------------------|------------------|------------------|---------|-----------------------------------|----------------------------------|
| High threshold | | | | | | |
| Early Run | 991 | 847 | 85.5% | -21.09 | 2.66 | 3.82 |
| Late Run | 1,410 | 1,276 | 90.5% | -21.87 | 2.97 | 3.88 |
| Low threshold | | | | | | |
| 4 July | 469 | 411 | 87.6% | -23.04 | 3.23 | 4.42 |
| 18 July | 624 | 530 | 84.3% | -25.47 | 3.59 | 4.14 |
Figure 17.-Target strength distributions by direction of travel for high-threshold data collected during the early run (top) and late run (bottom).
Conclusions
The proportion of downstream targets estimated by split-beam sonar are too high to be explained by fish released from the sport fishery. During the 1994 early and late runs, it was estimated that anglers caught and released 2,001 and 4,151 chinook salmon, respectively (Steve Hammarstrom, Alaska Department of Fish and Game, Soldotna, personal communication). If approximately 39% of fish migrate downstream after release (Bendock and Alexandersdottir 1990), then about 780, or 4.2% of the early run, and 1,619, or 3.0% of the late run might pass downstream through the sonar. While similar to previous estimates of downstream passage, they are well below 1994 estimates from split-beam sonar.
The target strength data suggest that not all downstream targets were chinook salmon; they may include smaller fish or debris. Another possible explanation is that downstream migrating fish are transecting the beam at a different angle than upstream fish causing the observed difference in target strength distributions. At present, we have no means of estimating how many of the downstream targets are chinook salmon.
Objective 4: Species Discrimination Using Target Strength
Previous Studies
Ehrenberg (1984) suggested the possibility of using target strength to discriminate between different sizes of salmon migrating upstream in rivers. Because side-aspect target strength is highly variable in a riverine setting, this approach would require large differences in size between species, as well as numerous measurements of target strength on each fish. Research with dual-beam sonar conducted in 1985 and 1986 concluded that target strength could be used to discriminate large chinook salmon from other salmon in the Kenai River (Paul Skvorc, Alaska Department of Fish and Game, Anchorage, personal communication). In brief, these studies found that mean target strength per fish had a bimodal distribution, with the two modes approximately 12 dB apart. The two modes were separated by a notch at -28.5 dB, and were thought to correspond to sockeye and chinook salmon. Therefore, since 1987 all fish with mean target strength less than -28 dB (to be conservative) have been excluded from chinook salmon counts.
However, there were early indications that the -28 dB threshold was not excluding all sockeye. During heavy sockeye runs there were sometimes numerous nearshore targets on the chart recordings which differed greatly in appearance from the usual targets. During the peak of a record sockeye run on 9-14 July 1989, a large number of nearshore targets appeared up to 10-15 m from the transducer (Figure 18, Figure 19). It became apparent that these were probably sockeye salmon, and many exceeded the -28 dB threshold. Therefore, beginning in 1989, all late-run targets less than 10 m from the transducer on the left bank and less than 15 m on the right bank were excluded from chinook counts.
More recently, the theoretical validity of discriminating sockeye and chinook based on target strength has been questioned. Eggers et al. (1995) noted that the observed 12 dB difference in target strength modes from the 1985 and 1986 sonar data was inconsistent with predictions from most models of target strength versus length, given the observed length distributions of Kenai River sockeye and chinook salmon. These models, based on theoretical considerations as well as empirical data (MacLennan and Simmonds 1992), would have predicted approximately a 5 dB difference between sockeye and chinook salmon target strength modes.
Figure 18.-Chart recording from 26 July 1989 showing probable sockeye salmon near shore.
Figure 19.-Frequency distribution of range for all targets during entire early run of 1989 (top), and for the dates 9 July through 14 July 1989 of the late run (bottom).
Finally, Eggers (1994) created a stochastic computer model to simulate target-strength distributions under different mixtures of species and different interrogation rates (number of measurements per fish). His model assumed ideal conditions for sonar (low noise, low threshold). Using the length distributions of sockeye and chinook salmon observed on the Kenai River, and the interrogation rates achieved on the Kenai chinook sonar project, the model predicted that the resulting target strength distributions would be unimodal, not bimodal. Eggers concluded that, under idealized conditions, it would not be possible to discriminate Kenai River sockeye and chinook salmon based on mean target strength.
**Analytical Methods**
Because split-beam sonar estimates target strength more precisely than does dual-beam sonar, the split-beam system should be better able to discriminate between sockeye and chinook salmon. Frequency distributions of mean target strength were estimated from two split-beam data sets collected at the standard (high) threshold (Table 3). This threshold could be maintained throughout all tide stages. Of the two high-threshold data sets, there were more sockeye present during the late season than during the early season.
Low-threshold data were collected in order to capture more small echoes and perhaps enhance the probability of discriminating between sockeye and chinook (Table 4). Of the two low-threshold data sets, there were far more sockeye salmon present on 18 July than on 4 July. It takes from 12 hours to several days for sockeye to travel from the mile-8 chinook sonar site to the mile-19 sockeye sonar site (Ken Tarbox, ADF&G, Soldotna, personal communication). Sockeye passage at the mile-19 site was more than ten-fold greater on 18-21 July than on 4-7 July (Table 5). Frequency distributions of mean target strength were estimated for both low-threshold data sets.
As discussed above, there is strong circumstantial evidence for spatial separation between sockeye salmon (nearshore) and chinook salmon (offshore). In particular, most targets within 15 m of the transducer on 18 July were probably sockeye salmon. Therefore we also compared the target strength distributions of nearshore fish (< 15 m from the transducer) with those of offshore fish (> 15 m).
**Results**
Upstream targets ensonified at a high threshold did not display a bimodal target strength distribution during either the early or late season (Figure 20). Nearshore (< 15 m range) targets were smaller on average than offshore (> 15 m) targets for both early- and late-season data sets (Z tests, $P < 0.001$), although the difference in mean TS was greater for the late-season data set (2.9 dB) than for the early-season data set (1.3 dB).
Low-threshold target-strength distributions (Figure 21, Figure 22) could possibly be interpreted as having small modes at -28 dB (4 July data) and -30 dB (18 July data); with narrow “notches” at -27.5 dB (4 July) and -29.5 dB (18 July). The multimodal appearance may also be due to sampling error (there was a total of only 936 low-threshold targets versus 2,123 high-threshold targets). Nearshore (< 15 m range) targets were smaller on average than offshore (> 15 m) targets (Z tests, $P < 0.001$), with a difference of 3.5 dB for the 4 July data and 2.8 dB for the 18 July data.
Offshore fish on 18 July were approximately 1.7 dB smaller on average than offshore fish on 4 July ($Z = 13.0, P < 0.001$).
Figure 20.-Frequency distributions of target strength for all targets, for targets at ranges less than 15 m, and for targets at ranges greater than 15 m, from high-threshold data collected during the early run (top) and late run (bottom).
Figure 21.-Frequency distributions of target strength from low-threshold data collected on 4 July (top) and on 18 July.
Figure 22.-Frequency distributions of target strength for all targets, for targets at ranges less than 15 m, and for targets at ranges greater than 15 m, from low-threshold data collected on 4 July (top) and 18 July (bottom).
Conclusions
At the high threshold, which could be maintained throughout all tide stages, mean target strength appears to provide little discriminatory power for separating Kenai River chinook from sockeye salmon. There was no evidence of bimodality in the target strength distribution from the late-season data set. Apparently, high within-fish and between-fish variability masks a relatively small difference in means. The high variability can be attributed to both the low signal-to-noise ratio found in riverine environments, and the change in aspect as the fish traverses the acoustic beam.
Superficially, it is tempting to conclude that the notches in the low-threshold target-strength distributions represent gaps between the respective sockeye and chinook salmon TS distributions. However, this hypothesis is inconsistent with our conclusions about spatial segregation, i.e., that the vast majority of nearshore targets are sockeye and that most offshore targets are chinook. On 4 July, most of the targets to the left of the notch (less than -27.5 dB) were offshore. On 18 July, most of the nearshore targets were to the right of the -29.5 dB notch. In order to conclude that the notch at -29.5 represents the break between sockeye and chinook, one would have to accept that the majority of the nearshore targets on 18 July were chinook salmon.
Whereas there is circumstantial evidence supporting spatial segregation of the two species (see “Accuracy of Dual-Beam Abundance Estimates”), we have no direct estimates of species composition by range at the mile-8 site. Given the 1.7 dB difference in mean TS between 4 July and 18 July offshore targets, it is possible that some sockeye salmon are migrating more than 15 m from the transducer and “contaminating” the chinook salmon target strength distribution.
Objective 5: Accuracy of Dual-Beam Abundance Estimates
Sources of Error
Results of this study may raise concern over the accuracy of dual-beam sonar estimates of chinook salmon abundance. This issue can best be addressed by discussing the relative importance of several potential sources of error. Abundance of chinook salmon could have been underestimated (or had a negative bias) because (1) they swim above or below the beam, (2) they swim inside the 10-15 m range cutoff during the late season, or (3) they swim behind the transducer. Conversely, chinook salmon abundance could have been overestimated (positive bias) because (4) early-run sockeye salmon (or late-run sockeye salmon swimming outside of the 10-15 m range thresholds) could have been misclassified as chinook if they exceeded the -28 dB TS threshold, or (5) downstream targets greater than -28 dB were included with the upstream targets. Each possible source of error will be addressed in turn.
1. Results of this study support what was previously thought, that few upstream-migrating fish escape detection by the dual-beam system (or the split-beam system) by swimming above the beam. Because of the strong orientation of fish to the bottom, the potential for missing fish under the beam is greater, if for example sound shadows exist or if the transducer is aimed too high. Although there is no direct way to test this, we believe that neither is a substantial source of error because of (1) the quality of the bottom profile (straight and even slope to the center of the river), (2) the muddy composition of the river bottom which allows the beam to be aimed close to the bottom, (3) constant monitoring of the aim, and (4) the physical size of chinook salmon.
2. In contrast, there are almost certainly some chinook salmon which swim closer than 10-15 m from the transducer during the late season. Approximately 6% of all targets in the early-run data set were less than 15 m from the transducer. Since there is an early run of sockeye which may comprise some of the 6%, it seems reasonable to conclude that the number of late-run chinook salmon excluded because of range thresholds is less than 6% of the total.
3. We conducted no new investigations to estimate the number of chinook salmon that swim behind the transducers, however given only 6% of targets out to 15 m range, it seems unlikely that substantial numbers of chinook swim between the transducers and shore. We can test this more directly with setnets in the future, but it is unlikely to be an important source of error.
4. This study could not confirm the validity of discriminating chinook salmon from sockeye salmon based on acoustic size. Fortunately, the two species appear to be spatially segregated to a large degree. Range thresholds were instituted early in the project’s history and apparently have been effective at preventing the vast majority of sockeye from being counted as chinook salmon. There have been occasions, during the peak of large runs, when the sockeye distribution may (from the appearance of chart recordings, see Figure 18) have extended more than 10-15 m from the transducer. Project personnel have temporarily extended the range threshold out as far as 20 m under these conditions. However there may also be sockeye scattered in midriver which appear no different on the chart recordings, and at present we would have no means to detect such fish or to estimate their number. Given that sockeye can outnumber chinook many-fold, only a very small proportion of sockeye in midriver could have a substantial effect on chinook abundance estimates.
5. This study estimated higher proportions of downstream targets than had been found previously. However downstream targets were also found to be acoustically smaller, on average, than upstream targets; and the -28 dB target-strength threshold may have excluded a substantial fraction of downstream targets from consideration. Direction of travel has the potential to be one of the largest of the five sources of error discussed here, and additional data will be needed to quantify it.
In summary, there are three possible sources of negative bias in the dual-beam chinook salmon abundance estimates, and they are likely to be of relatively small magnitude. The two sources of positive bias are of unknown and possibly larger magnitude. Both of these latter biases, the first due to sockeye being counted as chinook in mid-river, and the second due to downstream targets being counted as upstream, need further investigation.
**Comparison With Other Estimates and Indices**
There are several lines of indirect evidence which indicate that the dual-beam sonar estimates have, at the very least, provided a useful index of chinook salmon abundance.
Chinook salmon passage was first estimated with sonar during the late run of 1987. A tag-and-recapture program also estimated chinook salmon abundance in the lower Kenai River from 1985 through 1989 (Hammarstrom and Larson 1986, Conrad and Larson 1987, Conrad 1988, Carlon and Alexandersdottir 1989, Alexandersdottir and Marsh 1990; Table 9). Tagging estimates had low precision and a positive bias, especially during the late run (Bernard and Hansen 1992).
Table 9.-Sonar and mark-recapture abundance estimates with 95% confidence intervals for early and late runs of chinook salmon, 1987-1989.
| Year | SONAR | TAGGING |
|------|-------|---------|
| | Early Run<sup>a</sup> | Late Run<sup>b</sup> | Early Run | Late Run |
| 1987 | no estimate<sup>c</sup> | 48,123 | 25,643 | 65,024 |
| | [16,632, 34,653] | [16,824, 113,224] |
| 1988 | 20,880 | 52,008 | 25,047 | 110,869 |
| | [19,976, 21,784] | [50,013, 54,003] | [15,684, 34,410] | [61,589, 160,149] |
| 1989 | 17,992 | 29,035 | 23,253 | 57,279 |
| | [17,295, 18,689] | [27,676, 30,394] | [9,702, 36,804] | [26,554, 88,004] |
<sup>a</sup> Early run occurs 16 May-30 June
<sup>b</sup> Late run occurs 1 July-mid August
<sup>c</sup> Only operated from 3 June-30 June
Therefore comparing the sonar and tagging estimates is most meaningful for the early run. The tagging estimates were 19% and 29% greater than the sonar estimate for 1988 and 1989, respectively, and in both cases the sonar estimate was within the 95% confidence interval for the tagging estimate. In view of the potential positive bias of the tagging estimate, the sonar and tagging estimates were in good agreement. Also, the daily catch of chinook salmon per unit fishing effort (CPUE) for the drift gillnets used in the tagging study tracked well with the daily sonar estimates (Figure 23).
Late-run sockeye salmon outnumber chinook salmon (whether estimated by sonar or tag-and-recapture) in the Kenai River by more than an order of magnitude. If, in fact, any significant number of sockeye salmon were being systematically misclassified as chinook salmon, one would expect some correlation between the estimates of chinook salmon passage at river mile 8 and estimates of sockeye salmon abundance at river mile 19 during the late run. To the contrary, variation in total abundance and run-timing for late-run chinook as estimated by sonar at river mile 8 cannot be explained by the corresponding sockeye data from the sonar at river mile 19 (Table 10). Annual estimates of chinook and sockeye abundance are not correlated (Pearson’s $r = 0.02$, $P = 0.96$; Spearman’s $\rho = -0.02$, $P = 0.96$; Kendall’s $\tau = -0.07$, $P = 0.80$). In fact, except for 1994 when both sonar estimates increased from the preceding year, the chinook salmon seasonal estimates move in the opposite direction of the sockeye seasonal estimates with respect to the previous year’s estimate (i.e., when sockeye salmon seasonal estimates increased from the preceding year, chinook salmon seasonal estimates decreased and vice versa). As an example, note that the late-run estimate of chinook salmon fish fell from 52,008 to 29,035 fish from 1988 to 1989. Sockeye salmon on the other hand, were estimated to increase in number from
Figure 23.-Daily estimates of chinook salmon passage (thousands) and daily catch per unit fishing effort (fish per net minute drifted) of chinook salmon in tagging studies for the early (left) and late (right) runs, 1988 through 1990.
Table 10.-Comparison of late-run Kenai River chinook salmon sonar estimates (river mile 8) and Kenai River sockeye sonar estimates (river mile 19) for 1987-1994.
| Year | Total Sockeye | Total Chinook | Date Peak Sockeye | Total Count on Peak Sockeye | Date Peak Chinook | Total Count on Peak Chinook | Chinook Count on Sockeye Peak Date | Chinook Count Day Before Sockeye Peak Date |
|------|---------------|---------------|-------------------|-----------------------------|------------------|----------------------------|------------------------------------|------------------------------------------|
| 1987 | 1,596,87 | 48,15 | 7/2 | 150,29 | 7/2 | 3,73 | 3,73 | 3,70 |
| 1988 | 1,021,46 | 52,00 | 7/2 | 112,28 | 7/2 | 3,71 | 1,60 | 1,30 |
| 1989 | 1,599,95 | 29,03 | 7/2 | 127,38 | 7/1 | 2,76 | 91 | 82 |
| 1990 | 659,52 | 33,47 | 7/1 | 92,67 | 7/1 | 2,39 | 2,11 | 2,39 |
| 1991 | 647,59 | 34,61 | 7/2 | 59,01 | 7/1 | 3,11 | 60 | 75 |
| 1992 | 994,79 | 30,31 | 7/2 | 83,18 | 7/2 | 1,95 | 1,71 | 71 |
| 1993 | 813,61 | 49,67 | 7/1 | 88,38 | 7/1 | 3,34 | 3,11 | 3,34 |
| 1994 | 1,003,44 | 53,28 | 8/ | 95,47 | 7/1 | 4,69 | 1,22 | 1,03 |
1,021,469 in 1988 to 1,599,959 in 1989. In fact, 1989 was the lowest estimate of late-run chinook salmon abundance on record (as estimated at river mile 8), and 1989 was the highest recorded return for sockeye salmon (as estimated at river mile 19). The late-run tagging estimate of abundance for 1989 was also the lowest estimate generated by that project between 1987 and 1989.
Finally, patterns of migratory timing between the mile-8 and mile-19 sonar projects were often quite dissimilar. In 1989, 1991, and 1994 peak of the sockeye run was 9, 10, and 16 days after the peak of the chinook salmon run (Table 10).
**RECOMMENDATIONS**
1. **Replace dual-beam system with split-beam system.**
The use of split-beam technology would improve the accuracy with which the project estimates chinook salmon passage. The primary advantage would be derived from knowing the direction of travel for each target. Counts could eventually be adjusted to account for downstream targets on a daily basis. The ability to determine the spatial position of each target also provides a diagnostic tool in assessing whether the transducer is properly aimed along the bottom of the river. Knowing the spatial distribution of all targets also provides important descriptive information about fish behavior under changing environmental conditions. The ease with which split-beam systems can be field-calibrated would allow more frequent and reliable *in situ* calibration verifications, which would facilitate detecting equipment malfunctions or changes in system performance.
2. **Replace 420 kHz with a lower frequency system.**
The primary advantage of the lower frequency was an improved signal-to-noise ratio (SNR). Higher SNR’s resulted in less interference from boat wake, improved tracking capabilities, more precise target strength measurements, and improved target detection (by allowing lower relative detection thresholds).
3. **Investigate range distribution of sockeye and chinook salmon.**
Results reported herein support the conclusion of Eggers et al. (1995), that exclusion of the majority of sockeye from chinook salmon estimates has been primarily achieved through spatial segregation between the two species. However, even a very small fraction of the sockeye population swimming beyond the 15 m cutoff could impart a substantial bias to the chinook salmon estimates. To further assess the potential for such errors, we recommend that the distribution of both species be investigated further. The most obvious solution would be to initiate a pilot netting program in the lower river. Large-mesh gillnets could be set behind the transducer to test for presence/absence of chinook near shore; and carefully controlled drifts with small mesh could be used to test for presence/absence of sockeye offshore. If substantial numbers of either were detected, a more elaborate netting program could be considered, using multiple mesh sizes to estimate species proportions.
4. **Eliminate the target-strength threshold.**
Use of a target-strength threshold for excluding sockeye salmon is no longer justified, since we have no evidence that it is effective at excluding sockeye salmon. This would actually have very little effect on the estimates, since only a very small number of targets (~ 1% in 1994) have been excluded based on target strength. We recommend that the voltage or detection threshold be selected as it has been in the past, by finding the lowest threshold value that can be maintained through all tide stages while maintaining an aim close to the bottom of the river. This system has the advantage of being insensitive to calibration errors or fluctuations in system performance, because (1) there is no fixed target-strength threshold, and (2) the voltage threshold is keyed to the river itself.
We cannot say with finality that discriminating Kenai River chinook from sockeye salmon with target strength is impossible. Recent advances in hydroacoustic technology have enabled greater signal-to-noise ratios which presumably would result in more precise estimates of target strength. However a very large increase in precision would be necessary for our purposes, and this seems unlikely. We recommend that target strength continue to be monitored, but not necessarily in order to discriminate species. Target strength may be useful for estimating the composition of downstream targets.
5. **Monitor direction of travel.**
We need additional data in order to make an informed decision on how to use direction-of-travel information. Data presented in this report would indicate that estimates of chinook salmon abundance would be substantially reduced by incorporating such information, however 1994 data were limited and may not reflect seasonal averages. Furthermore, the amount of the reduction depends on the composition of the downstream targets. Downstream traveling sockeye salmon or debris should be subtracted once from the total
count, whereas chinook salmon which temporarily drift back down past the sonar site should be subtracted twice (once for the downstream count and once to negate a previous upstream count).
We recommend that a full season of split-beam data on direction of travel be collected in 1995, before procedures are finalized for utilizing such information. In the interim, we recommend that daily counts be reported as they have in the past (total count regardless of direction of travel), in order to preserve continuity with past estimates. In addition, the daily proportion of downstream targets could be reported to fishery managers. After the 1995 season, methods can be explored for identifying debris or otherwise estimating the composition of downstream targets. Future analyses of direction of travel data should include a comparison of the trajectories of upstream and downstream migrants through the beam. If the overall proportion of downstream targets remains high and has a substantial effect on the seasonal counts, then proposed adjustments to current escapement goals can be formulated.
6. **Try a different transducer on the right bank.**
Surface noise, particularly boat wake, has been an important factor limiting sonar sampling on the right bank. During 1994, there were long periods with heavy boat traffic when the right bank could not be sampled. Spatial distribution results reported here demonstrate that a very large proportion of upstream fish travel in the bottom half of the beam. Other results suggest that most boat wake is confined to the upper half of the beam. We recommend that a different transducer, narrower in the vertical dimension, be obtained and tested on the right bank to determine whether the effect of surface noise can be substantially reduced.
**LITERATURE CITED**
Alexandersdottir, M. and L. Marsh. 1990. Abundance estimates of the escapement for chinook salmon (Oncorhynchus tshawytscha) into the Kenai River, Alaska, by analysis of tagging data, 1989. Alaska Department of Fish and Game, Fishery Data Series No. 90-55, Anchorage.
Bendock, T. and M. Alexandersdottir. 1990. Hook and release mortality in the Kenai River chinook salmon recreational fishery. Alaska Department of Fish and Game, Fishery Data Series No. 90-16, Anchorage.
Bernard, D. R. and P. A. Hansen. 1992. Mark-recapture experiments to estimate the abundance of fish. Alaska Department of Fish and Game, Special Publication No. 92-4, Anchorage.
Burger, C. V., R. L. Wilmont, and D. B. Wangaard. 1985. Comparison of spawning areas and times for two runs of chinook salmon (Oncorhynchus tshawytscha) in the Kenai River, Alaska. Canadian Journal of Fisheries and Aquatic Sciences 42:693-700.
Burwen, D. L. and D. E. Bosch. *In press*. Estimates of chinook salmon abundance in the Kenai River using dual-beam sonar, 1994. Alaska Department of Fish and Game, Fishery Data Series Report, Anchorage.
Carlon, J. and M. Alexandersdottir. 1989. Abundance estimates of the escapement for chinook salmon (Oncorhynchus tshawytscha) into the Kenai River, Alaska, by analysis of tagging data, 1988. Alaska Department of Fish and Game, Fishery Data Series No. 107, Juneau.
Conrad, R. H. 1988. Abundance estimates of the escapement for chinook salmon (Oncorhynchus tshawytscha) into the Kenai River, Alaska, by analysis of tagging data, 1987. Alaska Department of Fish and Game, Fishery Data Series No. 67, Anchorage.
Conrad, R. H. and L. L. Larson. 1987. Abundance estimates for chinook salmon (Oncorhynchus tshawytscha) in the escapement into the Kenai River, Alaska, by analysis of tagging data, 1986. Alaska Department of Fish and Game, Fishery Data Series No. 34, Juneau.
Dahl, P. H. and O. A. Mathisen. 1982. Measurements of fish target strength and associated directivity at high frequencies. Journal of the Acoustical Society of America 73:1205-1211.
Eggers, D. M. 1994. On the discrimination of sockeye and chinook salmon in the Kenai River based on target strength determined with 420 kHz dual-beam sonar. Alaska Department of Fish and Game, Alaska Fishery Research Bulletin 1(2):125-139. Juneau.
Eggers, D. M., P. A. Skvorc, and D. L. Burwen. 1995. Abundance estimates of chinook salmon in the Kenai River using dual-beam sonar. Alaska Department of Fish and Game, Alaska Fishery Research Bulletin 2(1):1-22. Juneau.
Ehrenberg, J. E. 1979. A comparative analysis of *in situ* methods for directly measuring the acoustic target strength of individual fish. IEEE Journal of Oceanic Engineering, Vol. OE-4:141-152.
Ehrenberg, J. E. 1983. A review of *in situ* target strength estimation techniques. FAO (Food and Agriculture Organization of the United Nations) Fisheries Report 300:85-90.
Ehrenberg, J. E. 1984. An evaluation of the use of acoustic echo measurements for the sizing of fish in rivers. Report by Biosonics, Inc., to the Alaska Department of Fish and Game, Division of Commercial Fisheries, Juneau.
Foote, K. G. and D. N. MacLennan. 1984. Comparison of copper and tungsten carbide calibration spheres. Journal of the Acoustical Society of America 75(2):612-616.
Hammarstrom, S. L. and L. L. Larson. 1986. Cook Inlet chinook and coho salmon studies. Alaska Department of Fish and Game. Federal Aid in Fish Restoration and Anadromous Fish Studies, Annual Performance Report, 1985-1986, Project F-10-1, 27 (S-32):40-88. Juneau.
King, B. E. and K. E. Tarbox. 1989a. Cook Inlet salmon escapement studies, 1987. Alaska Department of Fish and Game, Division of Commercial Fisheries, Technical Fishery Report 89-11. Juneau.
King, B. E. and K. E. Tarbox. 1989b. Cook Inlet salmon escapement studies, 1988. Alaska Department of Fish and Game, Division of Commercial Fisheries, Technical Fishery Report 89-19. Juneau.
King, B. E. and K. E. Tarbox. 1991. Cook Inlet salmon escapement studies, 1989. Alaska Department of Fish and Game, Division of Commercial Fisheries, Technical Fishery Report 91-20. Juneau.
MacLennan, D. N., and E. J. Simmonds. 1992. Fisheries acoustics. Chapman & Hall, London, UK.
Nelson, D. 1994. 1993 Area management report for the recreational fisheries of the Kenai Peninsula. Alaska Department of Fish and Game, Fishery Management Report No. 94-7, Anchorage.
Reusch, P. H. and J. Fox. 1995. Upper Cook Inlet Commercial Fisheries annual management report, 1994. Alaska Department of Fish and Game, Commercial Fisheries Management and Development Division, Regional Information Report No. 2A95-26. Anchorage.
Traynor, J. J. *In press*. Target strength measurements of walleye pollock (Theragra chalcogramma) and Pacific whiting (Merluccius productus). ICES Journal of Marine Science, 52:xxx-xxx.
Traynor, J. J. and J. E. Ehrenberg. 1990. Fish and standard sphere target measurements obtained with a split beam-dual beam system. In W. A. Karp, editor. Developments in fisheries acoustics. Rapports et Procès-Verbaux des Réunions, Conseil International pour l’Exploration de la Mer 189:325-335.
APPENDIX A.
Appendix A1.-Calibration measurements, settings, and tracking parameters for the dual-beam sonar system data presented in this report.
System Calibration Measurements
| Measurement | Value |
|------------------------------------|----------------|
| Source level | 212.688 dB |
| Through-system gain | -172.597 dB |
| TVG starting range | 2.5 m |
| Wide-beam drop-off correction | 1.34 |
System Settings
| Setting | Value |
|----------------------------------|---------------|
| Transmit power | -10 dB |
| Receiver gain | 0 dB |
| Pulse repetition rate | 8 sec\(^{-1}\) |
| Pulse width | 0.4 ms |
| Band width | 5 kHz |
| Narrow-beam threshold | 900 mV |
| Wide-beam threshold | 900 mV |
System Tracking Parameters
| Parameter | Value |
|----------------------------------|----------------|
| Minimum -6 dB pulse width accepted | 0.200 msec |
| Maximum -6 dB pulse width accepted | 0.734 msec |
| Minimum beam pattern factor accepted | -12 dB |
| Minimum pings per fish | 5 |
| Maximum change in range | 1.9 m |
| Maximum time between pings | 1.0 sec |
APPENDIX B.
Appendix B1.-Estimation of target strength.
Target strength, in decibels (dB), of an acoustic target located at range R (in m), θ degrees from the maximum response axis (MRA) in one plane and ϕ degrees from the MRA in the other plane is estimated as:
\[ \text{TS} = 20 \log_{10}(V_o) - \text{SL} - G_r + 40 \log_{10}(R) + 2\alpha R - G_{TVG} - 2B(\theta,\phi) \]
where:
- \( V_o \) = voltage of the returned echo, output by the echo sounder,
- \( \text{SL} \) = source level of transmitted signal in dB,
- \( G_r \) = receiver gain in dB,
- \( 40 \log_{10}(R) \) = two-way spherical spreading loss in dB,
- \( 2\alpha R \) = two-way absorption loss in dB,
- \( G_{TVG} \) = time-varied-gain correction of the echo sounder, and
- \( 2B(\theta,\phi) \) = two-way loss due to position of the target off of the MRA.
The source level and gain are measured during calibration and confirmed using *in situ* standard sphere measurements. The time-varied-gain correction compensates for spherical spreading loss. Absorption loss (\( 2\alpha R \)) was not corrected for in this study.
In practice, the location of the target in the beam (\( \theta \) and \( \phi \)) is not known, so \( B(\theta,\phi) \) must be estimated in order to estimate target strength. Dual-beam and split-beam sonar differ in how they estimate \( B(\theta,\phi) \), also called the beam pattern factor.
Dual-beam sonar (Ehrenberg 1983) uses one wide and one narrow beam. The system transmits on the narrow beam only and receives on both. The ratio between the voltages of the received signals is used to estimate beam pattern factor:
\[ B(\theta,\phi) = 20 \log(V_N/V_W) \cdot \text{WBDO} \]
where \( V_N \) is the voltage of the returned echo on the narrow beam, \( V_W \) is the voltage of the echo on the wide beam, WBDO is the wide beam dropoff correction, specific to each transducer, and estimated at calibration.
Split-beam sonar (MacLennan and Simmonds 1992) estimates target location (angles \( \theta \) and \( \phi \) of the target from the MRA) directly, not just the beam pattern factor (\( B(\theta,\phi) \)). Split-beam transducers are divided into four quadrants, and \( \theta \) and \( \phi \) are estimated by comparing the phases of signals received by opposing pairs of adjacent quadrants. The beam pattern factor is a function of \( \theta \) and \( \phi \), determined during laboratory calibration.
APPENDIX C.
| | | | |
|---|---|---|---|
| 100 | -1 | 1 | MUX argument #1 - multiplexer port to activate |
| 101 | -1 | 0 | percent - sync pulse switch, ping rate determiner NUS |
| 102 | -1 | 32767 | maxp - maximum number of pings in a block NUS |
| 103 | -1 | 32767 | maxbott - maximum bottom range in samples NUS |
| 104 | -1 | 3 | N_th_layers - number of threshold layers |
| 105 | -1 | 5 | max_tbp - maximum time between pings in pings |
| 106 | -1 | 5 | min_pings - minimum number of pings per fish |
| 507 | -1 | FED5 | timval - 0xFED5 corresponds to about 20 kHz NUS |
| 108 | -1 | 1 | mux_on - means multiplexing enabled on board NUS |
| 109 | -1 | 200 | mux_delay - samples delay between sync and switching NUS |
| 110 | -1 | 0 | decimate_mask - decimate input samples flag NUS |
| 111 | -1 | 3 | plot_up_fish - number of fish between stbar updates |
| 112 | -1 | 0 | echogram_on - flag for DEP echogram enable 0=off, 1=on |
| 113 | -1 | 1 | f_inst->o_raw - write raw file flag 1 = on, -1 or 0= off |
| 114 | -1 | 1 | f_inst->o_ech - write echo file flag 1 = on, -1 or 0= off |
| 115 | -1 | 1 | f_inst->o_fsh - write fish file flag 1 = on, -1 or 0= off |
| 116 | -1 | 1 | f_inst->o_sum - write summary table file flag 1 or 0= on |
| 117 | -1 | 0 | print summary table on printer, 1 = on, -1 or 0 = off |
| 118 | -1 | 15 | maxmiss - maximum number of missed pings in auto bottom |
| 119 | -1 | 1 | bottom_code - bottom tracking, 0=fix, 1=man, 2=auto |
| 120 | -1 | 0 | sb_int_code - sb only=0, sb-int: 40log a bot=1, 20log=2 |
| 121 | -1 | 0 | sb_int_code2 - sb only=0, sb-int 40log eg=0, 20log=1 |
| 122 | -1 | 1 | N_int_layers - number of integration strata |
| 123 | -1 | 1 | N_int_th_layers - number of integration threshold strata |
| 124 | -1 | 0 | int_print - print integrator interval results to printer |
| 125 | -1 | 0 | circular element transducer flag for bpf calculation |
| 126 | -1 | 80 | grid spacing for Model 404 DCR (in samples, 16 s/m) |
| 127 | -1 | 2 | TRIG argument #1 - trigger source |
| 128 | -1 | 0 | TRIG argument #2 - digital data routing |
| 129 | -1 | 2 | FILTER argument #1 - filter number |
| 200 | -1 | 0.0000 | sigma_flag - if != 0.0000, sigma is output, not ts |
| 201 | -1 | 220.7400 | sl - transducer source level |
| 202 | -1 | -169.8600 | gn - transducer through system gain at one meter |
| 203 | -1 | -18.0000 | rg - receiver gain used to collect data |
| 204 | -1 | 2.5000 | narr_ax_bw - vertical axis nominal beam width |
| 205 | -1 | 10.0000 | wide_ax_bw - horizontal axis nominal beam width |
| 206 | -1 | 0.1950 | narr_ax_corr - vertical axis phase correction |
| 207 | -1 | 0.0000 | wide_ax_corr - horizontal axis phase correction |
| 208 | -1 | 8.0000 | ping_rate - pulses per second |
-continued| | | | |
|---|---|---|---|
| 209 | -1 | 0.0000 | echogram start range in meters |
| 210 | -1 | 70.0000 | echogram stop range in meters |
| 211 | -1 | 900.0000 | echogram threshold in millivolts |
| 212 | -1 | 5.0000 | print width in inches |
| 213 | -1 | -45.0000 | ts plot minimum target strength in dB |
| 214 | -1 | -15.0000 | ts plot maximum target strength in dB |
| 215 | -1 | 0.0000 | range plot minimum in meters |
| 216 | -1 | 70.0000 | range plot maximum in meters |
| 217 | -1 | -1.8000 | min_angoff_v - minimum angle off axis vertical |
| 218 | -1 | 1.8000 | max_angoff_v - maximum angle off axis vertical |
| 219 | -1 | -6.0000 | min_angoff_h - minimum angle off axis horiz. |
| 220 | -1 | 6.0000 | max_angoff_h - maximum angle off axis horiz. |
| 221 | -1 | -24.0000 | max_dB_off - maximum angle off axis in dB |
| 222 | -1 | -8.2094 | ux - horizontal electrical to mechanical angle ratio |
| 223 | -1 | -28.2811 | uy - vertical electrical to mechanical angle ratio |
| 224 | -1 | 0.0000 | ud_coef_a - a coeff. for up-down beam pattern eq. |
| 225 | -1 | -0.017688 | ud_coef_b - b coeff. for up-down beam pattern eq. |
| 226 | -1 | -2.637955 | ud_coef_c - c coeff. for up-down beam pattern eq. |
| 227 | -1 | -0.015195 | ud_coef_d - d coeff. for up-down beam pattern eq. |
| 228 | -1 | -0.076042 | ud_coef_e - e coeff. for up-down beam pattern eq. |
| 229 | -1 | 0.0000 | lr_coef_a - a coeff. for left-rt beam pattern eq. |
| 230 | -1 | 0.107493 | lr_coef_b - b coeff. for left-rt beam pattern eq. |
| 231 | -1 | -0.263569 | lr_coef_c - c coeff. for left-rt beam pattern eq. |
| 232 | -1 | -0.000137 | lr_coef_d - d coeff. for left-rt beam pattern eq. |
| 233 | -1 | -0.000112 | lr_coef_e - e coeff. for left-rt beam pattern eq. |
| 234 | -1 | 15.0000 | maximum fish velocity in meters per second |
| 235 | -1 | 10.0000 | thd_up_time - minutes between 3d plot updates |
| 236 | -1 | 0.6000 | maxpw - pulse width search window size in ms NUS |
| 237 | -1 | 1.5000 | cltop - start of processing in meters |
| 238 | -1 | 60.0000 | bottom - bottom depth in meters |
| 239 | -1 | 0.0000 | init_slope - initial slope for tracking in m/ping |
| 240 | -1 | 1.0000 | exp_const - exponent for expanding tracking window |
| 241 | -1 | 0.3500 | max_ch_rng - maximum change in range in m/ping |
| 242 | -1 | 0.3000 | pw_criteria->min_pw_6 - min -6 dB pulse width |
| 243 | -1 | 0.6000 | pw_criteria->max_pw_6 - max -6 dB pulse width |
| 244 | -1 | 0.0000 | pw_criteria->min_pw_12 - min -12 dB pulse width |
| 245 | -1 | 2.0000 | pw_criteria->max_pw_12 - max -12 dB pulse width |
| 246 | -1 | 0.0000 | pw_criteria->min_pw_18 - min -18 dB pulse width |
| 247 | -1 | 2.0000 | pw_criteria->max_pw_18 - max -18 dB pulse width |
| 248 | -1 | 1.0000 | Intake width to weight fish to (in meters) |
-continued| | | | |
|---|---|---|---|
| 249 | -1 | 10.0000 | maximum echo voltage to accept (Volts - peak) |
| 260 | -1 | 0.0000 | minimum absolute distance fish must travel in x plane |
| 261 | -1 | 0.0000 | minimum absolute distance fish must travel in y plane |
| 262 | -1 | 0.0000 | minimum absolute distance fish must travel in z plane |
| 263 | -1 | 2.0000 | bottom_window - auto tracking bottom window (m) |
| 264 | -1 | 3.0000 | bottom_threshold - auto tracking bottom threshold (V) |
| 401 | 0 | 20.0000 | th_layer[0] - bottom of first threshold layer (m) |
| 401 | 1 | 70.0000 | th_layer[1] - bottom of second threshold layer (m) |
| 401 | 2 | 100.0000 | th_layer[2] - bottom of third threshold layer (m) |
| 402 | 0 | 900.0000 | th_val[0] - thr. for 1st layer (mV) |
| 402 | 1 | 900.0000 | th_val[1] - thr. for 2nd layer (mV) |
| 402 | 2 | 9999.0000 | th_val[2] - thr. for 3rd layer (mV) |
| 403 | 0 | 1.0000 | Integration layer 1 top (m) |
| 403 | 1 | 20.0000 | Integration layer 1 bottom (m) |
| 404 | 0 | 20.0000 | Integration threshold layer 1 bottom (m) |
| 405 | 0 | 100.0000 | Integration threshold layer 1 value (mV) |
| 601 | -1 | HTI-SB-200kHz | Echo sounder type |
| 602 | -1 | SN-92-005 | Echo sounder serial number |
| 603 | -1 | HTI-SB-2X10 | Transducer type |
| 604 | -1 | SN-316613 | Transducer serial number |
| 605 | -1 | Spd-2 | Echogram paper speed |
| 606 | -1 | 9_pin | Echogram resolution |
| 607 | -1 | Board_Ext | Trigger option |
| 608 | -1 | Left_to_Right | River flow direction |
| 609 | -1 | All_Fish | Fish included in 3d plot |
| 610 | -1 | OFF | Echogram enable flag |
| 611 | -1 | D:\KENAISBK | Drive and first letter to send files |
* The following parameters are DES parameters used only in remote operation. In non-remote operation, they are stored but ignored.
| | | | |
|---|---|---|---|
| 250 | -1 | 0.4000 | TX argument #1 - pulse width in milliseconds |
| 251 | -1 | 25.0000 | TX argument #2 - transmit power in dB-watts |
| 252 | -1 | -6.0000 | RX argument #1 - receiver gain |
| 253 | -1 | 125.0000 | REP argument #1 - ping rate in ms per ping |
| 254 | -1 | 10.0000 | REP argument #2 - pulsed cal tone separation |
| 255 | -1 | 1.0000 | TVG argument #1 - TVG start range in meters |
| 256 | -1 | 100.0000 | TVG argument #2 - TVG end range in meters |
| 257 | -1 | 40.0000 | TVG argument #3 - TVG function (XX Log Range) |
| 258 | -1 | -12.0000 | TVG argument #4 - TVG gain |
| 259 | -1 | 0.0000 | TVG argument #5 - alpha (spreading loss) in dB/km |
APPENDIX D.
Appendix D1.-Examples of output files generated by the split-beam sonar tracking program.
.ECH File
File Header
* Processing File e:\sb94\185\R185_1.RAW using C:\SB\SBPORT1.PAR Fri Sep 30 15:58:22 1994
* Start File Processing at Port 1 C:\SB\SBPORT1.PAR Mon Jul 04 00:00:01 1994
* Data processing parameters used in collecting this file for Port 1
{Program lists all the collection and processing parameters here}
* Fish Ping X dir. Y Dir. Range -6 -12 -18 Sum Beam P. Target
* Num. Num. Coord. Coord. meters PW PW PW Volts Factor Strength
| | | | | | | | | | |
|---|---|---|---|---|---|---|---|---|---|
| 1 | 396 | 2.52 | -0.01 | 24.61 | 16 | 23 | 24 | 1.5486 | -8.7724 | -20.31 |
| 1 | 399 | 2.17 | -0.27 | 24.68 | 20 | 28 | 32 | 2.3635 | -7.4514 | -17.96 |
| 1 | 400 | 2.00 | -0.07 | 24.82 | 14 | 18 | 19 | 1.3563 | -5.4490 | -24.78 |
| 1 | 401 | 2.31 | -0.09 | 24.63 | 16 | 23 | 25 | 2.8622 | -7.4280 | -16.32 |
| 1 | 402 | 2.28 | -0.23 | 24.63 | 18 | 22 | 27 | 1.6054 | -7.8259 | -20.94 |
| 1 | 403 | 2.23 | -0.32 | 24.71 | 20 | 26 | 32 | 3.9340 | -8.1340 | -12.85 |
| 1 | 404 | 1.91 | -0.32 | 24.69 | 21 | 29 | 33 | 2.4886 | -6.4467 | -18.51 |
| 1 | 405 | 1.90 | -0.27 | 24.72 | 20 | 27 | 31 | 4.7452 | -5.8671 | -13.49 |
| 1 | 406 | 1.68 | -0.18 | 24.69 | 24 | 32 | 34 | 2.0259 | -4.2557 | -22.49 |
| 1 | 407 | 1.99 | -0.24 | 24.66 | 27 | 35 | 38 | 2.7309 | -6.1221 | -18.03 |
| 1 | 409 | 1.46 | -0.29 | 24.74 | 20 | 24 | 29 | 5.6712 | -4.0563 | -13.75 |
| 1 | 410 | 1.28 | -0.22 | 24.74 | 18 | 26 | 30 | 4.8075 | -2.8777 | -16.36 |
| 1 | 411 | 1.59 | -0.30 | 24.85 | 21 | 31 | 33 | 2.8310 | -4.5909 | -19.25 |
| 1 | 412 | 1.05 | -0.23 | 24.66 | 18 | 24 | 28 | 2.3384 | -2.2326 | -23.27 |
| 1 | 413 | 0.98 | -0.14 | 24.71 | 25 | 32 | 38 | 3.1240 | -1.5465 | -21.44 |
| 1 | 414 | 1.03 | -0.11 | 24.65 | 18 | 27 | 38 | 5.3508 | -1.5953 | -16.72 |
| 1 | 415 | 1.02 | -0.18 | 24.66 | 16 | 23 | 25 | 3.8046 | -1.8392 | -19.43 |
| 1 | 416 | 1.28 | -0.37 | 24.68 | 18 | 22 | 25 | 2.4019 | -4.1330 | -21.14 |
E:\SB94\RETRACK\R2731558.ECH
* Stop of Raw File. C:\SB\SBPORT1.PAR Mon Jul 04 10:45:11 1994
.FSH File
File Header
* Processing File e:\sb94\185\R185_1.RAW using C:\SB\SBPORT1.PAR Fri Sep 30 15:58:22 1994
* Start File Processing at Port 1 C:\SB\SBPORT1.PAR Mon Jul 04 00:00:01 1994
* Data processing parameters used in collecting this file for Port 1
100 -1 1
101 -1 0
102 -1 32767
103 -1 32767
104 -1 3
{Program lists all the collection and processing parameters here}
| *Fish # | Start Ping | End Ping | # Echo | Start Xcoord | Start Ycoord | Range meters | Dist X | Dist Y | Dist Z | Swim. Speed | Target Strength | TS STD | Mux Port |
|---------|------------|----------|--------|--------------|--------------|--------------|--------|--------|--------|-------------|-----------------|--------|----------|
| 1 | 396 | 453 | 45 | 2.52 | -0.01 | 24.61 | -3.73 | -0.48 | -0.67 | 2.36 | -21.59 | 4.393 | 1 |
| 2 | 531 | 544 | 12 | -2.67 | 0.12 | 45.10 | -1.73 | -0.26 | -0.23 | 4.71 | -22.52 | 3.127 | 1 |
| 3 | 1971 | 1998 | 22 | -0.66 | -1.16 | 44.83 | 4.83 | 0.27 | 0.00 | 2.41 | -12.89 | 5.315 | 1 |
| 4 | 2726 | 2737 | 5 | -0.36 | -0.06 | 8.73 | -0.18 | -0.11 | 0.14 | 1.05 | -27.06 | 2.425 | 1 |
| 5 | 2714 | 2735 | 17 | 0.72 | -0.03 | 8.18 | -1.23 | -0.09 | 0.73 | 1.21 | -24.02 | 3.001 | 1 |
| 6 | 2858 | 2872 | 7 | 1.01 | -0.45 | 15.24 | -1.33 | -0.02 | 0.12 | 0.94 | -22.03 | 2.285 | 1 |
| 7 | 3346 | 3357 | 5 | 1.93 | -0.66 | 25.25 | -0.50 | 0.01 | -0.19 | 0.67 | -18.30 | 4.938 | 1 |
| 8 | 3373 | 3389 | 10 | 0.41 | -0.69 | 23.72 | -0.92 | 0.00 | -0.36 | 1.45 | -22.11 | 4.081 | 1 |
| 9 | 3896 | 3910 | 5 | -0.91 | -0.44 | 37.15 | 0.15 | -0.13 | -0.06 | 0.98 | -31.02 | 0.734 | 1 |
| 10 | 3930 | 3965 | 23 | 2.59 | -0.71 | 31.31 | -2.39 | -0.11 | 0.48 | 1.96 | -20.64 | 4.933 | 1 |
| 11 | 4498 | 4541 | 26 | 1.43 | -0.36 | 25.73 | -3.59 | 0.25 | 0.57 | 1.55 | -25.15 | 4.300 | 1 |
| 12 | 5041 | 5058 | 6 | 0.85 | -0.09 | 11.87 | -1.26 | -0.04 | -0.23 | 0.68 | -27.23 | 2.840 | 1 |
| 13 | 5061 | 5068 | 7 | -1.76 | -0.51 | 47.93 | 0.76 | -0.06 | -0.15 | 2.33 | -28.91 | 1.562 | 1 |
| 14 | 5715 | 5743 | 18 | 1.53 | -0.53 | 24.88 | -0.01 | -0.13 | 0.39 | 1.62 | -20.74 | 5.724 | 1 |
| 15 | 5832 | 5844 | 6 | 1.88 | -0.80 | 31.14 | -0.20 | -0.10 | 0.34 | 0.83 | -21.59 | 1.500 | 1 |
| 16 | 5845 | 5858 | 6 | 1.01 | -0.80 | 32.01 | 0.69 | -0.02 | 0.06 | 2.10 | -24.64 | 3.689 | 1 |
| 17 | 5863 | 5898 | 19 | 0.76 | -0.82 | 32.60 | -0.55 | -0.10 | -0.36 | 1.60 | -21.37 | 3.718 | 1 |
|
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Hard rock seismic exploration of ore deposits in Australia
Milovan Urosevic,* and, Anton Kepic Curtin University, Australia, Christopher Juhlin, Uppsala University, and Edward Stolz, Geoscience Australia.
Summary
We present an overview of the developments and achievements, over the past four years in the application of seismic reflection methods for mineral exploration in Australia. We show that seismic methods can be successfully used to delineate exceptionally complex hard rock environment in Australia providing that the acquisition parameters and data processing strategy are adequate for the task. Moreover methodologies for the direct targeting of specific ore reserves as well as rock identification from seismic data are discussed.
Introduction
The greenstone belts of the Yilgarn craton, Western Australia, host numerous Archaean gold and base metal deposits. These deposits are typically found in complex geological structures associated with crustal scale shear zones. The prospective geology is commonly hidden by a deep, heterogeneous regolith cover consisting of weathered Archaean rocks as well as transported colluvial and alluvial deposits. Mineral exploration in Western Australia is in a mature phase and future discoveries of large deposits will depend on focused exploration programs where there is little or no exposure of Achaean geology. Successful exploration for gold and base mineral deposits at greater depths and below areas of thick regolith cover is critically dependent upon an understanding of the location and geometry of the controlling structures at the scale of the deposits. The seismic reflection technique does not fundamentally lose resolution with depth; unlike magnetic, gravity, and electrical methods traditionally used for mining exploration. Consequently, seismic reflection surveys have the potential to provide images of underground structures at all depth levels. However seismic reflection methods have not been used in the hard-rock environment in Australia for direct exploration purposes until recently.
analysed the pit faults and set for a comprehensive feasibility study. In several years, the application of seismic methods advanced from virtually non-existent to one of the principal methodologies for mineral exploration in Australia. Hard rock seismic research program has now diversified in the types of mineral deposits to be targeted (Gold, Nickel, Diamonds, Uranium, and Iron Ore). In this paper we show and discuss the results of our broad research efforts through several case histories.
Hard rock seismic data analysis
Hard rock (HR) seismic data are often recorded either through the existing mine workings, or near it. The excessive levels of ambient noise, deep and heterogeneous regolith zone and highly complex geology are typical for Australian conditions. In most cases, 2D seismic reflection data acquisition is restricted to existing roads and bush tracks, while 3D seismic tends to have a "patchy" coverage due to environmental and heritage restrictions. All of those obstacles have a systematic solution that can be summarised as follows:
-Careful selection of acquisition parameters
-Precise computation of refraction statics, stacking velocities and residual reflection statics
-Use of geological information early in the processing (geological maps, potential field data, borehole logs, core sample measurements, etc)
-Calibration of seismic images with borehole seismic data
-Revisiting processing decision points, re-processing and towards final stages of interpretation
Previous work comprised of regional seismic lines recorded in 1999 in Western Australia across the Yilgarn craton has shown that deep reflection profiling can produce seismic reflections at depths greater than 2 km. CLear images of deep structures were obtained but the seismic data failed to provide structural information at the mine scale. Thus, while the data was good for developing conceptual targeting models in its delivered form it was of little use for exploration. In 2003 we have revisited these early works,
In our experience, HR seismic data processing is inseparable from interpretation. Excessive image complexity and the wealth of events in HR seismic images often present processing geophysicist with a multiple choice, particularly when opting for a plausible velocity model. One of the key steps in computation of constant velocity stacks (CVS), either for 2D or 3D data sets, and their careful analysis. At this stage one in fact opt for the most likely structural model which in fact amounts for the first phase of the HR interpretation process (Figure 1). The next phase involves similar analysis except it is performed this time on dip move-out corrected CVS panels. Final refinement of the static and dynamic corrections is a lengthy process. Similarly, pre-stack imaging is also demanding and interpretation-driven process.
by the Technical Program Committee. This paper was invited by the workshop organizer and was not reviewed
SEG Las Vegas 2008 Annual Meeting
3613
Double click here to type your header
Figure 1: Figure 1. CVS panels: a) V=4250 m/s, b) V=6000 m/s and c) V=7500 m/s. Out off-the-plane events are denoted with green arrows, blue arrow indicate subhorizontal events appearing at expected velocities and black arrows mark steeply dipping events also appearing with expected velocities (scaled by the dip).
If logs and VSP were available we could say that the final processing is finalised if a good quality well-tie is achieved.
Our primary objective is to identify structural elements that could be mineral bearing. This could be a structure that could have provided a path for hydrothermal solutions and hence precipitation of minerals. Our ultimate goal would be a direct identification of rock units from seismic data through, perhaps seismic inversion (Figure 2). Full Waveform Sonic logging can be used to build a statistically significant relationship between seismic attributes, such as acoustic impedance, for rock units which are of interest to mineral exploration. This is particularly important for gold exploration where a direct geophysical signature is absent.
Conclusion
Our understanding of the seismic signature of hard rocks has greatly improved over the last few years. As the data from 2D surveys are less than perfect necessity has provided the impetus to create various means to extract more information out of these surveys. Several advances have been made in data processing flows and imaging techniques. In addition, the role of interpretation in guiding the processing and imaging of HR seismic data is becoming more science and less art. The first seismic inversion attempts appear promising and open new avenues in interpreting seismic data in hard rock environments. However, there is lot to be learnt and accomplished in an often overwhelmingly complex geological setting. Wider use of 3D seismic methods in the last two years is highly encouraging. Better use of boreholes data and calibration of surface seismic images is crucial for further advances in seismic exploration for mineral deposits.
References
Urosevic, M., and C. Juhlin, 2007, An analysis of seismic information obtained from crooked line seismic surveys in crystalline rocks, Australia: 69th EAGE Conference.
Urosevic, M., Kepic, A., Stolz E., & C. Juhlin, 2007, Seismic exploration of mineral deposits in Yilgarn Craton, Western Australia: Exploration07, Toronto, Canada.
Acknowledgement
We are grateful to WA Government for granting us, one of the smallest departments at Curtin University, with the Centre of Excellence. We also thank Australian mining industry for their continuous support.
Figure 2: Model-based impedance inversion used for targeting gold bearing dolerites.
by the Technical Program Committee. This paper was invited by the workshop organizer and was not reviewed
SEG Las Vegas 2008 Annual Meeting
3614
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Bar Examiner THE
Editor
Claire Huismann
Editorial Advisory Committee
Beverly Tarpley, Chair Bedford T. Bentley, Jr. Gordon J. MacDonald Terry L. Mann Marygold Shire Melli Paul H. Mills Fred P. Parker III Hon. Phyllis D. Thompson
Publication Production and Design Melanie Hoffman
Editorial Assistant
Lisa Palzkill
Publisher
National Conference of Bar Examiners
NCBE Officers
Chair
Rebecca S. Thiem
President
Erica Moeser
Immediate Past Chair Philip M. Madden
Chair-Elect
Franklin R. Harrison
Secretary
Margaret Fuller Corneille
NCBE Board of Trustees
Hon. Rebecca White Berch Hon. Thomas J. Bice Mark S. Carlin Robert A. Chong Michele A. Gavagni Hon. Cynthia L. Martin Darryl W. Simpkins Bryan R. Williams
Letter from the Chair
Frankly, I was clueless about the responsibilities of a bar examiner when I joined the three-member North Dakota Board of Law Examiners in 1991. Sure, I knew about the bar exam from having taken it in 1980 and from later writing and grading essay questions. However, my knowl edge of character and fitness was limited to the application I had filled out myself. My only impression of the National Conference of Bar Examiners was that it had something to do with the MBE and the MPRE.
During the 18 years I served as a member of the North Dakota Board (13 years as its chair), I gained a keen appreciation for the weighty duties undertaken by bar examiners and came to understand some of the key principles of responsible bar examining. For those newcomers to the world of bar examining, I hope the following observations are helpful.
1. Bar examiners improve the justice system.
As part of the North Dakota bar admissions ceremony, newly licensed lawyers recite the lawyer's pledge, which includes a promise to "make the legal system more accessible, responsive, and just." The bar examiner's role in protecting the public from lawyers who do not meet minimum standards of competency, char acter, and fitness is a critical part of making the legal system more "responsive and just."
Likewise, bar examiners have a role in improving access to the justice sys tem—both for those who wish to join it as practicing lawyers and for the public who uses it. A qualified, competent law graduate, particularly in this difficult economic climate, deserves access to a state's legal system without having to overcome unnecessary, repetitive, and costly barriers. And a client should have the right to access a state's legal system through an attorney of the client's choice, regardless of the attorney's residence, so long as the attorney meets the minimum standards of competency, character, and fitness.
Early in my bar examining career, a member of the bar questioned North Dakota's cut score (the score required to pass the exam) because he thought we were "letting too many lawyers in." Our philosophy as bar examiners was that, while we had a duty to admit only qualified and competent candidates, it was not our role to limit access to the bar. That is one reason the North Dakota Board looked favorably on the Uniform Bar Examination and the access to other UBE jurisdictions it provides to our newly minted lawyers.
2. Bar examiners have important roles as board members.
Particularly with a small board of bar examiners and an even smaller staff, it is often easy for a bar examiner to slip into an improper role. I view the board's role as providing strategic leadership, encour aging and respecting diverse viewpoints, and making collective policy decisions— not micromanaging staff, providing legal advice, or exercising individual authority.
Leading requires proactive education about the complex issues in bar examining, which I received by attending NCBE conferences. It also requires a commitment to improving the bar admis sions process by interacting with the jurisdiction's Court, bar, and law schools on strategic policy matters.
As a board member, a bar examiner also needs to adhere to a code of conduct and ethics. This includes keeping information appropriately confidential and never using the position for personal advantage or the advantage of colleagues and friends.
3. Bar examiners have important roles as judges, too.
When I recently became a member of our state's Disciplinary Board, I knew I had assumed a judicial role, and I requested special training. The judicial aspect of the bar examining and hearing process was less appar ent to me, although I came to realize that it was a very significant component of the job. In hindsight, I would have asked for more training for bar examination board members on their judicial responsibilities.
The judicial aspect of bar examining also creates additional ethical issues. As any application can ulti mately lead to a decision-making and hearing process, ex parte communications between applicants and board members should be extremely limited. For that reason, our board adopted a policy that any communications received from an applicant should be immediately referred to and handled by staff. Likewise, actual and potential conflicts of interest need to be evaluated under the judicial code of conduct.
4. Bar examiners must be both respon sible and fair.
A responsible bar examiner needs to care both about the legal system and about the lives being affected by the admis sions process. A bar examiner is often faced with the frailties and tragedies of the human condition, for which there are no easy answers. While we are not social workers and must remain focused on our duty to protect the public, it is nevertheless important to empa thize with that hardworking but failing applicant, or the single parent with mountains of debt, or the appli cant recovering from an addiction. These applicants have struggled to reach this stage of the profession and deserve both fairness and empathy. Of course, for representatives of an entity that performs a licensing function, the maintenance of consistent standards for bar admission must remain paramount, and protection of the public must always be the goal.
The role of the bar examiner encompasses many responsibilities—to the justice system, to the public, and to the applicants. It is a rewarding position that is critical to the profession. I welcome the newest bar examiners to the world of bar admissions and look for ward to meeting some of them at NCBE's upcoming Annual Conference in Savannah, Georgia, on April 19–22, 2012.
Best regards to all.
Sincerely,
Rebecca S. ThiemNCBE Logo
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Veranda Menu
Appetizers
Ahi Tuna Poke*
Ahi Tuna Sashimi, Sweet Chili Sauce, Scallions, Sesame
Soy Sauce, Fresh Avocado, Crisp Won Ton Chips
$15.00
Crab Cakes
*
Jumbo lump Crab Cake, Napa Slaw, Creole Remoulade
$15.00
Shrimp Cocktail
Smoked Shrimp, Mango Chipolte Glaze, Cocktail sauce
$15.00
Gnocchi and Wild Mushroom
Roasted Wild Mushroom Ragout, Sweet Potato Gnocchi
Sage Brown Butter and Local Goat Cheese
$12.00
Salads
Spinach Salad †
Spinach, Roasted Pickled Beets, Jumpin Chevre Cheese
Dried Cranberries, Roasted Red Pepper, White Balsamic Vinaigrette
$9.00
Caesar Salad *
Chopped Hearts of Romaine, Parmesan Crisp, Anchovy, Parmesan Dressing, Grilled Crouton
$10.00
Cliff House †
Arcadian Harvest Spring Greens, Blue Cheese, English Cucumbers
Carrots, Grape Tomatoes, Candied Pecans, Tarragon Vinaigrette
$8.00
Sandwiches
All Sandwiches are served with a House Made Fries
Add a Side House Salad $4.00
Smoked Turkey Sandwich
House Smoked Turkey Breast, Swiss Cheese, Avocado
Cranberry Mayonnaise, Lettuce, Tomato, Grilled Sourdough
$12.00
Manitou Portobello Sandwich
Marinated Grilled Portobello Mushroom, Goat Cheese
Roasted Red Peppers, Pesto Mayonnaise, Grilled Telera Roll
$13.00
Grilled Rueben Sandwich
Corned Beef, Swiss Cheese, Sauerkraut, Thousand Island Dressing, Grilled Rye Bread
$13.00
Beef Brisket Sandwich
House Smoked Beef Brisket, Pepper Jack Cheese, Fried Onions
Chipotle Molasses, Barbeque Sauce, Coleslaw, Dill Pickles, Kaiser Roll
$14.00
Grilled Ham Sandwich
Grilled Maple Ham, Brie Cheese, Basil Pesto, Grilled Ciabatta Roll
$13.00
The Cliff House Burger *
House Ground Beef and Buffalo Burger, Chipotle Molasses, Barbeque Sauce
Applewood Smoked Bacon, Aged Cheddar, Red Onion Marmalade
$14.00
Entrees
Petite Skuna Bay Salmon †
Pan Seared Salmon, Asparagus, Emperor's Black Rice, Lemon Buerre Blanc
$20.00
Petite Filet Mignon * †
Grilled Beef Tenderloin, Sautéed Asparagus, Baby Carrots, French Fries, Port Wine Demi-Glace $25.00
Fish and Chips
Ale Battered Alaskan Cod, Bistro Fries, Coleslaw, Remoulade Sauce $12.00
We also have a vegetarian menu available, please ask your server † Indicates Gluten Free
* Items are cooked to order or contain raw, undercooked meats, poultry Seafood, eggs or shellfish, which may contain harmful bacteria and May increase your risk of food borne illness
Executive ChefChris Lynch
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National Group:
AIPPI ITALY
Contributors:
L. Liuzzo, O. Capasso, R. Sgarbi
Date:
April 29, 2010
Questionnaire February 2010
Special Committees Q 94 – WTO/TRIPS and Q166 – Intellectual Property and Genetic Resources, Traditional Knowledge and Folklore on the
Requirement of indicating the source and/or country of origin of genetic resources and traditional knowledge in patent applications
Questions
1)
Is there a legal requirement in your country that the source and/or country of origin of biological/genetic resources and traditional knowledge must be indicated in patent
applications for inventions based on such biological/genetic resources or traditional knowledge? If yes, please quote the corresponding text from the law or regulations and reply
to the following questions, if applicable:
a) Are these regulations found in patent law, general IP laws or in legislation implementing the Convention on Biological Diversity?
a) Art. 5.2 of Italian Law No. 78 of 22.02.2006, enacting the EU directive 98/44/EC on legal protection of biotechnological inventions in Italy, provides that “ The source of the biological
material either of animal or of vegetal derivation, on which an invention is based, is stated at the filing date of the patent application, with reference of the Country of origin, to enable
1
both the verification of the compliance with the legislation regarding import and export of such type of material, and the organism from which the biological material was isolated." Implementing Provisions of the Italian Industrial Property Code (C.P.I.) recently issued (Law Decree no. 33 13.01.2010) at art. 21.2, prescribe that the lack of such statement is annotated onto the Registry of Industrial Property.
b) What "triggers" the disclosure requirement, i.e. how close must the relationship of the invention to the biological/genetic resource be to require disclosure?
b) The disclosure requirement under a) is compulsory in all cases where the claimed invention "is based on biological material of human or vegetal origin". Although there is no specific definition of the above expression, the provision should apply to all cases where the biological material of animal or vegetal origin is the object or is used to carry out the object of the invention. However other interpretations may be possible.
c) Is it clear what the concept of "source" or "country of origin" or "country providing the resource", and "based on genetic resource/traditional knowledge" or "derived from biological resource and associated traditional knowledge" means and what information must be included in the patent application?
c) The above Italian provision refers solely to the protection of invention based on "biological material" and does not contain provisions concerning "traditional knowledge". The provision refers to a statement, implying that the information should not be included mandatorily in the text of the patent application.
As to the information that must be included in the patent application, Art. 5.3 of Law No. 78 provides that, when the biological material, that is the object of the invention or is used to carry out the invention, is of human origin, then the patent application must enclose an express prior informed consent by the person from whom it was drawn.
Moreover, Art. 5.4 of Law No. 78 prescribes that a patent application on an invention having as the object or using a biological material that contains a genetically modified microorganism or organism must be accompanied by a declaration warranting that all obligations deriving from national and community provisions concerning such modifications (e.g. legislative Decree No. 244 of 08.07.2003, implementing Directive 2001/18/EC) have been respected.
d) Is the disclosure requirement limited to biological/genetic resources or traditional knowledge of your country only or is it applicable also to biological/genetic
resources or traditional knowledge obtained or obtainable from other countries and geographical areas?
d) The provisions of Law No. 78 regarding disclosure requirements are not limited to biological/genetic resources of our country.
e) Are there ways to complement, correct or amend the corresponding text in the patent application after filing?
e) In general term, Art. 172.2 of the Industrial Property Code (C.P.I.) allows the applicant to amend before the grant its application and any relating documents in the aspects which are not substantial.
f) Is disclosure of "prior informed consent" and/or agreements on "fair and equitable benefit-sharing" required?
f) See under c) above.
g) Are human genetic resources treated differently or the same way as animal or plant genetic resources falling under the CBD?
g) Human genetic resources are treated in a different way than resources of animal or vegetal origin in so far as filing a prior informed express content to the drawing and the use of the biological material from the person it has been drawn is required.
h) Is traditional knowledge properly defined, and is the source of traditional knowledge to be indicated only if it is connected to genetic/biological resources (e.g. falling under the CBD) or in general?
h) Neither Law No. 78, nor the patent Law (C.P.I.) contains provisions regarding traditional knowledge.
i) Are sanctions foreseen for non-compliance (e.g. patent invalidation, revocation or lack of enforceability, patent transfer to the owner of the resource, fines, criminal sanctions etc.)?
i) Law No. 78 does not provide sanctions for the patent application regarding an invention based on biological/genetic resources in case the prescribed declarations regarding the source and the country of origin of the biological material and/or the informed consent are not filed. The Implementing provision refers only to an annotation of the omitted act. However, according to Law No. 99 of 23.07.2009 the government has been delegated to enact provisions defining sanctions against violations of the rules regarding the juridical protection of the biotechnological inventions.
j) Does the law/regulation indicate that access to a genetic/biological resource would not mandate a disclosure in the patent application, if such access had occurred prior to a particular date, e.g. prior to the date of entry into force of the CBD?
j) The law does not contain any indications exempting from the disclosure requirement concerning the source and the country of origin of biological material, in patent application claiming inventions based on genetic/biological resources.
2) Please indicate your experience with the application of the legal requirement as listed under 1) when filing and prosecuting patent applications in your country.
2) No experience.
3) Please give statistical data on the number of applications mentioning source and/or country of origin of genetic resources and/or traditional knowledge, following the legal requirement as listed under 1) in your country. If such data are not available, please give an estimate of the number of such applications.
3) Not available
4) Please indicate whether administrative or judicial decisions on the application of the legal requirement as listed under 1) are available. If yes, please provide the text of such decisions.
4) Not known.
5) If there is no legal requirement of indicating the source and/or country of origin of genetic resources and/or traditional knowledge in patent applications for inventions based on such genetic resources or traditional knowledge in your country: Do you know of any project of law in your country dealing with the topic? If yes please provide the corresponding text and review it for the questions a) to i) as under 1). Please include also links to websites which would allow us to follow the progress on these projects of law.
5) Not aware at the moment.
SUMMARY
Italian Law provides that the source of the biological material either of animal or of vegetal derivation, on which an invention is based, should be stated at the filing date of the patent application, with reference of the Country of origin, to enable both the verification of the compliance with the legislation regarding import and export of such type of material, and the organism from which the biological material was isolated. The lack of such statement is annotated onto the Registry of Industrial Property. The provision is not limited to biological/genetic resources of our country.
No provision is foreseen concerning "traditional knowledge".
When the biological material, that is the object of the invention or is used to carry out the invention, is of human origin, then the patent application must enclose an express prior informed consent by the person from who it was drawnd.
No relevant case law is available
No sanctions are presently provided for not filing the prescribed statements or declarations, but the government has been delegated by law to enact ad hoc legislation.
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DIVERSITY, EQUITY, INCLUSION, & BELONGING COMMITTEE MEETING
TUESDAY, JULY 11, 2023 AT 6:00 P.M.
COUNCIL CHAMBER, 59 MAIN STREET, ORONO, MAINE
WATCH ONLINE AT
https://us06web.zoom.us/j/81172803578
CALL (312) 626-6799 ID: 811 7280 3578
AGENDA
1. Welcome and Introductions
2. Recap from the Meet and Greet
3. Planning Upcoming Events and Activities
4. Process to Recommend New Committee Members
5. Public Comment
Those who wish to speak about items that are on the agenda are asked to come to the microphone (in-person) or raise their hand (Zoom), state their name and affiliation, and then briefly address the meeting Chairperson. Comments should not be repetitive and the Chair reserves the right to limit speaker time.
6. Agenda Items for Next Meeting
7. Adjourn
ADA Notice - Requesting Reasonable Accommodation
Please contact the Town Manager's Office at (207) 889-6905 or [email protected] prior to scheduled meetings or events to discuss auxiliary aids or services needed to participate in Town activities.
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Strengthening connections to the natural world through outdoor education
___________________________________________________________________________________________
Gear List for All Day Courses
Please remember that weather in NW Montana during all seasons can change quickly from warm and sunny to freezing at any time of the year; the best way to be prepared for this weather is to have layers! We recommend checking the weather prior to your trip. Please also check your course information sheet for specific gear requirements in addition to those listed below.
*PRO TIP: Wool or synthetic fabrics are recommended whenever possible. Synthetic materials dry quickly, wick moisture, and keep you warm; wool keeps you warm even when wet. Cotton gets wet, stays wet, and makes you cold.
Items for ALL Day Courses:
❏ 2-liter sized water bottles or Camelback
❏ Trail lunch - Consult course descriptions as food is included with some courses but not all
❏ Lightweight hiking boots or a sturdy pair of hiking shoes
❏ Wool or synthetic hiking socks
❏ Synthetic, wicking shirt
❏ Quick dry hiking shorts or hiking pants
❏ Midweight fleece or wool jacket or sweater
❏ Waterproof rain jacket and pants
❏ Sunhat, sunglasses, sunscreen, insect repellant & lip balm
❏ Heavy fleece or insulated jacket - necessary in June, September, and October
❏ Field notebook and pencil - waterproof place to store it
❏ Toilet paper & plastic bag in which to pack it out
❏ Basic first-aid kit including moleskin - Our staff carries Group First Aid Kit & Bear Spray
❏ Day pack with plastic bag liner or cover
Optional Equipment:
❏ Camera
❏ Field guides
❏ Binoculars
❏ Trekking poles if you like to use them for hiking
❏ Compact emergency blanket, whistle, and waterproof matches or lighter
There's more. . .
Strengthening connections to the natural world through outdoor education
__________________________________________________________________________________
Items for Overnight Participants in addition to items listed above:
❏ Towel & personal toiletry items - toothbrush, toothpaste, soaps, wash cloth, sanitary wipes, etc.
❏ Flashlight or headlamp with extra batteries
❏ Warm sleeping bag - bottom sheet, pillow and pillowcase are provided
❏ Personal alarm clock/watch
❏ Comfortable camp shoes to wear after hiking
❏ Ear plugs - optional
❏ Food/snacks - Consult course descriptions as food is included with some courses but not all
Essentials for all Winter, Fall and Spring Courses:
❏ warm hat and mittens with liners or gloves
❏ insulated winter boots and extra wool or synthetic socks
❏ gaiters - optional
❏ wool or synthetic long underwear - top and bottom - NO COTTON
❏ heavy fleece or wool pants - or snow pants
❏ warm outer jacket and heavy fleece or wool mid-layer
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A Case Study of a Teacher-Student Mentor Adoption Program at the Elementary Level
Timothy Shane Benson
*Lindenwood University*
Follow this and additional works at: [https://digitalcommons.lindenwood.edu/dissertations](https://digitalcommons.lindenwood.edu/dissertations)
Part of the Educational Assessment, Evaluation, and Research Commons
**Recommended Citation**
Benson, Timothy Shane, "A Case Study of a Teacher-Student Mentor Adoption Program at the Elementary Level" (2015). *Dissertations*. 313.
[https://digitalcommons.lindenwood.edu/dissertations/313](https://digitalcommons.lindenwood.edu/dissertations/313)
A Case Study of a Teacher-Student Mentor Adoption Program at the Elementary Level
by
Timothy Shane Benson
April 2015
A Dissertation submitted to the Education Faculty of Lindenwood University in partial fulfillment of the requirements for the degree of Doctor of Education School of Education
A Case Study of a Teacher-Student Mentor Adoption Program at the Elementary Level
by
Timothy Shane Benson
This Dissertation has been approved as partial fulfillment of the requirements for the degree of Doctor of Education
Lindenwood University, School of Education
Dr. Julie Williams, Dissertation Chair
Date: 4-27-15
Dr. Sherry DeVore, Committee Member
Date: 4-27-15
Dr. Terry Reid, Committee Member
Date: 4-27-15
Declaration of Originality
I do hereby declare and attest to the fact that this is an original study based solely upon my own scholarly work at Lindenwood University and that I have not submitted it for any other college or university course or degree.
Full Legal Name: Timothy Shane Benson
Signature: ___________________________ Date: 4-27-15
Acknowledgements
I would first like to acknowledge and give a sincere thank you to the Lindenwood University, West Plains, Missouri, cohort leadership team. These people include Dr. Sherry DeVore, Dr. Kathy Grover, and Dr. Terry Reid. I would especially like to thank Dr. Julie Williams. Without her leadership, help, expertise, and friendship, this task would have been overwhelming and even more difficult. This thank you comes from the bottom of my heart.
Secondly, I would like to thank the faculty and students of Elementary School A for allowing me to be a part of their lives and allowing me to conduct this case study research. Hopefully, we can use this research to improve our school and the education we offer our students.
Last but not least, I would like to thank my family. My wife’s love and encouragement was never-ending. The examples I receive from both my parents and in-laws are truly a testament to the kind of character I would like to show. Finally, my children and grandchildren, because they are the reason I strive to be successful and to show the type of character that was shown to me.
The purpose of this study was to determine if positive teacher-to-student relationships impacted student academic performance. This case study involved examination of the results of data collected from 43 students who participated in a mentor adoption program initiated with the intent to enhance positive teacher-to-student relationships for the 2013-2014 school year. Archival data of students who participated in the mentor adoption program were compared to data from a stratified group of students who did not participate in the mentor adoption program. Data from English language arts (ELA) and mathematics (MA) Missouri Assessment Program (MAP) scale scores, attendance rate, and number of discipline referrals were compiled and analyzed using paired-samples $t$-tests. The results of the study showed students who participated in the mentor adoption program demonstrated a significant increase in MAP ELA scale scores, increase in MAP MA scale scores, and significant decrease in the number of discipline referrals. Students who did not participate in the mentor adoption program showed significant improvement only in MAP MA scale scores. Perceptual interview data were gathered and analyzed from 10 teachers who participated in the mentor adoption program to determine teacher perceptions and feelings about the program. The results indicated teachers believed the mentor adoption program had value and should be continued in Elementary School A. The analysis of these data showed student academic performance was significantly impacted by the use of a mentor adoption program in Elementary School A.
# Table of Contents
Acknowledgements ........................................................................................................... ii
Abstract .......................................................................................................................... iii
List of Tables .................................................................................................................. viii
List of Figures ................................................................................................................ ix
Chapter One: Introduction ............................................................................................... 1
Background of the Study ................................................................................................. 2
Conceptual Framework .................................................................................................... 5
Statement of the Problem ............................................................................................... 7
Purpose of the Study ....................................................................................................... 8
Independent and Dependent Variables ........................................................................... 9
Research Questions ........................................................................................................ 10
Definition of Key Terms ................................................................................................ 11
Limitations and Assumptions ....................................................................................... 11
Limitations .................................................................................................................. 11
Assumptions ............................................................................................................... 13
Summary ....................................................................................................................... 14
Chapter Two: Literature Review ..................................................................................... 16
Conceptual Framework ................................................................................................ 16
Teacher-to-Student Relationships .................................................................................. 19
Teacher-to-Student Relationship Effects on Early Childhood Students .............. 21
Teacher-to-Student Relationship Effects on Middle School Students ................ 25
Teacher-to-Student Relationship Effects on High School Students ..................... 30
Teacher-to-Student Relationship Effects on Continuing Education
Students .................................................................................................................. 35
Mentor Adoption Programs .................................................................................... 38
Relationship-Building Interventions ..................................................................... 43
Teacher-to-Student Interventions ........................................................................ 43
Teacher-to-Parent Interventions .......................................................................... 45
Developing Mentoring Programs ........................................................................... 48
Variables Which Affect Student Performance ...................................................... 50
Students from Poverty .......................................................................................... 50
Teacher Effectiveness ........................................................................................... 56
Curriculum ........................................................................................................... 61
Summary .................................................................................................................. 63
Chapter Three: Methodology .................................................................................. 64
Problem and Purpose Overview ............................................................................. 64
Research Questions ............................................................................................... 65
Research Design ..................................................................................................... 66
Population and Sample .......................................................................................... 69
Variables in the Study ............................................................................................ 72
Independent Variable ........................................................................................... 72
Dependent Variables ............................................................................................. 73
Instrumentation ...................................................................................................... 75
Academic Measurement ....................................................................................... 75
Attendance Rate Measurement ............................................................................. 76
Discipline Referrals Measurement ................................................................. 76
Perceptual Data Measurement .................................................................. 76
Data Analysis ............................................................................................. 76
Ethical Considerations .............................................................................. 77
Summary .................................................................................................... 77
Chapter Four: Results .................................................................................. 79
Research Questions .................................................................................... 80
Quantitative Results ................................................................................... 81
Academics ............................................................................................... 81
Attendance Rate ..................................................................................... 85
Discipline Referrals ............................................................................... 86
Perceptual Data ...................................................................................... 87
Summary .................................................................................................... 94
Chapter Five: Findings and Conclusions .................................................... 96
Findings ...................................................................................................... 96
Archival Data ......................................................................................... 97
Case Study Findings .................................................................................. 101
Lessons Learned ....................................................................................... 102
Limitations of the Study ............................................................................ 103
Recommendations for Further Studies ..................................................... 105
Contributions to Research Literature ....................................................... 108
Final Reflections ....................................................................................... 108
Appendix A ................................................................................................. 110
Appendix B ........................................................................................................... 112
Appendix C ........................................................................................................... 113
Appendix D ........................................................................................................... 115
References ............................................................................................................ 117
Vita ....................................................................................................................... 129
List of Tables
Table 1. Paired Samples Statistical t-test of Adopted Mentees’ MAP ELA Scores Before and After Adoption .................................................................82
Table 2. Paired Samples Statistical t-test of Adopted Mentees’ MAP MA Scores Before and After Adoption .................................................................83
Table 3. Paired Samples Statistical t-test for the Control Group’s (Non-Adopted Students) MAP ELA Scores Before and After Adoption ..................................................84
Table 4. Paired Samples Statistical t-test for the Control Group’s (Non-Adopted Students) MAP MA Scores Before and After Adoption ..................................................85
Table 5. Paired Samples Statistical t-test for Adopted Mentees’ Attendance Before and After Adoption ...........................................................................86
Table 6. Paired Samples Statistical t-test for the Control Group’s Attendance Before and After Adoption ...........................................................................86
Table 7. Paired Samples Statistical t-test for Adopted Mentees’ Discipline Referrals Before and After Adoption .................................................................87
Table 8. Paired Samples Statistical t-test for Control Group’s Discipline Referrals Before and After Adoption .................................................................87
List of Figures
Figure 1. A data analysis matrix for teachers’ view of the value of the program in regard to student performance .................................................................90
Figure 2. A data analysis matrix for teachers’ program improvement suggestions........91
Figure 3. A data analysis matrix for teachers’ view of professional development ........92
Figure 4. A data analysis matrix for highlights of the mentor adoption program ..........93
Chapter One: Introduction
Schools throughout the United States are continuously seeking ways to improve the quality of education offered to students (Hess, 2014). Research has shown in order for schools to improve, each school must have highly effective teachers (McEwan, 2002), a high student attendance rate (Sparks, 2010a), and effective classroom management strategies (Marzano, 2013a). Schools are implementing a multitude of strategies presented as most impactful to school improvement and often investigate strategies which may be successful in one school but not in another school. Observations often demonstrate differences from building-to-building or even student-to-student (Parsons, Dodman, & Burrowbridge, 2013). This research project involved a case study of an elementary mentor adoption program implemented to develop teacher-to-student relationships and examined how developing teacher-to-student relationships may affect improvement of overall student performance.
In reality, the key to any strategy’s effectiveness may be the personal relationships teachers create with students. Teacher-to-student relationships are an integral component of effective teaching (McEwan, 2002). When sincere effort is put forth by teachers to create positive relationships with students, students will respond by improvement in areas of academics, attendance, and discipline issues (Sterrett, 2012). Pressure from federal and state government for schools to improve continually creates a need for schools to find ideas and strategies to enhance chances for improvement (Weiss, 2014). Teacher-to-student relationship-building programs may provide a high return of improvement while the overall cost may be minimal.
Background of the Study
Across the nation, schools have been continually seeking ways to improve student performance (Rydeen, 2010). Both federal and state laws dictate goals and standards to which schools are held accountable. Many times, funding is directly dependent upon meeting standards which are dictated by law (Koppich, 2010). Because funding depends on meeting standards, schools throughout the nation are pressured to incorporate new programs and ideas to benefit student improvement, many times without fully investigating the research (Marsh & McCaffrey, 2011). By tying funding to obtainment of federal and state standards, government has inadvertently initiated a cycle of failure within schools (Koppich, 2010). Schools tend to bounce from one program, textbook, and instructional strategy to another in hopes of finding the most impactful strategy to help reach standards set by both federal and state governments (Marsh & McCaffrey, 2011).
A particular program may work in one school or for one student but may fail miserably in a school just down the road or for a student in the next classroom. Because effectiveness of programs and tools varies from school to school and child to child, schools are encouraged to investigate available research to observe any common variables. Research conducted by Marzano (2011) has shown positive teacher-to-student relationships to be one such variable. Marzano’s (2011) research linked positive teacher-to-student relationships to improvement in instruction, student attendance rate (Sparks, 2010a), and discipline issues (Marzano, 2013b).
Research has shown students who attend schools in which positive relationships are built between teachers and students have higher grade point averages (GPAs), higher
attendance rates, and fewer discipline referrals (Allen et al., 2013). The characteristics most often found in schools with positive environments are teacher support for student efforts and student work preparing students for the future (Allen et al., 2013). The research results were magnified when students felt a high level of trust with teachers (Allen et al., 2013). The same results were magnified and displayed when teachers showed genuine concern for students personally, as well as for student academic progress (Allen et al., 2013).
Elementary School A’s leadership team discussed ideas with staff to develop an improvement plan to navigate the school toward its vision in one year, three years, and five years. A committee was formed to set goals and to examine research-based strategies to aid in academic improvement for Elementary School A. One teacher from each grade level, one special education teacher, and one Title I teacher were chosen to serve on the committee. The committee was directed to set both short-term and long-term goals for Missouri Assessment Program (MAP) score results, attendance rate, and character building for students. Short-term goals for the MAP assessment scores included program implementation of Acuity and Reading Plus benchmarks.
The leadership team analyzed Elementary School A’s data and found major differences when comparing individualized education plan (IEP) students to non-IEP students. The leadership team chose to focus school improvement plans on an alternative, which prioritized motivation of students. The team paid deliberate attention to students within the free and reduced price meal and IEP subgroups. The data showed the subgroups, as a general rule, to have lower attendance rates, to score lower on standardized assessments, and to have a higher number of discipline referrals. With this
plan the question became, how could the staff do a better job of motivating the students? Elementary School A chose to create a plan to promote efforts to build closer relationships with students who come from the free and reduced priced meal and IEP subgroups.
Focusing attention on students within the subgroups, the staff of Elementary School A was asked to do three things to help improve relationships with students. First, teachers were asked to adopt at least two but not more than five students who were not on the current year roster. Adoptees could be students with whom common interests were shared or who had been on a previous year roster. When teachers adopted students, teachers were then asked to serve as a mentor to help students feel wanted and needed at Elementary School A. In order to encourage a more inviting atmosphere, teachers could participate in activities with students such as checking homework, eating breakfast, giving treats for good work, or creating a daily check system between teacher and student. Teachers were asked to call the adoptee’s parents to explain the expectations and goals Elementary School A was trying to accomplish. Teachers were also asked to call parents of students who were absent from class each day. Last, teachers were asked to send a newsletter or group e-mail weekly with classroom information such as schedules and lesson plans.
To measure effectiveness of the mentor adoption program, data were collected and analyzed to observe any changes in student grade level assessment performance after participating in a teacher mentor program. Data were analyzed to determine if any differences were found between students who did and did not participate in the mentor adoption program in terms of academic achievement, attendance rate, and discipline.
referral improvement. Analysis of academic achievement was completed using MAP scores as well as other assessment scores. Attendance rate improvement and discipline referral reduction were measured by using the Elementary School A Student Information System (SISK12). The effectiveness of the mentor adoption program and relationship of positive teacher-to-student relationships to student performance improvement were investigated specifically for students from free and reduced price meal and IEP subgroups.
**Conceptual Framework**
Perhaps one of the best-known models of behavior theory is Maslow’s hierarchy of needs (Nohria, 2006). Maslow’s hierarchy of needs places human needs in levels beginning with physiological needs such as food, water, and air (Nohria, 2006). The next level is safety, which focuses on security and health (Nohria, 2006). Belongingness is the third level, and states as a human grows, one will need love and friendship (Nohria, 2006). Maslow’s hierarchy of needs then progresses through two more levels, which are esteem and self-actualization (Nohria, 2006). The last two levels include self-confidence, morality, and creativity (Nohria, 2006). Maslow’s hierarchy suggests a human’s basic behavior is built on these principles (Nohria, 2006). Nohria (2006) also suggested Maslow’s hierarchy of needs should be updated by using the latest research on the human brain. Some of the latest research suggests humans are driven by four emotional motives (Nohria, 2006). The motives are the drive to acquire, bond, comprehend, and defend (Nohria, 2006). These four motives have been used to harness human behavior to improve productivity and innovation (Nohria, 2006).
By studying Maslow’s hierarchy of needs and Nohria’s (2006) research, it is obvious both theories include a common component. Humans require relationships with other humans. Maslow’s hierarchy of needs level of belongingness and Nohria’s drive of bonding both require human-to-human contact (Nohria, 2006). The theories were elaborated on by Birchfield (2012), who suggested when the human-to-human contact includes encouragement, productivity will increase.
Theories such as Maslow’s hierarchy of needs set the foundation for early educational research on teacher-to-student relationships. Research conducted in this study was based on early education theorists such as Rosenthal and Jacobson, who hypothesized student achievement was directly related to teacher expectations (Rosenthal & Jacobson, 1968). Rosenthal and Jacobson performed behavior observations and discovered expectations and teacher-to-student relationships to be directly correlated (Rosenthal & Jacobson, 1968). Theories that link human behavior to academic achievement have altered how and why schools use different techniques and strategies to help improve student achievement (Marzano, 2011).
One of the original studies conducted by Rosenthal and Jacobson (1968) involved an intelligence test given to an entire elementary school student body. Then, 20% of the students were randomly selected without regard to an intelligence test (Rosenthal & Jacobson, 1968). Rosenthal and Jacobson then told teachers the randomly-selected 20% of students showed unusual potential for intellectual growth (Rosenthal & Jacobson, 1968). At the end of the academic year, the entire student body was re-tested (Rosenthal & Jacobson, 1968). The 20% of students who Rosenthal and Jacobson randomly selected and labeled as intelligent showed a much greater increase on test results than did the
remaining 80% of students (Rosenthal & Jacobson, 1968). The teachers also rated students who were labeled as having unusual potential for intellectual growth as more intellectually curious, happier, and in less need for social approval (Rosenthal & Jacobson, 1968).
In today’s society, schools are focal points of the community. Because of this, schools’ focus may be better served if widened to include student academic improvement and common good for all citizens (Marshall, 2013). A large percentage of rural Americans live in poverty conditions; therefore, positive relationship building may serve more than one purpose: improvement in academics, attendance rate, and fewer discipline referrals, as well as building a sense of belonging for students (Baker & Narula, 2012). By conducting this research, effects of the teacher-to-student mentor adoption program were quantitatively measured to understand how positive relationship-building may be a possible avenue to improve students both academically and socially.
Statement of the Problem
Efforts for improvement are a continual task for schools around the United States. A multitude of research has suggested building of positive teacher-to-student relationships and mentoring programs enhance school improvement efforts (Allen et al., 2013). Elementary School A initiated several research-based strategies during the 2013-2014 school year. Included in the research-based strategies was initiation of a mentor adoption program. In order to sustain improvement efforts, Elementary School A must attempt to measure effectiveness of incorporation of each strategy. The assessment of available data was necessary for the primary investigator to determine effects of the mentor adoption program on student performance within Elementary School A.
Purpose of the Study
The purpose of this research was to examine whether differences exist between students who participate in teacher-to-student relationship-building programs and students who do not participate in the programs. If a difference exists between the two groups of students, what is the impact on student academic performance? This study involved the quantitative measurement of any differences in MAP scores, attendance rates, and discipline referrals of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program. By statistically measuring impacts of adult mentoring on student performance, the research data may better inform administrative decisions to direct efforts for school improvement.
The researcher examined the effects teacher-to-student relationships have on academic performance. The research project involved the quantitative measurement and comparison of a purposive sample group of students, who participated in a mentor adoption program in the 2013-2014 school year, with a stratified sample group of students who did not participate in the program. The academic performance was measured through data taken from student MAP assessment scores, attendance rates, and discipline referrals. By using a $t$-test, the primary investigator determined if a significant difference in student academic performance existed between students who participated in the mentor adoption program and students who did not participate in the mentor adoption program in Elementary School A (Fraenkel, Wallen, & Hyun, 2015).
The primary investigator also analyzed perceptual data of teachers who participated in the mentor adoption program. One teacher from each grade level, special education department, special class department, and the Title I department were
randomly selected. Each of the randomly selected teachers was interviewed by the data collector. The data collector recorded and transcribed the interviews. The primary investigator analyzed and coded the transcriptions to determine teacher perception of the mentor adoption program.
**Independent and Dependent Variables**
According to Fraenkel et al. (2015), case study research should be used to look for any noticeable patterns or regularities a particular case may currently have or may have created. The case study method was chosen for this research project to determine if a mentor adoption program had any effect on student performance in academics, attendance, and discipline. Elementary School A participated in a mentor adoption program during the 2013-2014 school year, and in order to gain insights as to whether the mentor adoption program had any impacts on student academic performance, the case study method of research was chosen (Fraenkel et al., 2015). Archival and perceptual data were used to measure the results.
For this research, the independent variable was application of the mentor adoption program initiated by Elementary School A during the 2013-2014 school year. The application of the independent variable effect was quantitatively measured by the change in dependent variable data. The independent variable was applied with intentions to promote student improvement in areas such as academic achievement, attendance rate, and discipline referrals.
Further, the dependent variables included academic achievement, attendance rate, and number of discipline referrals. The dependent variables were chosen because each can be quantitatively measured using archival data supplied by the Missouri Department of Elementary and Secondary Education (MODESE) and SISK12. The data were then
used to measure effects of implementation of the mentor adoption program on student performance in Elementary School A for the 2013-2014 school year. By using existing student data, Elementary School A may be enabled to make informed decisions for school improvement plans.
**Research questions.** The following research questions guided the study:
1. Is there a significant difference in performance of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program on the Missouri Assessment Program (MAP) in English language arts (ELA) and mathematics (MA)?
\( H1_0 \): There is no significant difference in the performance of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program on the Missouri Assessment Program (MAP) in English language arts (ELA) and mathematics (MA).
2. Is there a significant difference in the attendance rate of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program?
\( H2_0 \): There is no significant difference in the attendance rate of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program.
3. Is there a significant difference in the number of discipline referrals of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program?
$H3_0$: There is no significant difference in the number of discipline referrals of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program.
4. What is the perception of the mentor adoption program effectiveness of teachers who participated in the mentor adoption program?
**Definition of Key Terms**
For the purposes of this study, the following terms were defined:
**Purposive sample.** A purposive sample is a nonrandom sample selected because prior knowledge suggests it is representative, or because those selected have the needed information (Fraenkel et al., 2015).
**Student information system kindergarten-12 (SISK-12).** SISK-12 is the computer software system used by Elementary School A to collect and store student data.
**Stratified sample.** A stratified sample includes selecting a sample in such a way that identified subgroups in the population are represented in the sample in the same proportion as they exist in the population (Fraenkel et al., 2015).
**Limitations and Assumptions**
**Limitations.** According to Fraenkel et al. (2015), case study research methods have some limitations. The most profound is due to the independent variable having already been manipulated (Fraenkel et al., 2015). The manipulation may cause the primary investigator’s focus to be too narrow and to only be concerned about the particular case being studied (Fraenkel et al., 2015). Because of the manipulation, many controls may not have been in place (Fraenkel et al., 2015). Some of the controls to consider are
the controls of extraneous variables, controls to internal validity, and controls of experimental treatments (Fraenkel et al., 2015).
The control of extraneous variables within the research was limited, because students who participated in the mentor adoption program were not randomly chosen. The students were chosen according to a set of criteria which included low performance on the ELA and MA portions of the MAP assessment, low attendance rates, and a high number of discipline referrals. The majority of students who participated in the mentor adoption program belong to Elementary School A’s super-subgroup. The super-subgroup is made up of students who receive free and reduced price meals and/or who have an IEP. In general, the super-subgroup students live in poverty and may have made the relationship-building process between teachers and students more difficult. Therefore, the selection bias of the sample group may have affected the results of the data.
Another limitation of this research study was the population restricted to the setting of Elementary School A. Only 55 students participated in the mentor adoption program. If a student did not participate in the program, it did not necessarily mean a positive teacher-to-student relationship was not created. Effective teachers create relationships with students even though a mentor adoption program has not been established.
The fact the mentor adoption intervention strategies were teacher-dependent and not all performed in the same manner may have potentially impacted the data results. Because of the uniqueness of each individual teacher and student, each adoption took on its own identity. Quantitative measurement of the student improvement may be skewed by the quality of the teacher-to-student relationship.
The research may also be limited because teachers did not voluntarily participate in the mentor adoption program. Elementary School A teachers were required to participate in the mentor adoption program. Because participation in the mentor adoption program was required of teachers, a deep and meaningful teacher-to-student relationship may not have been developed. Because of the possible lack of meaningful relationship, valid statistical quantitative data may have been difficult to obtain.
A related possible limitation to this study is attribution, or the act of attributing positive events and outcomes to variables which may have external forces of impact (Abry, Rimm-Kaufman, Larsen, & Brewer, 2013). For instance, effective teachers already exhibit characteristics that promote positive teacher-to-student relationships (Abry et al., 2013). A limitation of causal inference may negate to remove factors which may attribute student success to alternative explanations (Abry et al., 2013). Further, effective teachers may not have created teacher-to-student relationships at a higher quality or quantity because of participation in the mentor adoption program. In contrast, the teachers who are effective may have been limited because of only being able to adopt two to five students.
**Assumptions.** For this study, the primary investigator assumed all Elementary School A teachers made a sincere effort to create a meaningful relationship with adopted students through the mentor adoption program. The primary investigator assumed participating Elementary School A teachers were professional and utilized acquired skills and strategies to build the relationships. Furthermore, the primary investigator assumed participating teachers made a sincere effort to select students who were deemed at high risk of low academic achievement. The high-risk factors were low achievement on
standardized test scores, low attendance rates, and/or a high number of discipline referrals.
Another assumption was that factors such as weather played a neutral role in student academic change. Weather factors caused Elementary School A to miss 28 days of school during the 2013-2014 school year. The primary investigator assumed academic performance change was affected neutrally for both the purposive and stratified sample groups.
It was assumed students who were adopted were willing participants in the mentor adoption program. Students may not desire to build relationships with persons in authority. There was an underlying assumption teachers used learned strategies to help students feel more at ease with the mentor adoption program. The conjecture was that both teachers and students gave a sincere effort to promote the success of the mentor adoption program.
The primary investigator assumed families of adopted students supported the mentor adoption program initiated by Elementary School A. Negative family support may have impacted the teacher-to-student relationship process. The primary investigator further assumed teachers followed instructions to contact and explain the mentor adoption program to parents. Participating teachers were instructed to explain goals of the mentor adoption program and any potential benefits students may receive. Teachers were also instructed to maintain weekly contact with parents of adopted students.
**Summary**
Multiple variables were applied to and used for the first time in Elementary School A during 2013-2014. Elementary School A initiated use of the Journeys Reading
Series, ability grouping, and professional learning communities during the 2013-2014 school year. Any and all of these initiatives may have affected student academic, attendance rate, and discipline issue data. The validity of the statistical data may have been compromised. The use of multiple variables may have made obtaining valid data on the effects of the mentor adoption program difficult and may have limited research results.
In order to continue school improvement, Elementary School A began to dissect research-based strategies to incorporate. While dissecting the research, the importance of building positive teacher-to-student relationships became apparent. The research findings revealed strong relationships between teachers and students would promote improvement in academic performance of the students (Marzano, 2011). Elementary School A then began to initiate a plan to create a mentor adoption program which allowed teachers the opportunity to develop relationships with students.
Data from a stratified control group of students who did not participate in the mentor adoption program but have similar demographics and were qualified to participate were statistically compared to data of a purposive sample of students who did participate in the mentor adoption program. In addition to analysis of the archival data, perceptual data were collected and analyzed to glean teacher perceptions of the mentor adoption program. The analysis of data may help inform Elementary School A in future efforts in school improvement.
Chapter Two: Literature Review
Research was conducted to examine whether or not a mentor adoption program implemented in Elementary School A for the 2013-2014 school year had an effect on student academic performance. To aid in analysis of results of the mentor adoption program, a thorough compilation of literature was reviewed. Topics reviewed included teacher-to-student relationship effect, both in general and as the teacher-to-student relationship pertains to students of different ages. A review was conducted of mentoring programs and relationship-building interventions.
Other possible variables which may affect student academic performance were also reviewed including the effects of poverty on academic performance. The impact teacher-quality has on student academic performance was examined. Lastly, the influence of curriculum alignment on student academic performance was reviewed as a possible variable.
Conceptual Framework
The conceptual framework of this research is based on a prevalent human behavior theory known as Maslow’s hierarchy of needs (Nohria, 2006). Education involves much teacher-to-student contact. Understanding human behavior may make teachers more efficient in the efforts to motivate students to learn. Maslow’s hierarchy of needs says humans have an order of needs starting with basic physiological needs such as food, water, and shelter (Nohria, 2006). The human needs progress through levels which focus on safety and reach a point where a sense of belongingness becomes important for humans to continue to mentally grow, mature, and learn (Nohria, 2006). This sense of belongingness drives teacher-to-student relationships (Nohria, 2006). Researchers have
suggested the most efficient teaching occurs when a strong teacher-to-student relationship exists (Barile et al., 2012).
The techniques and strategies used in teaching have continued to evolve as the understanding of human behavior evolves. According to Sparks (2013), students’ ability to learn directly correlates to the feelings of safety and comfort the students feel. Furthermore, students’ ability to learn correlates with the strength of teacher-to-student relationships within the schools (Sparks, 2013). Fields of study such as neuroscience and cognitive psychology have produced research suggesting successful schools are academically challenging while maintaining a strong sense of community (Sparks, 2013). School climates that do not show a strong sense of community are not as successful at educating students of all ages (Sparks, 2013).
Studies on early educational research led to a hypothesis that teacher-to-student relationships do actually have an effect on student academic performance (Rosenthal & Jacobson, 1968). Academic performance may be measured by improved grades and assessment scores, increased attendance rates, and a decline in discipline issues. Some of the earliest research of this hypothesis was conducted by Rosenthal and Jacobson (1968). Rosenthal and Jacobson researched the effect of teacher expectations on student performance (Rosenthal & Jacobson, 1968). The thought that students usually live up to what is expected of them is known as the “Pygmalion effect” (Rosenthal & Jacobson, 1968). Educators unknowingly place expectations on students all the time; each time a teacher receives a new set of students, he or she will place expectations based on incomplete information (Rosenthal & Jacobson, 1968). This, in turn, causes teachers to
communicate with students in a way that creates an atmosphere of either success or failure (Romain, 2010).
Teachers may base expectations on prior knowledge of the student, knowledge of the student’s family, race, religion, socio-economic class, or looks (Rosenthal & Jacobson, 1968). The expectations form the basis for how teachers interact with students (Rosenthal & Jacobson, 1968). Interactions, both verbal and nonverbal, give students a sense of whether or not teachers believe students can succeed or fail (Rosenthal & Jacobson, 1968). Success or failure depends on whether teacher-to-student interactions are positive or negative (Rosenthal & Jacobson, 1968).
This “Pygmalion effect” has been tested by an experiment conducted by Rosenthal and Jacobson (1968). During the Rosenthal and Jacobson study, students from grades one through six in a San Francisco elementary were said to have been IQ tested and found to be on the verge of a period of rapid intellectual growth (Rosenthal & Jacobson, 1968). In actuality, students whose test scores did not support they were intellectually on the brink of educational growth had been randomly selected from 18 classrooms (Rosenthal & Jacobson, 1968). The selected students then spent an academic year with unsuspecting teachers (Rosenthal & Jacobson, 1968). At the end of the year, the test group had made significant gains of two IQ points in verbal ability, seven IQ points in reasoning, and four points in overall IQ (Rosenthal & Jacobson, 1968). The experiment results led researchers to claim the high expectations of teachers had caused rapid growth on IQ scores (Rosenthal & Jacobson, 1968).
As Rosenthal and Jacobson conducted more research, they found expectations were coming to fruition because of the way teachers reacted to students (Rosenthal &
Jacobson, 1968). When teachers have high expectations, the tendency is to unknowingly give students invisible cues that promote learning (Rosenthal & Jacobson, 1968). Some of the cues include more wait time to answer questions, more specific feedback, and the display of more approval (Rosenthal & Jacobson, 1968). Also when teachers have high expectations of students, teachers tend to touch, smile, and more often give out praise to the students (Rosenthal & Jacobson, 1968).
Some of the research community claimed that Rosenthal and Jacobson only tested positive expectations and did not include negative expectations (Brophy, 1983). In a 1983 study, Brophy found negative teacher expectations could be very harmful to student learning. Brophy (1983) listed eight concrete forms of negative expectations that cause harm to student learning. The forms include giving up easily on students, criticizing more often for failure, praising less often for success, praising inappropriately, neglecting to give any feedback following responses, seating in the back of the room, and generally paying less attention or showing less interest in low-expectation students (Brophy, 1983). Research has found the “Pygmalion effect” works in both positive and negative facets of learning (Brophy, 1983).
**Teacher-to-Student Relationships**
The early research of teacher expectations conducted by Rosenthal, Jacobson, and Brophy opened the doors to research of teacher-student relationships and what effect the relationships have on promoting academic performance (Brophy, 1983). Reichart and Hawley (2009) conducted a study of 1,500 male students and 1,000 teachers, of both genders, from 18 schools in over six countries. Participants were asked to describe an especially memorable classroom lesson (Reichart & Hawley, 2009). The researchers
concluded that with one common component, a strong teacher-to-student relationship, students achieved at a higher level (Reichart & Hawley, 2009).
A more in-depth follow-up study was designed by Reichert and Hawley (2013). The researchers partnered with the International Boys’ Coalition and included 35 schools in over six countries (Reichart & Hawley, 2013). In the study 1,200 boys and 1,100 teachers were asked to describe one productive teacher-to-student relationship and one unproductive teacher-to-student relationship (Reichart & Hawley, 2013). The results indicated boys who were anxious and had negative opinions of the classroom were relaxed by teachers through relational gestures (Reichart & Hawley, 2013). Some of the gestures were improvising to meet individual needs, demonstrating mastery of the field in which one teaches, promoting high expectations, being aware of student talents, sharing student interests, allowing for differing student opinions, and displaying vulnerability as a teacher (Reichart & Hawley, 2013).
Researchers have shown students who attend schools in which positive relationships are prioritized between teachers and students have higher grade point averages (GPAs), higher attendance rates, and fail less often (Allen et al., 2013). Schools which prioritize teacher-to-student relationships have teachers who display characteristics such as strong support for student efforts and expectations that student work is preparing students for the future (Allen et al., 2013). Research results were magnified when students felt a high level of trust with the teacher (Allen et al., 2013). The same magnified results were displayed when teachers showed concern for the student personally as well as for student academic progress (Allen et al., 2013).
Research from three Puerto Rican all-male schools showed students could perform at a high academic level, even though the students were from the working class (Garrett, Antrop-González, & Vélez, 2010). The results of surveys, test scores, and school records provided data for the research project (Garrett et al., 2010). The purpose of the study was to identify characteristics which may cause a student to feel more positively towards school (Garrett et al., 2010). When students believe teachers care, respect, and offer praise, students are more likely to like school, which in turn, will cause students to achieve higher academically (Garrett et al., 2010).
In interview-based studies conducted by Sadowski (2013), teacher-to-student relationships were found to be a key factor in helping at-risk students overcome adversity. Sadowski (2013) interviewed 19 young immigrants about how the young immigrants handled challenges of moving to a new country. In a follow-up study, Sadowski (2013), along with colleagues from Harvard’s Graduate School of Education, interviewed 30 youth who belonged to a Lesbian, Gay, Bi-sexual, and Transgender (LGBT) group. During Sadowski’s (2013) studies, teacher-to-student relationships emerged as an integral aspect of the youth’s relational network.
**Teacher-to-student relationship effects on early childhood students.**
*Academics.* According to Munro (2008), most state regulations target the assessment of early childhood education on structural aspects of classrooms such as class size, teacher professional degrees, and curriculum. Munro (2008) cited Robert Pianta, director of the National Center for Research on Early Childhood Education and professor of psychology at the University of Virginia, as suggesting the focus for early childhood education assessment should target dynamic factors in the classroom. Dynamic factors
would include the child’s classroom experience and interactions (Munro, 2008). Assessment should focus on how experiences and interactions affect student learning (Munro, 2008).
In the National Institute of Child Health and Human Development’s study of Early Child Care and the National Center for Early Development and Learning’s Multi-State Study of Pre-Kindergarten, the research analyzed results from nearly 4,000 early childhood classrooms (Pianta, Belsky, Houts, & Morrison, 2007). Pianta et al., (2007) found early childhood students spent almost 10 minutes listening and watching for every minute spent engaged in learning activities. Teacher-to-student relationships were one key factor in improving early childhood education (Munro, 2008). Early childhood students have been found to learn at higher rates when the students feel respected, safe, and when teachers are sensitive to needs of the children (Munro, 2008). Early childhood students also learn at a high rate when teachers use constant feedback and have high expectations (Munro, 2008).
In a study conducted by Patrick, Mantzecopoulos, Samarapungavan, and French (2008), 110 kindergarten children were quantitatively and qualitatively measured on academic achievement, motivation for science, teacher-to-student relationship, science learning, and teacher-to-student interactions. The researchers found students with the characteristic of being highly motivated perceived teacher-to-student relationships as being more positive in nature (Patrick et al., 2008). It was also found teacher-to-student relationships and interactions affected early elementary students multi-directionally (Patrick et al., 2008). Students who viewed relationships and interactions as positive were more highly motivated as compared to students who viewed relationships and
interactions as negative (Patrick et al., 2008). The researchers were hesitant to conclude relationships and interactions caused high levels of motivation within students and instead suggested teacher-to-student relationships and interactions to be correlational (Patrick et al., 2008).
**Attendance rate.** In a report entitled “Present, Engaged, and Accounted For,” conducted by the National Center for Children in Poverty at Columbia University, research was conducted to analyze early childhood absenteeism’s effect on children’s long-term education (Jacobson, 2008). It was found nearly 10% of kindergarteners and first graders were chronically absent (Jacobson, 2008). The percentage was found to be higher among schools that serve a high percentage of children who live in poverty (Jacobson, 2008). Students who were found to be chronically absent were also found to score lowest on reading, math, and general knowledge (Jacobson, 2008). The researchers explored possible reasons of absenteeism and found the most common causes to be a lack of basic resources and a history of negative experiences in which neither child nor parent felt welcome at school (Jacobson, 2008).
Paredes and Ugarte (2011) conducted a study to measure whether or not a minimum attendance policy was an effective tool to use to enhance learning. The researchers analyzed data from public primary schools in Chile and found two results (Paredes & Ugarte, 2011). Results established student attendance directly affects student academic performance and that student academic performance did not continue to fall as a student continued to be absent from school (Paredes & Ugarte, 2011). Students who were absent at least nine days in a school year had a 23% deviation on standardized test
scores (Paredes & Ugarte, 2011). Additionally, after 13 absences students did not continue to decrease in deviation on standardized test scores (Paredes & Ugarte, 2011).
The dramatic effects of absenteeism have caused many schools to create interventions to curb student attendance problems. Some interventions include more family outreach (Sparks, 2010b). Many schools are assigning a staff member to become an attendance monitor (Sparks, 2010b). The attendance monitor calls the parents of children who are absent as well as calling doctors of children when the children claim to be sick (Sparks, 2010b). Schools are also creating early morning childcare to allow parents to drop children off at work shift changes (Sparks, 2010b). Interventions have been found to be effective because of relationships created between school and the child’s family (Sparks, 2010b).
**Discipline.** In a study conducted by Yoleri (2013), research was conducted to attempt to find the impact behavior problems had on school adjustment. In the study, 136 five- and six-year-old children were qualitatively measured based on three behavior problems (Yoleri, 2013). The problems were hostile-aggressive, anxious-weepy, and hyperactivity-distractibility (Yoleri, 2013). All three of the behavior problems were found to have high predictability on school adjustment (Yoleri, 2013). The researchers found students who fell within each of the three problem behavior categories achieved statistically lower academically (Yoleri, 2013).
Schools that strive to lessen effects of problem behavior may want to take preventative measures. Abry et al. (2013) suggested the implementation of responsive classroom approach to be a strategy many elementary schools initiate to improve student academic performance. The responsive classroom approach designs classrooms which
optimize conditions to create an atmosphere to promote elementary students’ social and academic adjustment (Abry et al., 2013). In a responsive classroom, a teacher may implement practices such as morning meetings in which students focus on building relationships with peers (Abry et al., 2013). Teachers may also use modeling techniques which specifically target teacher feedback to students (Abry et al., 2013). Students may also have the opportunity to choose topics and lessons in order to peak student interest (Abry et al., 2013).
**Teacher-to-student relationship effects on middle school students.**
*Academics.* The changes occurring in children between the ages of 11 and 15 can cause a very difficult time period for middle school students. Cognitive and emotional portions of the brain develop at different rates (Vawter, 2010). Social portions of the brain develop between the ages of 11 and 15 in females and in the late teens and early 20’s in males (Vawter, 2010). Middle school-aged children’s brain development may have dramatic consequences for middle school teachers (Vawter, 2010). Middle school students tend to misread adult expressions and see anger in adults, when no anger is intended (Vawter, 2010). Middle school-aged students also have an attention span of only 10 to 12 minutes; furthermore, there is little evidence middle school-aged children can be trained to have a longer attention span (Vawter, 2010). Because of the brain development middle school-aged children are experiencing, middle school teachers are encouraged to adjust teaching techniques and strategies to educate middle school-aged students (Vawter, 2010).
Middle school-aged students have difficulties transitioning from elementary school to middle school (Brackett, Rivers, Reyes, & Salovey, 2012). The difficulties may
cause significant stress for both females and males. Difficulties have been linked to student-to-peer relationships and conflict with authority as major stressors (Brackett et al., 2012). Studies have also shown academic outcomes tend to decline due to lower motivation and more negative attitudes of middle school-aged students (Brackett et al., 2012). Interventions may be necessary for middle school-aged children. A few of the more successful strategies are focused on building small communities around the student (Brackett et al., 2012). To implement this cooperative learning, focus on teacher-to-student relationships and use of teaming are encouraged (Brackett et al., 2012).
In a study by DeFur and Korinek (2009), 74 middle school-aged children responded to five focus group questions about perceptions of middle school education. The students were found to be forth-coming with opinions (DeFur & Korinek, 2009). Sense of belonging and community were found to greatly influence middle school-aged children’s opinions of the school experience (DeFur & Korinek, 2009). During the study, researchers found middle school-aged children have little patience with incompetent teachers or administrators who permit teacher incompetence (DeFur & Korinek, 2009). Middle school-aged children most valued teachers who enjoyed the job of teaching and continually built up student self-esteem (DeFur & Korinek, 2009). Many of the students expressed opinions of teachers being the best aspect of school (DeFur & Korinek, 2009). Teachers who were identified as the best part of school often portrayed qualities such as having active and engaging lessons (DeFur & Korinek, 2009). The lessons were also found to be meaningful to students (DeFur & Korinek, 2009). Many times lessons were taught by group discussion so middle school-aged children could voice opinions (DeFur & Korinek, 2009).
Kiefer, Ellerbrock, and Alley (2014) conducted interviews of 24 study participants to determine which teacher characteristics most support academic improvement specifically for middle school-aged students. Results from the study, conducted in a large, urban middle school, showed three teacher characteristics to influence academic achievement (Kiefer et al., 2014). Teachers who (a) promoted positive teacher-to-student relationships; (b) had high expectations for students; or (c) developed instructional practices for individual students greatly influenced academic achievement (Kiefer et al., 2014). Furthermore, when more than one of the characteristics was present, academic achievement was even more influenced (Kiefer et al., 2014). Results indicated that although middle school-aged children are becoming more independent and responsible for individual learning, teachers set the tone for adolescent experiences (Kiefer et al., 2014).
**Attendance rate.** In a study conducted by Dube and Orpinas (2009), 99 students’ attendance rates were analyzed. The students were in grades three through eight and classified as being chronically absent (Dube & Orpinas, 2009). The researcher classified student absences into three categories (Dube & Orpinas, 2009). The first category was students who missed school to avoid stressful situations such as adverse social situations, bullying, or evaluative situations (Dube & Orpinas, 2009). The study found 17.2% of students fell into the avoidance of stressful situations category (Dube & Orpinas, 2009). The category classified as gaining parental attention or tangible award included the largest percentage of students (Dube & Orpinas, 2009). Further results revealed 60.6% of students fell in the category of gaining parental attention or tangible reward (Dube & Orpinas, 2009). The remaining 22.2% of students had no classification (Dube & Orpinas,
Students in more than one category had a higher number of behavior difficulties and occurrences of traumatic events such as victimization (Dube & Orpinas, 2009).
The result of chronic absenteeism may be lower academic gains. In an analysis of the National Assessment of Educational Progress, results indicated 56% of eighth-grade students who score advanced on the NAEP reading portion in 2011 had perfect attendance the month before the test (Sparks, 2012). Only 20% of eighth-grade students scoring in the below basic level had perfect attendance one month before the assessment was administered (Sparks, 2012). The study also found one out of every four students who scored in the below basic category averaged missing at least five weeks of school in a school year (Sparks, 2012). The No Child Left Behind Act placed pressure on teachers to improve assessment results (Sparks, 2012). The added pressure resulted in students receiving an average of two to three more hours of instruction per week (Sparks, 2012). The difference in amount of instruction received may have magnified lower assessment scores (Sparks, 2012).
To promote middle school student participation in school, it is necessary to understand characteristics of the adolescent stage of human development. Adolescents have a diverse make-up, and students may be at either end of the maturing process (Vawter, 2010). Second, it is natural for adolescents to self-explore and self-define (Vawter, 2010). Adolescents also desire relationships with adults and peers alike and have a need to socialize (Vawter, 2010). Adolescents have a high energy level and need opportunities to achieve success (Vawter, 2010). By keeping adolescent characteristics in mind, educators may yield a higher rate of school participation from middle school students (Vawter, 2010).
**Discipline.** Middle school-aged students have difficulty learning in loud, chaotic, and poorly-managed classrooms (Marzano, 2013b). Meta-analysis research has shown classroom management to be the number one factor on student achievement (Marzano, 2013b). A more recent meta-analysis conducted by Marzano (2013b) found the teacher-to-student relationship to be the foundation of classroom management. Teachers who had a high-quality teacher-to-student relationship had 31% fewer discipline problems throughout the school year (Marzano, 2013b).
A study conducted by Díaz-Aguado Jalón & Martínez Arias (2013) involved the analysis of 22,114 Spanish adolescents from 12 to 18 years of age. Results of the study indicated students who were directly involved in bullying fell into five categories including non-participants, bullies, followers, victim-bullies, and victims (Díaz-Aguado Jalón & Martínez Arias, 2013). The study included data from physical, verbal, and cyber-bullying incidences (Díaz-Aguado Jalón & Martínez Arias, 2013). Díaz-Aguado Jalón and Martínez Arias (2013) found the bully group to mostly include boys who had a high rate of school-related behavior problems. Results showed bullies in general feel a high rate of hostility and a lack of support from teachers (Díaz-Aguado Jalón & Martínez Arias, 2013). The study also suggested the bully behaviors typically begin as reactions and may be prevented by positive teacher-to-student relationships at early ages (Díaz-Aguado Jalón & Martínez Arias, 2013).
Marzano (2013a) suggested several strategies to implement to create a classroom environment conducive to learning for middle school-aged students. The teacher should strive to establish clear expectations (Marzano, 2013a). Establishing rules and providing consequences that match student behavior will aid in establishing expectations (Marzano,
Teachers should also provide clear content and learning expectations (Marzano, 2013a). Classroom management can also be encouraged by teachers who exhibit appropriate levels of cooperation (Marzano, 2013a). To aid with cooperation, teachers are encouraged to learn to be flexible and to take personal interest in students (Marzano, 2013a). Teachers who demonstrate the ability to adapt and implement cooperative characteristics will more likely to be able to create an atmosphere conducive to learning for middle school-aged students (Marzano, 2013a).
**Teacher-to-student relationship effects on high school students.**
*Academics.* High school has been found to be important to American students. American high school students are performing at a lower rate than many countries which belong to the Organization for Economic Cooperation (Barile et al., 2012). For example, American students ranked 25 out of 30 nations belonging to the organization (Barile et al., 2012). Studies also indicated only 73% of American high school students graduate (Barile et al., 2012). Students who do not graduate have trouble gaining employment at high-paying jobs and tend to depend on social services for long periods of time (Barile et al., 2012). Statistics about high school students have led to an increased emphasis on strategies to improve academic performance and graduation rate for the American high school student (Barile et al., 2012).
Research has shown teacher-to-student relationship building to affect high school students positively in both academic and social settings (Goldner & Mayseless, 2009). High schools have begun to incorporate opportunities for teachers and students to build relationships. One way high schools are creating opportunity is with advisory programs (Goldner & Mayseless, 2009). Advisory programs are established to provide students a
small community in which a positive comfort level is gained by the student (Goldner & Mayseless, 2009). Students receive more teacher support because of low teacher-to-student ratio (Goldner & Mayseless, 2009). Advisory programs have shown mixed results in effectiveness (Goldner & Mayseless, 2009).
Another strategy schools are using is alternative grade spanning. The idea is to reduce the number of transitions high school students experience from kindergarten to grade 12 (Yonezawa, McClure, & Jones, 2012). Prolonged numbers of years together allow teachers and students more time to connect (Yonezawa et al., 2012). The small school approach is designed to have a more teachers per student to encourage relationship building (Yonezawa et al., 2012). Many large high schools are dividing into small high schools to facilitate teacher-to-student relationships (Yonezawa et al., 2012). The small school design has been successful in improving both academic performance and graduation rate when students have the choice of where to attend (Yonezawa et al., 2012).
The ninth-grade year has been found to be a reliable predictor when it comes to predicting success or failure of high school students (Roybal, Thornton, & Usinger, 2014). The transition from middle school into high school may affect students academically and socially (Roybal et al., 2014). Incorporation of ninth-grade transition programs has been found to reduce negative effects of this period of time (Roybal et al., 2014). A minimum of three interventions are needed to increase chances of program success (Roybal et al., 2014). Some of the interventions may include schedule planning between middle and high school teachers, parent involvement, homework help, incentives for both grades and attendance, small learning communities, and celebrating
student success (Roybal et al., 2014). Incorporation of a ninth-grade transition program may lead to an atmosphere in which all stakeholders benefit (Roybal et al., 2014).
**Attendance rate.** High school absenteeism has been found to be a strong predictor of course failure and drop-out rate (Kennelly & Monrad, 2007). Research at Chicago Public Schools indicated 15% of freshman had high absence rates (Kennelly & Monrad, 2007). Students with high absence rates only graduate about 10% of the time (Kennelly & Monrad, 2007). The researchers also found students who miss five to nine days graduate 63% of the time compared to a graduation rate of 87% of students who miss fewer than five days (Kennelly & Monrad, 2007). High schools may create more family involvement and strengthen academic programs to ensure academic achievement (as cited in Kennelly & Monrad, 2007).
High school students who are absent more than 10% of the time are found to be at high risk for poor academic performance and dropping out of school (Schoeneberger, 2012). Student success during the first year of high school predicts academic performance and drop-out rate (Schoeneberger, 2012). Monitoring progress of high school students on short-term benchmarks may reduce both absenteeism and student drop-out (Schoeneberger, 2012). Some of the benchmarks schools may monitor are attendance rate, failed courses, and grade point average (Schoeneberger, 2012). High school students who miss more than 10% of the time, fail at least one course in first semester, or have a grade point average of less than 2.0 during the first year of high school should be considered at-risk (Schoeneberger, 2012). Administering interventions increases probability of success for at-risk students (Schoeneberger, 2012).
Eryilmaz (2014) found teachers who were liked by students had a different set of personality traits than those teachers who were not liked by students. Eryilmaz (2014) both quantitatively and qualitatively analyzed data from 247 adolescents ranging from 14 to 16 years of age. The personality traits for teachers who were liked included the following: outgoing, conscientious, agreeable, drama-free, and open to communication (Eryilmaz, 2014). The teachers who were classified as not being liked demonstrated characteristics such as emotional instability, carelessness, hatefulness toward others, and suspiciousness (Eryilmaz, 2014). Teachers who were classified as being liked by students were more impactful on learning than teachers who were classified as being disliked (Eryilmaz, 2014). The teachers classified as liked by students were described by students as effective, excellent, and good at teaching, while teachers who were classified as being disliked were described by students as hated, amateur, and inefficient (Eryilmaz, 2014).
In order to create successful interventions, schools may want to focus on key areas such as school climate (Baroody, Rimm-Kaufman, Larsen, & Curby, 2014). Addressing school climate may facilitate an increased amount of student engagement and transition (Baroody et al., 2014). Another key area on which to focus is academic rigor (Baroody et al., 2014). High academic rigor increases chances high school students are prepared to meet challenges of the work field and college (Baroody et al., 2014). Effective teaching is also found to be instrumental in creating successful interventions (Baroody et al., 2014). Effective teachers have a strong influence on student success (Baroody et al., 2014). Lastly, schools may increase the amount of learning time (Baroody et al., 2014).
**Discipline.** In a 2004 survey by Public Agenda, results showed 75% of high school teachers would spend more time effectively teaching if classroom disruptions were reduced (Guardino & Fullerton, 2010). Disruptive behavior interferes with student engagement in the learning process (Guardino & Fullerton, 2010). The types of disruptive behavior include speaking out loud, out of turn, and getting out of the seat (Guardino & Fullerton, 2010). When strong teacher-to-student relationships were the norm and classrooms were well-organized, disruptions decreased and student learning increased (Guardino & Fullerton, 2010).
Wong and Wong (2014) suggested several strategies to promote a higher level of classroom management. First, teachers may spend time preparing classrooms and procedures to create a positive climate (Wong & Wong, 2014). To create appropriate procedures, teachers may spend time developing seating charts, room arrangements, storage plans, and classroom displays (Wong & Wong, 2014). Secondly, teachers may relay appropriate classroom expectations to students (Wong & Wong, 2014). Teacher expectations of attendance, tardiness, classroom disruptions, and student work should be developed with students (Wong & Wong, 2014). Third, teachers who deal with consequences consistently have more success (Wong & Wong, 2014). Last, procedures for both teacher-to-student and student-to-student communication may be developed to promote a higher level of classroom management (Wong & Wong, 2014).
Delman (2011) suggested additional ways to systemize classroom management to promote improvement in both learning and teaching. Delman (2011) proposed using peers to evaluate peer work and presentations. The use of positive peer pressure was shown by Delman (2011) to positively enhance learning and teaching. Another
recommendation by Delman (2011) included using peers to be involved in creating and presenting classroom rules and for the teacher to log and date each time a student was excused from class.
**Teacher-to-student relationship effects on continuing education students.**
*Academics.* A study was conducted to measure effects of teacher-to-student relationships to continuing education student academic performance by Micari and Pazos (2012). Micari and Pazos (2012) surveyed 113 organic chemistry undergraduate students to observe any correlation of teacher-to-student relationships to grades, course confidence, and science identity. Results from the study indicated when a positive teacher-to-student relationship was built both grades and student confidence were increased (Micari & Pazos, 2012). Positive teacher-to-student relationships were perceived by students when students felt reciprocated respect with the professor, a comfort level with the professor, and when the student looked up to the professor as a mentor (Micari & Pazos, 2012). The more positively students perceived the relationship, higher grades were made and course confidence rose; however, no correlation was found between a positive teacher-to-student relationship and science identity (Micari & Pazos, 2012).
Myers and Thorn (2013) surveyed 119 students to measure how student motives for communication with the professor correlated to course effort or course workload. The five motives examined were relational, functional, participatory, sycophancy, and excuse-making (Myers & Thorn, 2013). Myers and Thorn (2013) found classroom effort to be directly correlated to four of the five motives. The motives found to be correlated to effort were relational, functional, participatory, and sycophancy; however, perception of
course workload was not found to be linked to any of the motives (Myers & Thorn, 2013). When positive relationships were perceived by students, academic stress was reduced and increased communication between the professor and student was observed (Myers & Thorn, 2013). Reduced stress and increased communication were linked to student levels of effort (Myers & Thorn, 2013).
Micari and Pazos (2012) offered some simple tactics teachers may employ to improve teacher-to-student relationships. Teachers who make time to learn the interests of students and even to participate with students in the interests may improve teacher-to-student relationships (Micari & Pazos, 2012). Teachers may also create time to learn about student interests to help guide student decisions on career goals (Micari & Pazos, 2012). Clarifying career goals not only displays genuine interest but aids student efforts for career development (Micari & Pazos, 2012).
A study by Skinner and Fowler (2010) indicated teachers may want to use humor to create a more positive atmosphere. Skinner and Fowler (2010) gave five reasons to use humor. Students outperform and retain instruction more when humor is used, and humor creates a positive atmosphere which not only aids in learning but also reduces discipline issues (Skinner & Fowler, 2010). By using humor, teachers will be able to maintain student attention and relieve stress from a difficult subject matter (Skinner & Fowler, 2010). Student achievement has been found to improve in difficult subjects when humor is used (Skinner & Fowler, 2010). Finally, teachers who use humor score better on course evaluations (Skinner & Fowler, 2010). By using humor, academic performance was improved for the majority of students (Skinner & Fowler, 2010).
Attendance rate. In a study conducted by Lyubartseva & Mallik (2012), attendance was found to be linked directly to academic performance for college students. Lyubartseva and Mallik (2012) assessed academic performance of college students from Southern Arkansas University and Cochise College and found students with a higher attendance rate scored higher on exams and other assignments. Correlation was found between attendance and final grades in each section assessed (Lyubartseva & Mallik, 2012). The research indicated 72.9% of students whose attendance rate was 95% or better received a B or above on the final grade (Lyubartseva & Mallik, 2012).
Attendance and attrition rates have been found to be linked to continuing education student perceptions of belongingness (O’Keefe, 2013). Lack of feelings of belongingness may include student perceptions of rejection and inability to adjust (O’Keefe, 2013). Attrition rate of full-time students is nearly 30% compared to 50% for part-time students (O’Keefe, 2013). Students who come from at-risk groups tend to have higher absenteeism and attrition rates (O’Keefe, 2013). Students are considered to be at-risk when students come from one of the following groups: ethnic minorities, academically disadvantaged, students with disabilities, low socioeconomic status, probationary, and first-generation continuing education students (O’Keefe, 2013).
Student perceptions of belongingness may be improved by universities employing strategies suggested by O’Keefe (2013). The first strategy is to have at least one adult make a connection with each student (O’Keefe, 2013). The connection may give students the perception of being cared for by the university (O’Keefe, 2013). The second strategy universities may employ is teacher-to-student mentorship, which can have a high impact on students trying to obtain similar career paths (O’Keefe, 2013). Last, counseling
centers may be useful in helping students deal with the many changes one endures during the freshman year (O’Keefe, 2013).
**Discipline.** Continuing education student motivation may be critical for effective and successful learning (Halawah, 2011). In a study conducted by Halawah (2011), 232 continuing education students from Taibai University in Saudi Arabia responded to a 30-question Likert survey. The survey included issues relating to motivation of continuing education students toward learning (Halawah, 2011). The results demonstrated teacher personality, teaching methods, and classroom management to be the key factors in motivating continuing education students (Halawah, 2011).
Teacher personality was found to be the most influential factor in contributing to continuing education motivation (Halawah, 2011). Teacher personality consisted of factors such as enthusiasm, feedback, knowledge of subject matter, and professional attitude (Halawah, 2011). Teaching methods were found to be more effective when a variety of methods were used (Halawah, 2011). Classroom management was linked to motivation of continuing education students when teachers created an open and inviting atmosphere (Halawah, 2011). Motivation of continuing education students was found to be highest when teachers created a structured environment with high expectations (Halawah, 2011).
**Mentor Adoption Programs**
In a review of research conducted on school-based mentoring programs, Sparks (2010c) found evidence that school-based mentoring programs have positive effects on students who participate. Positive effects were magnified for at-risk students (Sparks, 2010c). To meet school-based program criteria, the mentoring programs researched were
only conducted during the academic school year, involved one adult mentor per student, and had to include some sort of assessment on the student (Sparks, 2010c). Positive effects were shown in both social and academic outcomes (Sparks, 2010c).
Mentoring programs have shown to impact students who have been maltreated (Sparks, 2010c). Sparks (2010c) analyzed 615 maltreated students from Lorain County, Ohio. Students participated in a School Success Program conducted by Children’s Services of Lorain County (Sparks, 2010c). Students who participated in the program improved overall grade point average from 1.74 to 2.56 in the first year (Sparks, 2010c). Students who participated in the School Success Program improved significantly when compared to students who did not participate in the School Success Program (Sparks, 2010c). Male students showed the most overall improvement (Sparks, 2010c).
A study conducted by Fruhiht and Wray-Lake (2013) was intended to determine whether the variables (a) type of adult mentor or (b) time when the student began participation in the mentoring program had any significant impact on student academic success. Fruhiht and Wray-Lake (2013) analyzed data from 2,409 students who were nationally representative of ethnic diversity. Results showed students who participated in the program displayed higher educational achievement when the mentor was a teacher (Fruhiht & Wray-Lake, 2013). Students had the most academic gains when participation was after high school (Fruhiht & Wray-Lake, 2013). Results also showed mentors who were kin or community members made a significant impact only on elementary students (Fruhiht & Wray-Lake, 2013).
According to Sparks (2010c), mentoring relationships are more effective when teacher-to-student relationships become close, consistent, and enduring. Sparks (2010c)
also found mentoring relationships were difficult to sustain; however, Sparks gave several suggestions to help maintain mentoring relationships. The suggestions included selecting experienced mentors, requiring at least a 12-month commitment, training and giving structure to mentoring programs, monitoring programs and making necessary changes when things go wrong, involving parents, and evaluating programs periodically (Sparks, 2010c).
A longitudinal study was conducted on Israel’s largest mentoring program, the Perach (Goldner & Mayseless, 2009). The Perach has been in place since 1974 and places disadvantaged children with university students (Goldner & Mayseless, 2009). In return, university students receive a small grant (Goldner & Mayseless, 2009). The researchers measured results of both protégé and mentor reports from the beginning and end of the planned mentoring session (Goldner & Mayseless, 2009). The study involved quantitative measurement of relationship qualities such as closeness, dependency, and unrealistic expectations (Goldner & Mayseless, 2009). The researchers concluded both social and academic positive progress was made when both protégé and mentor perceived a significant closeness of the relationship (Goldner & Mayseless, 2009). The study also showed adolescent need for dependence on a non-parental adult (Goldner & Mayseless, 2009).
In a review of research data, Avery (2011) concluded students who had a mentor during adolescence gained positive impacts on school-related areas. The impacts were larger when students were considered to be at-risk (Avery, 2011). The students who qualified as at-risk were students who had experienced substantial instability in relationships (Avery, 2011). Some of the school-related impacts included better attitudes
toward school, attendance, graduation rate, college attendance, and grade point average (Avery, 2011). Avery (2011) also concluded mentoring programs had positive impacts on moderating problem behavior such as reduced gang membership, physical fighting, and risk-taking. Additionally, the student’s overall psychological well-being improved in areas of self-esteem, lower depression, and stronger ethnic identity (Avery, 2011).
Finally, Avery (2011) found students who participated in mentoring programs gained physical benefits such as a decrease in drug use, fewer sexually transmitted diseases, more use of birth control, and an increase in amount of physical activity.
A study on student perceptions of caring teacher behaviors was conducted by Tosolt (2009). Tosolt (2009) intended to examine whether different races viewed caring teacher behaviors in different ways and investigated 825 students from one county in a mid-western state. Students were all in the sixth grade with nearly 29% being non-white (Tosolt, 2009). Tosolt (2009) concluded in order for students to receive benefits of positive teacher-to-student relationships, teachers must care for students with actions common in the students’ culture.
A qualitative research study was conducted by Erdem and Aytemur (2008) to examine the level of trust protégés felt for mentors. Researchers conducted an interview-based study in which protégés were asked questions about mentors (Erdem & Aytemur, 2008). The data were examined to develop an understanding of factors that influenced the amount of trust a protégé had in the mentor (Erdem & Aytemur, 2008). Erdem and Aytemur (2008) also examined what factors would cause trust to become stronger and how trust affected the long-term relationship. In order for mentors to establish a high degree of trust with protégés, mentors need to have a high degree of competence in the
subject area, be consistent, be able to communicate, share common interests, and be able to share control (Erdem & Aytemur, 2008). The researchers also found factors which are detrimental to the amount of trust a protégé feels throughout the mentoring program (Erdem & Aytemur, 2008). The factors included university regulations and culture, mentor’s personal values, and protégé characteristic differences from the mentor (Erdem & Aytemur, 2008). Protégés chose only certain mentor characteristics as examples of how to conduct business (Erdem & Aytemur, 2008). It was also found, when protégés felt a strong degree of trust, protégés chose a larger number of characteristics to use as examples of how to conduct business (Erdem & Aytemur, 2008).
Research has also shown significant positive benefits for graduate students who participate in a mentoring program (Bernier, Larose, & Soucy, 2005). Bernier et al., (2005) paired 10 Canadian college professors with groups of low-achieving college freshman students to conduct eight bi-weekly sessions of mentoring. The professor was given a personality test before beginning sessions to determine the type of relational style (Bernier et al., 2005). During the eight bi-weekly sessions, both professor and college student were given questionnaires to determine perceptions of program effectiveness (Bernier et al., 2005). The researchers found mentoring programs can have a significant positive impact on academic achievement (Bernier et al., 2005). The impact is affected by personality combinations of the mentor and student (Bernier et al., 2005). The combination which has the most significant impact is mentor-student pairs with opposite personality traits (Bernier et al., 2005). In other words, a mentor with strong attachment values such as dependency, relationships, and closeness works well with students who are dependent on adult mentors (Bernier et al., 2005).
Survey results have also indicated programs such as ACE Mentor Program of America have positive impacts for students (Jones, 2010). The ACE program was created in 1994 with the intent to introduce high school and graduate students to the fields of construction (Jones, 2010). Surveys showed 95% of students who participated felt the program was beneficial (Jones, 2010). The 2009 results showed students who participated in the program had a 97% graduation rate compared to 73% for the overall national average (Jones, 2010). Furthermore, 94% of students who participated in the program went on to enroll in college courses (Jones, 2010). The surveys also showed this program to be especially beneficial to minorities (Jones, 2010). Results revealed 59% of students who participated came from low-income families compared to 41% of students who participated in some type of after-school program nationwide (Jones, 2010).
Mentoring programs are not a permanent solution for children who have experienced neglect or abuse (Spencer, Collins, Ward, & Smashnaya, 2010). Even with prolonged or more frequent contact, substantial improvements were not always found (Spencer et al., 2010). The children who made the most progress were children who had multiple adult mentor contacts (Spencer et al., 2010).
**Relationship-Building Interventions**
**Teacher-to-student interventions.** In order to build teacher-to-student relationships, Marzano, (2011) suggested specific strategies. Some of these strategies include involvement of teachers and students together in extra-curricular activities, teachers and students eating lunch together in small groups at least a few times a week, and teachers providing consistent discipline policies with high expectations (Marzano, 2011). The goal of relationship-building strategies is for teachers to become more
connected with students on a personal level (Marzano, 2011). Teachers will be able to improve relationships with at-risk students with a more focused and intense use of relationship-building strategies (Marzano, 2011).
To further emphasize this point, Marzano (2011) noted if teacher-to-student relationships are strong, instructional strategies become even more effective, and when the relationships are weak very few students will receive benefits from the same instruction. Marzano (2011) further stated for teachers to improve positive relationships with students, teachers must work to incorporate relationship-building strategies. The teachers may improve personal relationships with students by being kind, showing interest, advocating for, and never giving up on the students (Marzano, 2011).
Mikami, Gregory, Allen, Pianta, and Lun (2011) found by intervening in teacher-to-student relationships and by providing professional development for teachers, both student motivation and academic performance may be improved. Results also indicated by improving teacher-to-student relationships, student-to-student relationships were improved (CASTL, 2014). This study involved observation of 88 teachers, half of whom received MyTeachingPartner™ professional development with the intent to improve teacher-to-student and students’ peer relationships (CASTL, 2014). MyTeachingPartner™ is a system of professional-development supports developed through the Center for Advanced Study of Teaching and Learning (CASTL) at the University of Virginia (CASTL, 2014). The researchers observed and collected self-reported data from 1,423 high school students (CASTL, 2014). Results showed when teacher-to-student relationships were deemed positive by students, student-to-student
relationships improved (CASTL, 2014). The improvements were observed through positive peer interactions (CASTL, 2014).
**Teacher-to-parent interventions.** Teacher-to-parent relationships have been mandated by the No Child Left Behind Act (2002). This act requires schools to make an effort to keep parents well-informed of student progress (Keller, 2006). Schools are required to provide information such as teacher credentials and child placement in a language program (Keller, 2006). Title I schools are required to create a policy to work with parents and must spend at least 1% of the budget on parent involvement (Keller, 2006). The efforts are aimed at creating an environment to improve teacher-to-parent involvement (Keller, 2006).
Researchers have found probability for academic success is increased for children whose families are involved in the educational process (Whitmire, 2012). Academic improvement is measured on factors such as grades, test scores, enrollment in advanced placement courses, and graduation rates (Whitmire, 2012). Because children whose parents are involved have better social adjustment, fewer behavioral problems are observed (Whitmire, 2012). Academic achievement gains for students from all socioeconomic classes were found when parent involvement was the norm (Whitmire, 2012). The gains were amplified for low-income, African American, and Hispanic students (Whitmire, 2012).
Effective family engagement includes several key components. A sense of trust between parents and teachers will be present (Whitmire, 2012). Communication specifically addresses child performance and possible needs for improvement (Whitmire, 2012). Teachers build parent confidence by providing necessary materials for parents to
be able to help the child (Whitmire, 2012). Also, clear and definite roles for both the school and parents are created and communicated (Whitmire, 2012).
Low-income parents tend to participate less in educational efforts than parents from higher socioeconomic classes (Alameda-Lawson, Lawson, & Lawson, 2010). Low-income parents face demographic, psychological, and school-related obstacles (Alameda-Lawson et al., 2010). School-related obstacles may include scheduling meeting times during the work day or sending books home to read which are on too high of a reading level (Alameda-Lawson et al., 2010). To create a positive teacher-to-parent relationship, teachers may design programs which allow for differences among socioeconomic classes (Alameda-Lawson et al., 2010).
Epstein and Sheldon (2007) collected data on 18 schools. Data collected included attendance data, family involvement data, and attendance intervention data (Epstein & Sheldon, 2007). The data were collected for three consecutive years (Epstein & Sheldon, 2007). Epstein and Sheldon (2007) found a steady increase in attendance and a decrease in chronic absenteeism over the three years when an increased amount of family involvement was incorporated into school activities. The researchers also found increased daily attendance rate and lower student chronic absences when after-school programs were available to parents (Epstein & Sheldon, 2007).
According to Epstein and Sheldon (2007), to improve student success at school, schools should conduct partnership activities with parents in six areas. The first area is to help parents with parenting skills to improve the home environment (Epstein & Sheldon, 2007). Secondly, schools should establish a mode of communication which allows parents an opportunity to respond to schools (Epstein & Sheldon, 2007). The third area is
to provide tutoring not only for students but also for parents, so parents can help children with homework (Epstein & Sheldon, 2007). Schools should teach specific skills to parents to use while parenting one’s child (Epstein & Sheldon, 2007). Fifth, schools need to recruit family members to serve as community representatives on decision-making committees (Epstein & Sheldon, 2007). The last area is schools could use community resources to enhance the education of students (Epstein & Sheldon, 2007).
Teacher-to-parent relationships may be of value to the educational process because of the influence relationships have on classroom management. A study conducted by Public Agenda (“A Call to Order,” 2008) indicated 61% of teachers and 63% of parents believe many discipline problems may be prevented by teachers enforcing small rules before large problems occur. Teachers and parents both support the notion just a few students cause most problems (“A Call to Order,” 2008). Behavior issues are becoming a problem. Nearly one in three teachers has left the profession because of inability to cope with behavior issues (“A Call to Order,” 2008).
According to Molnar (2013), family involvement may be of aid in preventing and coping with behavior issues. Teachers who have knowledge of parental practices better understand what steps to take when behavior problems arise (Molnar, 2013). Families with children who have behavioral problems often exhibit characteristics such as inconsistency, harsh punishments, little positive reinforcement, and lack of problem-solving skills (Molnar, 2013). Teachers who gain insight into parental tendencies increase the probability of effectively handling behavioral issues which may arise with students (Molnar, 2013).
Molnar (2013) suggested teachers should be proactive. Contacting parents before behavioral issues arise may avert many problems (Molnar, 2013). Another step teachers may take is to educate and clearly explain classroom rules to parents (Molnar, 2013). Teachers could also keep parents involved by planning classroom activities at a variety of times to accommodate work schedules (Molnar, 2013). Last, involving parents in planning processes for future school years may aid in consistent classroom management for teachers whom, students may have in the future (Molnar, 2013).
**Developing Mentoring Programs**
One recent intervention example is the incorporation of social and emotional learning school-based intervention (Durlak, Weissberg, Dymnicki, Taylor, & Schellinger, 2011). A recent meta-analysis involved comparison of 270,034 elementary to high school-aged children to measure attitudes toward school, learning skills, and academic performance (Durlak et al., 2011). The researchers found an 11-percentile gain in academic growth and improvement in the measurement of attitudes toward school and learning skills (Durlak et al., 2011). The study resulted in five recommendations to make any type of social and emotional learning intervention more successful (Durlak et al., 2011). The recommendations included the following: adults should have high expectations while supporting student work, teachers should be committed to the bonding process with the student, and teachers should use proactive classroom management and maintain an orderly classroom (Durlak et al., 2011).
With a growing amount of data showing school-based mentoring programs improve student academic performance, initiation of mentoring programs is on the rise. Research-based practices have been documented to contribute to successful development
of school-based mentoring programs and include two stages (Komosa-Hawkins, 2009). When developing a school-based mentoring program, one should begin by addressing each of the following issues in Stage I (Komosa-Hawkins, 2009). First, seek involvement from authority figures such as school boards and superintendents (Komosa-Hawkins, 2009). Secondly, identify the mentoring program’s purpose and goals (Komosa-Hawkins, 2009). Thirdly, explore and use as many community resources as possible, such as Big Brothers and Big Sisters (Komosa-Hawkins, 2009). Last, match mentor and mentee to specific criteria to meet the specified purpose (Komosa-Hawkins, 2009).
Implementation of school-based mentoring programs will be more successful when meeting the following Stage II criteria (Komosa-Hawkins, 2009). Student recruitment should strive to be specific to reflect program goals (Komosa-Hawkins, 2009). Mentor recruitment is encouraged to target the entire community resource while providing mentor training and support to give direction on program goals and mentor roles (Komosa-Hawkins, 2009). Develop criteria to match mentors and mentees to provide for the greatest chance of a successful outcome (Komosa-Hawkins, 2009). Schedule mentoring sessions and provide an agenda with expectations clearly outlined (Komosa-Hawkins, 2009). Celebrate and recognize any positive outcomes (Komosa-Hawkins, 2009). Finally, program evaluation is critical in the implementation process (Komosa-Hawkins, 2009).
Students have a desire for caring and concerned teachers and to be engaged in learning through non-traditional instructional practices (Marzano, 2013a). Furthermore, Marzano (2013a) suggested teachers be trained while keeping student perceptions in mind. The student perceptions may be used as a mentoring tool to obtain both strengths
and weaknesses of novice teachers (Marzano, 2013a). The data obtained would then be used to provide guidelines to prepare professional development for the teacher (Marzano, 2013a).
**Variables Which Affect Student Performance**
**Students from poverty.** Poverty is a worldwide problem which affects children in several different areas of their lives. Poverty affects family functions, development of children, and educational outcomes (Kohler et al., 2013). Poverty contributes to a state of chronic stress for both children and families (Kohler et al., 2013). The chronic stress interferes with children’s abilities to adjust both socially and developmentally (Kohler et al., 2013). The lack of ability to adjust places children in a category of at-risk for academic, social, and health problems which undermine educational achievement (Kohler et al., 2013).
Children living in poverty face obstacles that children living in middle and upper classes do not encounter. Children living in poverty are significantly more likely to suffer from depression or anxiety (Armstrong, 2010). Children living in poverty also have greater incidences of behavioral issues and less positive educational engagement levels (Armstrong, 2010). The same factors also lead children living in poverty to exhibit a higher level of school failure, lower standardized test scores, chronic absenteeism and tardiness, and lower graduation rates than children living in the middle and upper classes (Armstrong, 2010).
Specifically, Jensen (2013) pointed out major differences between children living in poverty and children living in middle and upper classes. First, children living in poverty are less likely to receive both proper nutrition and sufficient exercise to sustain a
healthy lifestyle (Jensen, 2013). Children who live an unhealthy lifestyle have difficulties listening, concentrating, and learning (Jensen, 2013). Unhealthy lifestyles also affect behavior in children who live in poverty (Jensen, 2013). The children may be suffering from low-blood sugar, which causes low energy, or high-blood sugar, which causes hyperactivity (Jensen, 2013).
Vocabulary is another difference between children living in poverty and children living in middle and upper classes. According to Jensen (2013), children living in the upper class hear three times as many words as children living in the lower class by age four. The amount of words a child hears early in life greatly affects the child’s vocabulary (Jensen, 2013). A limited vocabulary reduces chances children living in poverty will be as academically successful as children living in middle and upper classes (Jensen, 2013).
Teachers frequently see students living in poverty as being lazy (Jensen, 2013). This lackluster effort and defeated posture is more of a learned behavior stemming from generations of financial hardships and depressive conditions (Jensen, 2013). Teachers will often observe slouching, slumping, and signs of depression (Jensen, 2013). Many times, the mindset of children living in poverty view future outcomes as being more negative than positive (Jensen, 2013). Children living in poverty have much lower academic expectations (Jensen, 2013). The work ethic and lowered expectations children living in poverty bring to school does not always stem from the home environment and may be altered by school culture (Jensen, 2013).
Children living in poverty often learn using different techniques than children who live in upper and middle classes (Payne, 2009). Children living in poverty often use
situational learning technique in which children learn by reacting to one’s individual situation (Payne, 2009). When children living in poverty go to an environment where formalized schooling is introduced, context for the student living in poverty is changed and therefore learning is difficult (Payne, 2009). Children living in poverty learn from relationships, language, and tasks, while students who come from the upper and middle classes learn from laws and symbols (Payne, 2009). Children who live in poverty have learned to be incredible problem solvers just to be able to survive (Payne, 2009).
Even though children who live in poverty are often disadvantaged, many of the students are capable of performing academically at a higher level than expected. The students who live in poverty are frequently stereotyped both individually and by socio-economic class (Chenowith & Theokas, 2013). The stereotyping may cause educators to miss observing strengths and weaknesses of both the individual and culture (Chenowith & Theokas, 2013). When strengths and weaknesses of students who live in poverty are missed, adverse consequences may be the result (Chenowith & Theokas, 2013). The consequences are low expectations, failure to examine school culture which may exacerbate the difficulties, and a misdiagnosis of learning problems for children who live in poverty (Chenowith & Theokas, 2013).
According to Chenowith and Theokas (2013), children who live in poverty are better able to meet academic challenges when teachers alter conventional practices. First, teachers are encouraged to respect both culture and language of the child (Chenowith & Theokas, 2013). Second, teachers should incorporate student background experiences while exposing students to new experiences (Chenowith & Theokas, 2013). Last, teachers need to teach school culture to students (Chenowith & Theokas, 2013). The
three practices are made more effective when teachers are able to perform tasks in a personal manner (Chenowith & Theokas, 2013).
Schools and teachers cannot make up for any inequalities society has produced, but measures can be taken to produce a more equal opportunity for children who live in poverty to succeed academically. One measure to be taken is incorporation of early childhood services (Gorski, 2013). Early childhood interventions have been found to produce positive social and academic outcomes (Gorski, 2013). Students who live in poverty and are able to participate in early childhood services are found to perform better in health, mental health, school, and social aspects (Gorski, 2013).
To investigate interventions which may produce a more equal educational opportunity for students who live in poverty, educators may need to observe educational practices internationally. Morgan (2012) suggested the United States may close the achievement gap of all students by mimicking teacher development programs of countries that outperform the United States on international tests. Some programs used by high-performing countries require beginning teachers to observe a mentor teacher for as many as 20 hours per week (Morgan, 2012). Another teacher development program in Singapore recruits future teachers from the top third of a class and offers the recruits 100 hours of government-paid professional development per year (Morgan, 2012). Teacher development programs in countries which outperform the United States also place high-performing teachers with students who need it most (Morgan, 2012). Beginning teacher placement is typically with students who live in poverty (Morgan, 2012). Furthermore, many of these countries provide government funding for continuing teacher education (Morgan, 2012).
Cuthrell, Stapleton, and Ledford (2010) investigated best practices for preparing teachers to give instruction to students who live in poverty. Since the majority of new teachers are placed with students of high need, better teacher development programs should be designed (Cuthrell et al., 2010). One may develop a more efficient teacher development program by focusing on three areas (Cuthrell et al., 2010). First, instructional design may be improved by providing more and pertinent practicum experiences (Cuthrell et al., 2010). The authors suggested starting in the sophomore year and continuing the practicum with students of high needs (Cuthrell et al., 2010). Second, program design should include development of multiple strategies through modules and resource centers that are specific to teaching students who live in poverty (Cuthrell et al., 2010). Third, instructors should model the strategies throughout the teacher development program (Cuthrell et al., 2010).
Payne (2008) suggested teachers should create an atmosphere of respect with students from poverty to help enrich the teacher-to-student relationship. To create this atmosphere, teachers should examine student backgrounds to determine how the student learns best (Payne, 2008). Teachers should also teach students from poverty school culture, formal school language, and how to ask questions (Payne, 2008). Because students from poverty may not have background experiences to produce mental models of teaching, teachers should provide these students with opportunities to expand their thinking (Payne, 2008). One way to provide opportunities is for the teacher to create relationships with family members of students from poverty and to form a network of support (Payne, 2008).
Research indicates students who come from low socio-economic situations benefit from social and emotional learning interventions (Iizuka, Barrett, Gillies, Cook, & Marinovic, 2014). Social and emotional learning interventions have been shown to aid all students in learning to cope, developing positive self-concept, and learning to socialize (Iizuka et al., 2014). The outcomes were magnified for students who come from low socio-economic situations (Iizuka et al., 2014). This study involved application of the FRIENDS social and emotional learning intervention to students from a low socio-economic status area (Iizuka et al., 2014). The FRIENDS Programs are a series of resilience programs developed by Paula Barrett aimed to promote resilience and prevent anxiety and depression (Iizuka et al., 2014). Results showed the students to have reduced anxiety and positive reception to the program (Iizuka et al., 2014).
Further studies of social and emotional learning interventions revealed the interventions may have a greater impact by taking a different approach (Jones & Bouffard, 2012). Jones and Bouffard (2012) suggested teachers should integrate and reinforce social and emotional learning skills throughout daily instructional time. This would allow social and emotional learning lessons to be more time-efficient and would detract less from the academic curriculum (Jones & Bouffard, 2012). This would also be a low-cost way to incorporate social and emotional learning as an intervention (Jones & Bouffard, 2012).
According to Gorski (2013), educators with a greater sphere of influence may want to incorporate strategies which are larger in scope. The strategies are to create a relationship with outside agencies such as health clinics and farms, reduce class sizes, increase health services, and advocate for pre-school (Gorski, 2013). Incorporation of the
strategies will help children living in poverty to participate in school on a more equal level (Gorski, 2013).
**Teacher effectiveness.** McEwan (2002) described 10 traits which effective teachers portray. First, effective teachers are goal-oriented and mission-driven about student learning (McEwan, 2002). The effective teacher strives for goals while maintaining a positive and realistic attitude at all times (McEwan, 2002). This person shows leadership qualities to create new ways for students to learn (McEwan, 2002). One of the qualities that cannot be learned is a teacher’s ability to be able to multi-task and stay on schedule (McEwan, 2002). The effective teacher has a style which suits one’s individual personality (McEwan, 2002). This person is able to motivate people and especially students (McEwan, 2002). The instructional techniques this teacher uses are effective, because the educator continues to learn new and inventive ways to present the lessons (McEwan, 2002). The effective teacher also communicates with students on terms which the student understands (McEwan, 2002). Finally, this teacher is able to relieve stress at the end of the day (McEwan, 2002). McEwan (2002) suggested effective teachers demonstrate these qualities the majority of the time.
Iordache (2014) described teacher competence as consisting of three areas of competency. The three areas are pedagogical, psychosocial, and managerial competency (Iordache, 2014). For a teacher to be pedagogically competent, the teacher will demonstrate knowledge of developmentally appropriate practice (Iordache, 2014). The teacher will be able to communicate, motivate, and influence students (Iordache, 2014). The teacher will also possess the ability to evaluate and design instructional activities to prepare students to be able to self-educate (Iordache, 2014). The psychosocial and
managerial competencies overlap and consist of the ability to organize and create appropriate learning environments (Iordache, 2014). The ability to cooperate with peers and students will be evident, as well as the ability to focus and assume responsibility (Iordache, 2014).
One variable proven to affect student academic performance is teacher effectiveness. A study conducted included value-added analysis by measuring teacher impact on standardized scores over several years (Rebora, 2012). One million students were tracked from fourth grade through adulthood (Rebora, 2012). Students who were taught by teachers with higher value-added measures scored consistently higher on standardized tests (Rebora, 2012). The students, on average, gained $50,000 income after being taught by a teacher with high value-added measures for just one year (Rebora, 2012). Students who were taught by teachers with high value-added measures also showed gains on college graduation rates and savings (Rebora, 2012).
Student math scores were examined over the time period of grades three through six (Sanders & Rivers, 1996 as cited in Barrett, 2011). Teachers, of the examined students, were then divided into equal groups, according to the amount of test score improvement (as cited in Barrett, 2011). The researchers found students who were taught by teachers in the top fifth of effectiveness for three consecutive years scored 50% higher than students who were taught by teachers in the bottom fifth of effectiveness (as cited in Barrett, 2011). Furthermore, students with low and high capabilities and from minority ethnic groups made similar improvement in academic achievement (as cited in Barrett, 2011). First-year teachers were found to be least effective, and students scored best when taught by teachers of the same race (as cited in Barrett, 2011).
Teachers who are considered high-quality have more impact on learning than race, socioeconomic level, or class size (Bushaw & Lopez, 2010). A common characteristic of teachers who are considered high-quality, is the ability to engage students (Bushaw & Lopez, 2010). Many high-quality teachers promote active participation by giving students meaningful learning tasks (Bushaw & Lopez, 2010). Students who are taught by teachers, who promote academic learning time, outperform students who are taught by teachers who do not promote academic learning time (Bushaw & Lopez, 2010).
Another common characteristic high-quality teachers share is teacher efficacy. Teacher efficacy is when teachers share the belief that by working together with other teachers, major improvements of student academic performance will be made (Derosier & Soslau, 2014). The collective teacher efficacy of schools creates an environment in which students may succeed (Derosier & Soslau, 2014). Studies have shown collective teacher efficacy to be a more reliable predictor than student demographics (Derosier & Soslau, 2014).
Effective teachers have high expectations for students (Speigel, 2012). Speigel (2012) gave six steps educators should take to help promote high expectations in the classroom. The educator should watch students to discover more about how each student prefers to engage (Speigel, 2012). By doing this the teacher will be able to observe what each student is capable of doing (Speigel, 2012). Second, the educator should listen to understand what motivates each student; this listening may reveal how the student views the educator and his or her classmates (Speigel, 2012). Third, the educator should engage and communicate with the students but should not give advice or opinions (Speigel,
Fourth, teachers should experiment with how they react to a student’s actions to form a process of communication that child prefers (Speigel, 2012). Fifth, time should be spent each week outside of the educator’s role as a teacher to form a relationship that is real to the student (Speigel, 2012). After the educator learns student interests, the teacher may view school through student eyes and design relevant instruction (Spiegel, 2012). Last, teachers should reflect on previous educational experiences and model instruction on what has worked in the past (Spiegel, 2012).
Further study on teacher expectations was conducted by Intxausti, Etxeberria, and Joaristi (2014). This study group consisted of 302 immigrant families who had children enrolled in public schools (Intxausti et al., 2014). The researchers found parents have higher expectations than teachers for immigrant students enrolled in public schools during the first few months of attendance (Intxausti et al., 2014). However, teachers typically influenced parental expectations and parental expectations were often lowered to coincide with teacher expectations (Intxausti et al., 2014). The study involved analysis of teacher and parent expectations such as formal learning, professional level, language achievement, and social relationships (Intxausti et al., 2014).
In a study conducted by Collie, Shapka, and Perry (2011), results showed teacher job satisfaction, teacher efficacy, and teacher sense of stress were affected by the teacher perception of the social-emotional climate of the school in which the teacher worked. The researchers interviewed 664 elementary and secondary teachers in British Columbia and Ontario, Canada (Collie et al., 2011). It was found teacher perceptions of student motivation and behavior had the most impact on teacher performance (Collie et al.,
Both student motivation and behavior were able to predict teacher stress, job-related satisfaction, and teaching efficacy (Collie et al., 2011).
Jennings, Frank, Snowberg, Coccia, and Greenberg (2013) found teacher efficacy to be directly influenced by stressful situations. The study involved comparison of a group of 50 teachers who participated in a professional development program designed to educate teachers how to reduce stress to improve the classroom learning environment (Jennings et al., 2013). Results showed teachers who participated in the professional development to improve significantly in areas such as overall well-being, efficacy, burnout, and time-related stress (Jennings et al., 2013). Results also indicated student learning improved as teacher stress decreased (Jennings et al., 2013).
Steps can be taken to improve the overall quality of teachers in the educational field. Schools may create a value-added system to measure teacher quality (Barrett, 2011). The value-added system should use more than test scores as teacher measurement and may include student surveys and supervisor observations (Barrett, 2011). Supervisors also should promote professional development for beginning teachers as well as monitor ethical behavior of all teachers (Barrett, 2011).
According to Dessoff (2012), teacher quality may be improved when three commitments are made by teachers and administration. Commitment to individual student feedback has been found to improve student academic performance (Dessoff, 2012). Feedback may be verbal or nonverbal, but must be specific and should include both academic and nonacademic elements (Dessoff, 2012). The second commitment involves administrators focusing teacher evaluation systems on improvement of quality of teachers (Dessoff, 2012). Historically, evaluation systems have focused on
management and practice, not necessarily on effectiveness of teaching strategies (Dessoff, 2012). Lastly, teachers must focus on building student background knowledge (Dessoff, 2012). Background knowledge differs greatly depending on student demographics and culture (Dessoff, 2012).
**Curriculum.** Curriculum is the subject or topic being studied in school. Many types of curriculum have been documented. Research has shown curriculum alignment to be a key component to improving academic performance (Squires, 2012). When taught, written, and tested curriculum all align, student achievement has been shown to increase significantly (Squires, 2012). Taught curriculum refers to instruction students actually receive (Squires, 2012). Written curriculum are the written standards which guide instruction (Squires, 2012). For best results on state assessments, written curriculum should reflect state standards (Squires, 2012). Tested curriculum refers to state, school, and teacher-made assessments (Squires, 2012). Aligning taught, written, and tested curriculum not only allows students to perform well on state assessments but also engages student interests (Squires, 2012).
Curriculum alignment is a significant obstacle for schools (Squires, 2012). According to research, “Lack of excellence in American schools is not caused by ineffective teaching, but mostly by misaligning what teachers teach, what they intend to teach, and what they assess as having been taught” (Squires, 2012, p. 133). According to Squires (2012), alignment of curriculum may be difficult for some schools to obtain. Schools that want to create district standards find aligning written and taught curriculum to tested curriculum difficult (Squires, 2012). Because of the difficulty some schools have aligning curriculum, Marzano compiled state and national standards into a book called
“Content Knowledge: A Compendium of Standards and Benchmarks for K-12 Education” (Squires, 2012). Marzano’s compilation allows comparison of curriculums to check for alignment to state and tested standards (Squires, 2012). Schools may also check textbook company alignment by using Marzano’s tool (Squires, 2012).
Researchers have found when taught curriculum is aligned with tested curriculum, student test scores improve (Squires, 2012). The improvements were found to be true for both high- and low-aptitude students (Squires, 2012). Low-aptitude students showed more significant gains than did high-aptitude students on academic performance when taught curriculum aligned with tested curriculum (Squires, 2012). Furthermore, it was found when taught, written, and tested curriculums were aligned and combined with a teach, test, re-teach, test model, even more significant gains in academic improvement were found (Squires, 2012).
School districts that wish to improve student academic progress may align district curriculum to state standards and assessments. Districts may also design curriculum with tasks in place, so measurement of each objective may be obtained (Squires, 2012). To ensure written curriculum is aligned with taught curriculum, districts may design a management system (Squires, 2012). Last, districts need to assess curriculum by using common assessments throughout the district (Squires, 2012).
The implementation of the Common Core State Standards (CCSS) has been an ongoing process to improve and align curriculum over the past several years (DiGisi, 2013). DiGisi (2013) introduced six steps to help with the implementation which could aid with implementation of any alternative curriculum. First, compare the new curriculum with the current district curriculum to determine what changes need to be
made (DiGisi, 2013). Second, communicate with teachers to determine what professional development may be needed to incorporate the new curriculum (DiGisi, 2013). Next, communicate to all stakeholders the rationale for implementation of the new curriculum (DiGisi, 2013). Then address the framework of the new curriculum and align to district schedules and pacing guides (DiGisi, 2013). Subsequently, communicate with teachers the possibility that updated instructional strategies may be needed to teach the new curriculum (DiGisi, 2013). Finally, continually evaluate and critique the new curriculum to determine if any further change is needed (DiGisi, 2013).
Summary
Multiple research studies have been conducted on teacher-to-student relationships. Researchers have shown the incorporation of teacher-to-student relationships affects academic performance to varying degrees (Barile et al., 2012). Teacher-to-student mentorships can be an effective way to build relationships between teachers and students (Sparks, 2010c). The teacher-to-student relationship was not found to be the only factor which may affect academic performance. Poverty, teacher effectiveness, and curriculum were also found to affect academic performance (Payne, 2008). Research methodology to determine effects of the mentor adoption program at Elementary School A for 2013-2014 school year will be outlined in Chapter Three.
Chapter Three: Methodology
The primary investigator studied effects a teacher-to-student relationship-building mentor adoption program had on academic performance of students from Elementary School A. Academic performance was quantitatively measured and compared between a purposive sample group of students who participated in a mentor adoption program in Elementary School A for the 2013-2014 school year and a stratified sample group of students who did not participate in the mentor adoption program. The stratified group of students had similar demographics and was qualified to participate in the mentor adoption program. Academic performance was measured through student MAP assessment scores, attendance rates, and discipline referrals. A parametric $t$-test of statistical significance was used to determine whether there is a statistically significant difference between before and after academic progress for the means of the two sample groups (Fraenkel et al., 2015).
According to Fraenkel et al. (2015), case study research should be used to look for any noticeable patterns or regularities the particular variables may have created. The case study method of research was chosen for this research project to provide data to be able to measure the effects of a mentor adoption program on student performance in academics, attendance, and discipline issues. The population, with the independent variable of participation in the mentor adoption program, had already been established, and therefore, the variable did not have to be administered at a later time. For this reason, archival and perceptual data were used to measure results.
Problem and Purpose Overview
Efforts for improvement are a continual task for schools around the United States. A multitude of researchers have suggested building positive teacher-to-student
relationships and mentoring programs enhances school improvement efforts (Reichert & Hawley, 2013). Elementary School A initiated several research-based strategies during the 2013-2014 school year. Included in the research-based strategies was initiation of a mentor adoption program. In order to sustain improvement efforts, Elementary School A must attempt to measure effectiveness of incorporation of each strategy. The assessment of available data was necessary for the primary investigator to determine effects of the mentor adoption program on student performance within Elementary School A.
The purpose of this research was to examine differences between academic performance of students who participated in the mentor adoption program and students who did not participate in the mentor adoption program. The researcher quantitatively measured the differences in MAP scores, attendance rates, and discipline referrals of students who participated in a mentor adoption program to students who did not participate in a mentor adoption program in Elementary School A during the 2013-2014 school year. The study also involved examining perceptual data obtained through an interview process of teachers who participated in the mentor adoption program. By statistically measuring impacts of adult mentoring on student performance, the use of research data better informed administrative decisions to direct efforts for school improvement.
**Research questions.** The following research questions guided the study:
1. Is there a significant difference in performance of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program on the Missouri Assessment Program (MAP) in English language arts (ELA) and mathematics (MA)?
$H1_0$: There is no significant difference in the performance of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program on the Missouri Assessment Program (MAP) in English language arts (ELA) and mathematics (MA).
2. Is there a significant difference in the attendance rate of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program?
$H2_0$: There is no significant difference in the attendance rate of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program.
3. Is there a significant difference in the number of discipline referrals of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program?
$H3_0$: There is no significant difference in the number of discipline referrals of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program.
4. What is the perception of the mentor adoption program effectiveness of teachers who participated in the mentor adoption program?
**Research Design**
Elementary School A dispersed APR data to the Elementary School A leadership team to research possible causes of low attendance, poor super-subgroup performance on the MAP assessment, and high discipline referrals. The team consisted of the elementary principal, curriculum director, and three lead teachers. The leadership team recognized
pinpointing causes would help in developing a school improvement plan which could be successful. The research of possible causes primarily included disaggregation of Missouri Department of Elementary and Secondary Education (MODESE) supplied data and classroom-generated assessment data. The research data were disaggregated during meetings with both the leadership team and entire staff of Elementary School A.
As the Elementary School A leadership team researched data, it was discovered the majority of super-subgroup students who scored low on MAP assessments correlated with students who had attendance rates below 90% and had a high number of discipline referrals. While researching possible improvement plan options, the leadership team found an economical and beneficial plan to set in motion would be to improve relationships between teachers and students. Research has indicated positive teacher-to-student relationships improve several outcomes which include academic, behavioral, physical, social, and emotional areas (Yonezawa et al., 2012). Outcomes were found to be amplified for both low-income and minority students (Payne, 2008). The demographic make-up of Elementary School A super-subgroup makes the relationship-building process important.
To further emphasize this point, research by Marzano (2011) noted if teacher-to-student relationships are strong, instructional strategies become even more effective, and when relationships are weak, few students receive benefits from the same instruction. Marzano (2011) elaborated on this point to state for a teacher to improve positive relationships with students, teachers may build personal relationships by never giving up on students and by being kind, showing interest, and advocating for students.
The leadership team proposed to focus Elementary School A’s energy on building better relationships between staff and students, as well as with student families. The leadership team chose an alternative with the understanding no program or instructional tool is a perfect solution to poor academic performance. The leadership team’s research displayed a weakness of motivating students within Elementary School A. The leadership team proposed to teachers to raise expectations for both teachers and students with prioritized attention to be paid to super-subgroup students.
To implement improvement plans, the leadership team designed a data booklet for the entire staff. The booklet included MAP and program assessment scores, attendance rate, as well as discipline referral data for each student in each particular class. The team included data from each year the students had been tested. The team then distributed data to each teacher and instructed them to select at least two and not more than five students to adopt. The teachers were to use the data booklet to select students who were struggling with one or more measureable indicator. The measureable indicators analyzed were MAP performance, attendance rate, and discipline referrals. The procedures and rules for adoption were explained during a faculty meeting. The procedures were to build relationships and demonstrate to students the staff cares about each student. The Elementary School A leadership team also required teachers to call parents each time a student missed class and to send home a weekly newsletter with information such as homework assignments and upcoming events. The measures were taken to build better teamwork and relationships among staff, students, and parents.
For this research project, the case study research method was chosen to quantitatively measure effectiveness of the aforementioned mentor adoption program.
The case study method was chosen, because the researcher intended to gain insights of effects of a mentor adoption program on student performance in academics, attendance, and discipline issues. The population, with the independent variable of participation in the relationship-building program, had already been established, and therefore, the independent variable did not have to be administered at a later time (Fraenkel et al., 2015). For this reason, only archival and perceptual data were used to measure the results.
The selection of the two groups in this research study, which had the difference of the independent variable, set the basis for the case study. The independent variable was participation in the mentor adoption program. The comparison groups were then quantitatively compared by measuring dependent variables of academic achievement, attendance rates, and discipline referrals (Gay, Mills, & Airasian, 2012).
The primary investigator also analyzed perceptual data of teachers who participated in the mentor adoption program. The primary investigator had a data collector randomly select one teacher from each grade level, special education department, special class department, and the Title I department. Each of the randomly selected teachers was interviewed by the data collector. The data collector recorded and transcribed the interviews. The primary investigator then analyzed and coded the transcription to determine the teacher’s perception of the mentor adoption program.
**Population and Sample**
The study population for this research was Elementary School A students in grades three through six located in south-central Missouri. Elementary School A received an Annual Progress Report score of 80.7% from the Missouri Department of
Elementary and Secondary Education for the school year ending in 2013. The study population was broken into three sections per grade level. Elementary School A has observed a downward trend in number of students scoring proficient or advanced on the MAP assessment in communication arts, math, and science over the past three years. Over the same time period, the number of students scoring below basic has risen. Also during the time period, Elementary School A students who averaged at or above 90% in attendance has dropped. Elementary School A has also observed a rise in discipline referrals. For these reasons, the Elementary School A leadership team designed an improvement plan which focused on teacher-to-student relationship building.
Elementary School A averaged 382 students for the school years running from the 2007-2008 school year through the 2012-2013 school year. Of surrounding schools, Elementary School A has the highest percentage of students with an individualized education plan at 18.73% of students. Elementary School A also has an above average population, nearly 70%, of students who receive free or reduced lunches.
Additional data considered in preparing the Elementary School A improvement plan included Acuity, Reading Plus, and DIBELS data. The data were collected from the 2010-2011 school year through the 2012-2013 school year. The additional data were disaggregated and researched in-depth to find correlations between the additional data and APR assessment, attendance rate, and discipline referral data.
For this research, a random sample group of 30 to 55 students was chosen from a purposive population. The purposive population consisted of 55 students who participated in a mentor adoption program at Elementary School A during the 2013-2014 school year. The random sample was chosen by placing the purposive population in
alphabetical order and then applying a de-identifying number to each name. The primary investigator then randomly selected 30 to 55 students from the de-identified list (Fraenkel et al., 2015).
For comparative purposes a stratified sampling group of 30 to 55 students was selected of students who did not participate in the mentor adoption program. A stratified sample group was selected with the same proportion of demographic variables as the random sample group. The number of male to female, number of students on free or reduced lunch, and number of students with an Individualized Education Plan (IEP) was matched to proportions within the sample group from the purposive population. The stratified sample group was also listed in alphabetical order and then assigned a de-identifying number before the selection process was administered. For research purposes no human participants were recruited, only archival data was used. All data collected were de-identified.
To ensure a reliable stratified sample group, the proportions of male to female, free and reduced price meal plan, and IEP students from the random purposive sample group was analyzed. The stratified sample group was placed into corresponding demographic categories and then randomly selected to meet exact demographic proportions to obtain as reliable data as possible.
The perceptual data were obtained from a population of 36 teachers who participated in the mentor adoption program. The participating teachers have a range in years of experience from one to 38 years. Both male and female teachers participated in the mentor adoption program. To ensure data validity the participating teachers were
randomly selected and interviewed by a data collector. The data collector also transcribed the recorded interviews before the primary investigator had access to the data.
**Variables in the Study**
**Independent variable.** According to Fraenkel et al., (2015), the independent variable is a variable researchers study to collect data on effects the particular variable has on other dependent variables. For this research study, the independent variable was the mentor adoption program. Elementary School A chose a research-based plan to improve student performance. A part of the plan was implementation of a mentor adoption program. The mentor adoption program was designed to encourage positive relationship-building between teachers and students. Researchers have shown mentor adoption programs to be a valuable tool to create an atmosphere where students may improve academic performance, attendance rate, and reduce discipline issues (Sawchuck, 2009).
The application of the independent variable, mentor adoption program, was applied during the 2013-2014 school year. Elementary School A initiated a plan in which 55 students were adopted by teachers. The teachers were asked to inform parents of the 55 students of the process. The mentor adoption program’s intention was to incorporate a larger amount of time Elementary School A’s teachers spent with students on a more personal level. For the mentor adoption program purposes, teachers were asked to adopt students who demonstrated characteristics of an at-risk student. The at-risk characteristics included low academic achievement, low attendance rate, tardiness, and high amount of discipline referrals. The teachers were instructed to participate in a variety of bonding activities with adopted students. The activities involved more one-onone time for teachers and students. The activities included but were not limited to times such as eating lunch or breakfast, students dropping by during teachers’ prep hours, individual encouragement from teachers on assignments, and tutoring.
**Dependent variables.** For this study, the primary investigator assessed data to determine effects of the implementation of the independent variable, mentoring program, on multiple dependent variables (academic achievement, attendance rate, and discipline referrals). Multiple dependent variable assessment gave the primary investigator and Elementary School A an in-depth vision of effects the mentoring program incorporated by Elementary School A during the 2013-2014 school year had on overall academic performance (Bernhardt, 2009).
The first dependent variable to be assessed was academic achievement. The primary investigator analyzed achievement data and compared results from adopted students to a randomly selected purposive sample group. The academic achievement dependent variable was chosen, because the mentoring program was initiated by Elementary School A as a tool to improve overall student performance. The mentoring program targeted students whose 2012-2013 MAP data did not meet Elementary School A expected outcomes. According to Anderson, Nelson, Richardson, Webb, and Young (2011), teachers who create a social network and develop positive relationships with students will promote high academic achievement. Measuring the dependent variable, academic achievement, gave Elementary School A insight as to whether the mentoring program was successful in regards to student academic improvement.
The second dependent variable assessed was student attendance rate. The primary investigator analyzed attendance rate data and compared results from adopted students to
a randomly selected purposive sample group. The attendance rate dependent variable was chosen, because according to Sparks (2012), chronic absenteeism is a reliable predictor to future student achievement. The U.S. Department of Education’s Early Childhood Longitudinal Study indicated kindergarteners who were chronically absent scored lower on reading and math test (Sparks, 2012). Furthermore, the same students continued to score lower in reading and math tests in the fifth grade (Sparks, 2012). Chronic absenteeism was also found to be a reliable indicator for future student drop-out rates (Sparks, 2012). Measurement of the dependent variable, attendance rate, gave Elementary School A data to effectively evaluate the mentor adoption program incorporated during the 2013-2014 school year.
The last dependent variable to be assessed was number of discipline referrals. The primary investigator analyzed data on number of discipline referrals and compared results from the adopted students to a randomly selected purposive sample group. The dependent variable, number of discipline referrals, was chosen because according to Johnson and Hannon (2014), internal-external locus of control is a reliable indicator of academic achievement. Students with lower degrees of this locus of control tend to have a higher amount of discipline referrals (Johnson & Hannon, 2014). Therefore, measurement of the dependent variable, number of discipline referrals provided reliable data to evaluate the mentor adoption program effect on student performance improvement in Elementary School A during the 2013-2014 school year.
The selection of the dependent variables academic achievement, attendance rates, and number of discipline referrals provided enough data to allow schools a cross-sectional view. The primary investigator used multiple measures of dependent variables
to obtain a more vivid picture of effects of the mentoring program. According to Bernhardt (2009), measures of multiple data allow the primary investigator a better understanding of where the school is and of some of the possible causes of the results. The multiple data also provided a better understanding of results, both positive and negative (Bernhardt, 2009). Finally, using multiple data sources helped predict future outcomes, which helped prevent failure and ensure success (Bernhardt, 2009).
**Instrumentation**
This study involved two instruments for use of obtaining data to quantitatively measure academic achievement for students who participated in a mentor adoption program. The first instrument was the Missouri Assessment Program. Elementary School A receives MAP assessment data yearly from the Missouri Department of Elementary and Secondary Education. The second instrument used was the Student Information System, Kindergarten through Twelfth Grade (SISK12). The SISK12 is the student information system used by Elementary School A. The student information system keeps a detailed record for both attendance rate and number of discipline referrals.
**Academic measurement.** The instrument used to measure the effect of the mentor program on student academic achievement was the Missouri Assessment Program. The state of Missouri requires the MAP to be administered by public schools during an assessment window each spring (MODESE, 2015). The assessment data are then made available to schools for disaggregating purposes in late summer (MODESE, 2015). For this research, data collected from the MAP results were quantitatively measured to assess what effects the mentor adoption program had on student performance.
Attendance rate measurement. The instrument used to measure attendance rate was the SISK12 student information system used by Elementary School A. The information system allowed the primary investigator to extract and compare attendance rate data of students who participated in the mentor adoption program to students who did not participate in the mentor adoption program. The results were then quantitatively measured to assess the effectiveness of the mentor adoption program on student performance.
Discipline referrals measurement. The instrument used to measure the number of discipline referrals was the SISK12 student information system. The student information system allowed the primary investigator to obtain a detailed account of the number of office discipline referrals. The primary investigator then quantitatively measured results to assess effects of the mentor adoption program on student performance. The primary investigator compared results of students who participated in the mentor adoption program to students who did not participate in the mentor adoption program.
Perceptual data measurement. The perceptual data were coded by the primary investigator using a numerical coding process. The primary investigator numerically coded each transcribed answer to interview questions based on key words and phrases provided. The numerical codes gave the primary investigator reliable data to analyze to determine the teacher perception.
Data Analysis
After the groups were selected, archival data from each group were retrieved and examined. Student MAP scores, attendance rates, and the number of discipline referrals
were collected from the 2012-2013 school year to establish a baseline. Then, the primary investigator collected student MAP scores, attendance rates, and number of discipline referrals from the 2013-2014 school year. The data were then compared and statistically analyzed using a $t$-test (Fraenkel et al., 2015). Perceptual data were used to determine participating teacher perceptions.
**Ethical Considerations**
Ethical research behavior was a priority for the primary investigator. Data from the case study would become invalid if any biased or manipulated data were used to measure results. Because the primary investigator served as an elementary administrator for Elementary School A and to ensure confidentiality and anonymity, a data collector extracted archival data for disaggregation for research purposes. All research data were collected and de-identified by a data collector using a number code on the extracted data. No human participant use was necessary; only archival data were used for research purposes. The research conducted adhered to all National Institute of Health Office of Extramural Research guidelines. The web-based “Protecting Human Research Participants” training course was completed, and the certificate can be found in Appendix A.
**Summary**
The primary investigator employed a case study research method to measure effects of a mentor adoption program initiated in Elementary School A during the 2013-2014 school year. The effects of application of the independent variable, mentoring program, were measured by comparing differences of MAP results, attendance rates, and number of discipline referrals between a purposive group of students who participated in
the mentor adoption program and a stratified group of students who did not participate in the mentor adoption program. Teacher perceptions were elicited to determine the effectiveness of the mentor adoption program. The primary investigator took measures to de-identify selected students and interviewed teachers to ensure confidentiality and anonymity.
Chapter Four includes discussion of data results of the case study. The data results from students who participated in the mentor adoption program are compared to the data results from students who did not participate in the mentor adoption program. Perceptual data are also shared. The statistical significance of data are analyzed and documented in Chapter Four. The results will be used by the primary investigator to make better-informed future school improvement decisions.
Chapter Four: Results
Teacher-to-student relationships have been hypothesized to be a key factor in providing a quality education to students. Past studies have provided both quantitative and qualitative data to measure the impact of teacher-to-student relationships (Allen et al., 2013). This researcher’s goal was to determine if the mentor adoption program was successful by using the case-study method of research to measure the impact and effect of the particular mentor adoption program initiated by Elementary School A. The mentor adoption program was used as a strategy by Elementary School A to enhance teacher-to-student relationships and was implemented with the goal to improve student academic performance.
The purpose of this case-study was to better understand the impact the mentor adoption program had during the 2013-2014 school year. The first phase of data collection was to retrieve and analyze archival data. The archival data retrieved by a data collector consisted of 2012-2013 and 2013-2014 Missouri Assessment Program scale scores for both English language arts and math, 2012-2013 and 2013-2014 attendance rates, as well as 2012-2013 and 2013-2014 discipline referrals. The primary investigator compared and statistically measured the difference in results of the randomly selected group of 43 adopted students to the randomly selected stratified group of 43 students who were not adopted during the 2013-2014 school year. The second phase of data collection was to collect perceptual data. To do this, the primary investigator analyzed interview data collected by a data collector. The persons interviewed were a randomly selected set of 10 teachers who participated in the mentor adoption program during the 2013-2014
school year as mentors. The primary investigator coded the perceptual data which may lend to an understanding for improvement of the mentor adoption program.
A data collector randomly selected 43 students from a purposive group of students who participated in the mentor adoption program during the 2013-2014 school year. The comparison group was randomly selected using the stratified sampling method. The stratified sampling method was used to reduce the opportunity for demographics to play a role in the outcome of the results (Payne, 2008). Both groups contained 43 third- through sixth-grade students. The 43 students consisted of 12 sixth graders, 14 fifth graders, 10 fourth graders, and seven third-grade students. Twenty-two males participated compared to 21 females. For validity purposes, each grade level was also matched perfectly in regards to male-female numbers. Within the selected groups, 67% of the students participated in the free and reduced priced meal plans. The majority of the 67% receive free lunches. The last criteria the primary investigator used to stratify the groups was whether or not the student was on an individualized education plan. Only six students in each group receive an IEP. All four criteria used match closely to the average percentages of the entire population of Elementary School A.
**Research questions.** The following research questions guided the study:
1. Is there a significant difference in performance of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program on the Missouri Assessment Program (MAP) in English language arts (ELA) and mathematics (MA)?
$H_{10}$: There is no significant difference in the performance of students who participated in a mentor adoption program and students who did not participate in a
mentor adoption program on the Missouri Assessment Program (MAP) in English language arts (ELA) and mathematics (MA).
2. Is there a significant difference in the attendance rate of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program?
$H_{20}$: There is no significant difference in the attendance rate of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program.
3. Is there a significant difference in the number of discipline referrals of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program?
$H_{30}$: There is no significant difference in the number of discipline referrals of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program.
4. What is the perception of the mentor adoption program effectiveness of teachers who participated in the mentor adoption program?
**Quantitative Results**
**Academics.** For question number one, the primary investigator examined whether a difference existed between the performance of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program on the Missouri Assessment Program (MAP) in English language arts (ELA) and mathematics (MA)?
The primary investigator first analyzed and statistically compared 2012-2013 to 2013-2014 MAP data of the 43 students who participated in the mentor adoption program. Results show a statistically significant difference in student ELA scores before and after participation in the teacher-student mentor adoption program. Results of the paired-samples $t$-test show the mean score before adoption for ELA 2012-2013 ($M = 644.05$, $SD = 25.11$) and the mean score after adoption for ELA 2013-2014 ($M = 658.74$, $SD = 24.092$) at the 0.05 level of significance; $t(42)=5.16$, $p=0.00$. On average, student’s mean scale scores on the MAP ELA test scores increased 14.69 points after adoption.
Table 1 displays the results for a paired samples $t$-test of ELA scores for those students who participated in the mentor adoption program. There was a significant difference in student mean scale scores before and after the teacher-student mentor adoption program; $p=0.00$.
**Table 1**
*Paired Samples Statistical t-test of Adopted Mentees’ MAP ELA Scores Before and After Adoption*
| Pair 1 | ELA 12-13 | 644.05 | 43 | 25.109 | .7132 | 5.16 | 42 | 0.000 |
|--------|-----------|--------|----|--------|-------|------|----|-------|
| | ELA 13-14 | 658.74 | 43 | 24.092 | | | | |
*Note.* Significant at the $p < 0.05$ level.
Further analysis reveals a significant difference in student MA scores before and after participation in the teacher-student mentor adoption program. Results of the paired-samples $t$-test show the mean score before adoption for MA 2012-2013 ($M=629.05$,
and the mean score after adoption for MA 2013-2014 ($M = 646.05, SD = 35.02$) at the 0.05 level of significance; $t(42)=4.90, p=0.00$. On average, student’s mean scale scores on the Missouri Assessment Program MA test increased 17.0 points after adoption.
Table 2 shows the results for a paired samples $t$-test of MA scores for those students who participated in the mentor adoption program. There was a significant difference in student mean scale scores before and after the teacher-student mentor adoption program; $p=0.00$.
**Table 2**
*Paired Samples Statistical t-test of Adopted Mentees’ MAP MA Scores Before and After Adoption*
| Pair 2 | MA 12-13 | $M$ | $N$ | $SD$ | Correlation | $t$ | $df$ | $p$ |
|--------|----------|-------|-----|-------|-------------|--------|------|-------|
| | | 629.05| 43 | 32.359| 0.750 | 4.899 | 42 | 0.000 |
Note. Significant at the $p < 0.05$ level.
The primary investigator then used the same process to determine the control group differences in Missouri Assessment Program ELA and MA scores from 2012-2013 to 2013-2014 school years. As seen in Table 3, there was not a statistically significant difference in student ELA scores before and after participation for the control group. Results of the paired-samples $t$-test show the mean score for ELA 2012-2013 ($M=656.49, SD=42.780$) and the mean score after adoption for ELA 2013-2014 ($M=654.79, SD=44.691$) at the 0.05 level of significance; $t(42)=0.39, p=0.70$. Table 3 shows the results.
for a paired samples $t$-test of ELA scores for the control group. On average, non-adopted students’ mean scale scores on the Missouri Assessment Program ELA test scores decreased 1.61 points from 2012-2013 to 2013-2014.
Table 3
*Paired Samples Statistical t-test for the Control Group’s (Non-Adopted Students) MAP ELA Scores Before and After Adoption*
| Pair 3 | ELA 12-13 | Mean | N | SD | Correlation | $t$ | df | Sig |
|--------|-----------|--------|----|-------|-------------|---------|-----|------|
| | | 656.40 | 43 | 42.780| 0.810 | 0.389 | 42 | 0.699|
Note. Significant at the $p < 0.05$ level.
A statistical examination was then conducted to determine whether there existed a significant difference in student MA scores before and after participation for the non-adopted control group. Results of the paired-samples $t$-test show the mean score for MA 2012-2013 ($M = 651.53$, $SD = 51.20$) and the mean score for MA 2013-2014 ($M = 666.28$, $SD = 54.55$) at the 0.05 level of significance; $t(42)=4.73$, $p=0.00$. Table 4 shows the results for a paired samples $t$-test of MA scores for the control group. On average, non-adopted students’ mean scale scores on the Missouri Assessment Program MA test scores increased 14.75 points from 2012-2013 to 2013-2014.
Table 4
Paired Samples Statistical t-test for the Control Group’s (Non-Adopted Students) MAP MA Scores Before and After Adoption
| Pair | MA 12-13 | Mean | N | SD | Correlation | t | df | Sig |
|------|----------|--------|------|--------|-------------|-------|------|-------|
| | | 651.53 | 43 | 51.197 | 0.927 | 4.734 | 42 | 0.000 |
Note. Significant at the $p < 0.05$ level.
Attendance rate. In response to research question two, the primary investigator conducted paired-samples $t$-tests (see Table 5 and Table 6) to examine whether a statistically significant difference existed in attendance rate of students who participated in a mentor adoption program compared to students who did not participate in a mentor adoption program. First, the primary investigator compared student attendance data of students who participated in the mentor adoption program from 2012-2013 to 2013-2014 school years (see Table 5). Students who participated in the mentor adoption program had an average daily attendance of 94% for the 2012-2013 school year and 96% for the 2013-2014 school year. As measured by a statistical significance dependent on the value of $p<0.05$, $p=0.07$ is not a significant difference in attendance.
Table 5
Paired Samples Statistical t-test for Adopted Mentees’ Attendance Before and After Adoption
| | Mean | N | SD | Correlation | t | df | Sig |
|----------------------|--------|------|--------|-------------|--------|------|-------|
| Attendance 2012-2013 | 0.94 | 43 | 0.056 | 0.518 | 1.843 | 42 | 0.072 |
| Attendance 2013-2014 | 0.96 | 43 | 0.045 | | | | |
Note. Significant at the $p < 0.05$ level.
As seen in Table 6, students who did not participate in the mentor adoption program had an average daily attendance of 95% during the 2012-2013 school and 95% for the 2013-2014 school year. As measured by a statistical significance dependent on the value of $p<0.05$, $p=1.00$ is not a significant difference in attendance. However, students who participated in the mentor adoption program did increase 2% in attendance to bring them one percentile higher in average (96%) than the students who did not participate in the mentor adoption program (95%).
Table 6
Paired Samples Statistical t-test for the Control Group’s Attendance Before and After Adoption
| | Mean | N | SD | Correlation | t | df | Sig |
|----------------------|--------|------|--------|-------------|--------|------|-------|
| Attendance 2012-2013 | 0.95 | 43 | 0.0386 | .493 | 0.000 | 42 | 1.000 |
| Attendance 2013-2014 | 0.95 | 43 | 0.0452 | | | | |
Note. Significant at the $p<0.05$ level.
**Discipline referrals.** In response to question number three, the primary investigator conducted paired-samples $t$-tests (see Table 7 and Table 8) to analyze whether a statistically significant difference existed in the number of discipline referrals of students who participated in a mentor adoption program compared to students who did not participate in a mentor adoption program for the 2012-2013 and 2013-2014 school years. First, the primary investigator compared student discipline data for students who participated in the mentor adoption program from 2012-2013 to 2013-2014 school years (see Table 7). Students who participated in the mentor adoption program had an annual discipline referral rate average of 1.26 for the 2012-2013 school year and 0.91 for the 2013-2014 school year. As measured by a statistical significance dependent on the value of $p<0.05$, $p=0.03$ is a significant difference in discipline referrals.
**Table 7**
*Paired Samples Statistical t-test for Adopted Mentees’ Discipline Referrals Before and After Adoption*
| | Mean | N | SD | Correlation | $t$ | df | Sig |
|----------------------|--------|------|--------|-------------|-------|-----|-------|
| Discipline 2012-2013 | 1.26 | 43 | 2.150 | 0.901 | 2.294 | 42 | 0.027 |
| Discipline 2013-2014 | 0.91 | 43 | 1.586 | | | | |
*Note.* Significant at the $p < 0.05$ level.
As seen in Table 8, students who did not participate in the mentor adoption program averaged 0.81 discipline referrals in 2012-2013 and 0.95 in 2013-2014. As measured by a statistical significance dependent on the value of $p<0.05$, $p=0.29$ is not a significant difference in discipline referrals.
Table 8
Paired Samples Statistical t-test for Control Group’s Discipline Referrals Before and After Adoption
| | Mean | N | SD | Correlation | t | df | Sig |
|----------------------|--------|------|--------|-------------|--------|------|-------|
| Discipline 2012-2013 | 0.81 | 43 | 1.722 | .878 | 1.062 | 42 | 0.294 |
| Discipline 2013-2014 | 0.95 | 43 | 1.759 | | | | |
Note. Significant at the $p < 0.05$ level.
**Perceptual data.** To begin the process of gathering perceptual data a letter (see Appendix A) was given to each teacher who participated in the mentor adoption program explaining the interview process. Then 10 randomly selected teachers who adopted students were invited to participate. The interview (see Appendix B) was designed to take no more than 20 minutes. Each teacher from the sample signed an informed consent form to affirm his or her participation was voluntary and involved no coercion (see Appendix C).
**Interview themes.** An examination of literature by Victoria Bernhardt (2009) revealed the importance of obtaining perceptual data to find how stakeholders view the learning environment. Bernhardt (2009) outlined how perceptual data may give insight into what changes can be made to improve the learning environment toward improved student learning. Bernhardt’s (2009) Continuous School Improvement Model was used as a basis for the interview question themes:
1. Teachers’ perceptions of the value of the mentor adoption program in relation to student academic performance.
2. Teachers’ perceptions of the value of the mentor adoption program in relation to student and teacher relationship building.
3. Teachers’ perceptions of needed improvements for the mentor adoption program.
A data collector removed all identifiers from the transcripts to ensure anonymity. Next, the primary investigator created a coding system to aid in reporting case study interview data. Each participant’s interview was transcribed; transcripts were coded by common strands and by theme. Information from the coded documents was carefully compared to present a succinct description of each participant’s perspectives in relation to the question themes.
**Participant interview responses.** After reading the interview transcripts, the primary researcher analyzed themes from which codes developed. These codes were then applied to the data, where the primary investigator analyzed narrative structure and contextual relationships and created matrices to more descriptively structure the data.
*Question one.* When each teacher was asked whether he/she believed the mentor adoption program had made a significant difference in student academic performance, the responses were similar. Figure 1 depicts a data analysis matrix for teachers’ views of the impact of the mentor adoption program in regard to student academic performance. Results from question one correspond with theme one regarding value of the program and reveal all 10 of the teachers interviewed believed the teacher mentor adoption program made a significant difference in student academic performance. However, there were three expressions of concern which were not related specifically to academic
improvement but rather the perceptions of non-mentored students and teacher perceptions of inadequacy.
| Codes Indicating Positive Impact | Codes of Concern |
|----------------------------------|------------------|
| …the students know that someone is monitoring their progress daily and that they care enough to check | …it is hard to mentor all of the students that need encouragement, so you end up with some students that feel left out. |
| …students feel that we as a group care about them. Sharing their successes with us makes them want to achieve more. | …the program could send the wrong message to students who excel. Last year, I had several students that I felt didn’t try their hardest at certain things because they wanted to be adopted. It’s difficult to explain to these students that the targeted students likely have little support from family |
| …the mentor adoption program has made a significant difference in the academic performance of our students | |
| …a great idea to give struggling students extra support. Some students do not receive any sort of praise or support from home. The mentor adoption program helps identify those students and provide the extra attention that they require | This year, personally, I have not made the time for my kids as much as last year. |
| …students know the teacher that has adopted them is checking their progress on a regular basis | |
| …One particular student of mine became better organized after receiving a notebook and a few folders. By not losing his work and having it to turn in, his grades improved a letter grade | |
Figure 1. A data analysis matrix for teacher’s view of the value of the program in regard to student performance.
Question two. The following answers were given in response to question two as improvement suggestions for the mentor adoption program. Figure 2 illustrates results from question two which correspond with teachers’ perceptions of needed improvements for the mentor adoption program. Data indicated the program would be improved with uniform guidelines and set time procedures.
| Codes for Improved Teacher Support & Communication or Change of Program Structure | Codes for Inclusion/Exclusion of Students |
|---|---|
| I believe we could improve the mentor adoption program by having more communication between the mentor and the classroom teacher and between the mentor and the student. | I think perhaps more discreet because many students that were not chosen get hurt and don’t understand why they weren’t. That part was hard on me. |
| Maybe having a meeting at the beginning of the year with all the teachers, where discussion can take place of who is adopted, who would really benefit from the adoption and ideas for different ways to help these adopted students. | It is good, but I hate it for the students who are not borderline or have amazing scores because they don’t get adopted. |
| I believe the mentor adoption program should have more structure. It was difficult to know what to do because there were not any rules to the program. | I suggest that we simply continue to make sure at-risk students are identified and assigned to specific teachers in the building. |
| I would allow teachers more monetary support. | I am wondering if it would be better to just verbally encourage all, instead of setting some apart by the giving of gifts. We all know those students that need the extra encouragement and that can be given quietly without setting them apart. |
| I would ask that the student meet once a week with their mentor and that they provide feedback to their mentor on how their week is going. The focus should be on assignment completion, grades earned, and choices that have been made. | |
| Maybe give more rules to protect teacher’s time. We love the kids but it becomes more of a hassle when they are coming down every morning or during our prep when we are busy. | |
*Figure 2.* A data analysis matrix for teachers’ program improvement suggestions.
*Question three.* Teachers were then asked what type of professional development training they had received on relationship building. Results from question three revealed all interviewed teachers, except one, felt an overall feeling of support yielded from prior or ongoing professional development.
| Codes for Adequate Professional Development | Codes for Professional Development Improvements |
|--------------------------------------------|------------------------------------------------|
| Teachers have ongoing PDC training that focuses on relationship building, which is crucial to the learning process. | I cannot think of any training on adoption programs just what I had in college on dealing with different types of students. |
| The plan was explained well and the program leader answered questions as we continued with the process. I like how many took their own ideas and shared in groups how and what they planned to do. | |
| Workshops offered some professional development. | |
| We had a very effective in-service this year that was very interesting and informative concerning relationships with people. This in-service was beneficial to our mentor adoption program because it helped us have a better understanding of the various personalities that our students have. The better we understand them, the better we can meet their needs. | |
| During various teacher workshops, we have received training on relationship-building. Recently, we had a speaker that discussed different personalities and helped each of us to better understand our personality. I felt that this was very helpful in relationship building. We have also received training regarding poverty, which I feel helps educators tremendously when attempting to from relationships with students. | |
| We learned about the importance of creating a classroom environment in which the students are a community of learners and the importance of acting in such a way that students know they are respected, cared about and always treated fairly. | |
| In the teacher development program we discussed the value to a student that having a mentor can provide. The emphasis was on being supportive vs. judgmental. | |
*Figure 3. A data analysis matrix for teachers’ view of professional development.*
Question four. The data collector then asked interviewees to identify the highlight of the mentor adoption program. Teacher responses may be seen in Figure 4.
| Codes for Student Improved Personal Value and Self Esteem |
|----------------------------------------------------------|
| The highlight of the program was when a parent of my mentor student said she believed the student worked harder on tests, homework, and grades because they knew I would be asking. In her words, it was “you and the program that made all the difference, not anything she had done”. |
| The smile on the students’ faces and the random hugs made me remember why I got into teaching. |
| Seeing their improvements. |
| I enjoyed sharing a meal with my adoptees and getting to know them better, and the daily encouraging that seemed to have a positive impact. |
| The highlight of the mentor adoption program has been being able to build and continue a relationship with students we had in previous years. It has made me feel like I am making a difference. Students need positive relationships with adults. The more adults, at-risk students develop a relationship with and are in contact with on a daily basis, the better chance they have at being successful. |
| I feel the highlight of the mentor adoption program was seeing my adoptees excited about learning and succeeding. |
| Those students who were making progress, but not as quickly as other students were recognized for their individual successes. |
| I enjoyed getting to know my adoptees on a more personal level. |
| The highlight so far took place when one of my students was overheard explaining to another why he should appreciate having a mentor. He was overheard saying, “No one ever cared about my work before”. |
| Seeing how proud the kids were when they had something great to show me and how proud they were when they scored well. |
Figure 4. A data analysis matrix for highlights of the mentor adoption program.
Results from question four coincide with coded theme two and teachers’ perceptions of the value of the mentor adoption program in relation to student and teacher relationship building. All 10 teachers interviewed noted the highlight of the program was the improved student esteem and personal value yielded from the teacher-to-student relationship.
Question five. The final interview question asked teachers to determine whether they believed the mentor adoption program was a positive or negative experience and whether they would advocate for continuing the program. Data from question five revealed all 10 teachers who were interviewed believed the program was worthy and should be continued.
Summary
The primary investigator found the mentor adoption program to have made a significant impact on student academic performance in three of the four areas measured for the 2013-2014 school year. For this reason, null hypotheses $H1_0$, $H2_0$, and $H3_0$ were rejected. Students who participated in the mentor adoption program showed significant improvement in both ELA and MA scale scores on the MAP and decreased the number of discipline referrals. Improvement was also made in attendance rate but was not shown to be significant.
Students who did not participate in the mentor adoption program only showed significant gains in MA scale scores on the MAP. Students who did not participate in the mentor adoption program actually showed a decrease in ELA scale scores on the MAP, an increase in number of discipline referrals received, and remained constant on attendance rate. Furthermore, even though both groups showed significant gains in MA scale scores on the MAP, the students who participated in the mentor adoption program showed greater gains.
The perceptual data analysis results supported the archival data analysis. The perceptual data results showed teachers felt the mentor adoption program would
significantly impact student academic performance. Teachers also felt the mentor adoption program should be continued but could be improved by making the mentor adoption program more uniform for all teachers and by providing additional training on building relationships.
Chapter Five: Findings and Conclusions
After gaining approval to conduct this research (see Appendix D), the primary investigator designed this study to gain a deeper understanding of the impact a mentor adoption program had on student academic performance and to use this understanding to guide future decisions for implementing student academic improvement strategies.
Chapter Five is focused on findings and conclusions resulting from a case study on the impact of a mentor adoption program on student academic performance. The primary investigator analyzed data on student academic performance from the 2012-2013 and 2013-2014 school years. This data included academic, attendance rate, discipline referral, and perceptual data. The primary investigator compared data from two sets of students, those who participated in the mentor adoption program and those students who did not participate in the mentor adoption program. The primary investigator gleaned perceptual data by interviewing a sample of 10 teachers who participated in the mentor adoption program as mentors.
Findings
As previously noted, the mentor adoption program was not the only instructional change between the 2012-2013 and 2013-2014 school years in Elementary School A. Elementary School A also initiated several other research-based strategies to encourage improvement in academic performance. To increase the validity for this study and to reduce the effect of extraneous variables, the primary investigator compared the 43 adopted students who participated in the mentor adoption program to a control group of students who did not participate in the mentor adoption program for only the 2013-2014 school year. To answer the research questions, the primary investigator determined the
difference in the performance of students who participated in a mentor adoption program and students who did not participate in a mentor adoption program on the Missouri Assessment Program (MAP) in English language arts (ELA) and mathematics (MA), attendance rates, and number of discipline referrals by conducting a paired-samples $t$-test.
**Archival data.** By focusing on student performance archival data, the primary investigator was able to find students who participated in the mentor adoption program made significant academic improvements. The relevant research supports the findings, as research shows strong teacher-to-student relationships enhance academic performance (Toste, 2012). In this particular case study, Elementary School A initiated a mentor adoption program with the intent to strengthen teacher-to-student relationships. The findings showed students who participated in the mentor adoption program to significantly improve in three of the four areas that were quantitatively measured, while students who did not participate in the mentor adoption program only showed significant gains in one area quantitatively measured. The areas measured were ELA MAP scale scores, MA MAP scale scores, attendance rates, and number of discipline referrals. Data were collected from both 2012-2013 and 2013-2014 school years. This case study will add to the current body of knowledge by supplying data on teacher-to-student relationships within schools of similar demographics. More specific data will be added to the current body of knowledge on mentor adoption programs.
**Academic.** Research has provided data to show positive teacher-to-student relationships improve student academic performance as measured by student scores on standardized tests (Allen et al., 2013). This case study added to current literature by providing data which support these theories. Data from this case-study indicate the
students who participated in the mentor adoption program showed significant improvement in both ELA and MA on MAP scale scores from the 2012-2013 to 2013-2014 school years. The students who did not participate in the mentor adoption program only demonstrated significant improvement in MA on the MAP from the 2012-2013 to 2013-2014 school years.
The results showed students who participated in the mentor adoption program made greater gains in mean scores in both ELA and MA on the MAP from the 2012-2013 to 2013-2014 school years. The students who participated in the mentor adoption program improved the mean scale score 14.69 points in ELA, while the students who did not participate in the mentor adoption program showed a decrease of 1.61 on the mean scale score in ELA. Even though both groups showed significant improvement in MA, students who participated in the mentor adoption program showed a larger increase in mean scale scores in MA. Students who participated in the mentor adoption program gained 17.00 points on the mean score in MA compared to a 14.75 point gain on mean score for students who did not participate in the mentor adoption program.
**Attendance rate.** Research has also provided data to support positive teacher-to-student relationships improve student academic performance as measured by attendance rates (Paredes & Ugarte, 2011). Results from this case study showed no significant gains were made in attendance rate by students who participated in the mentor adoption program during the 2013-2014 school year. However, students who participated in the mentor adoption program did improve attendance rate two percentage points rising from 94% to 96% from the 2012-2013 to 2013-2014 school year, while students who did not
participate in the mentor adoption program did not show any improvement in attendance rate and remained constant at 95% from 2012-2013 to 2013-2014 school year.
**Discipline referral.** Additionally, research provides data which support the theory that positive teacher-to-student relationships will reduce the number of classroom behavior issues which in turn will improve student academic performance (Delman, 2011). This case study supports this research by showing positive teacher-to-student relationships significantly impacted student behavior. Students who participated in the mentor adoption program decreased in the number of discipline referrals from a 1.26 average to a 0.91 average from 2012-2013 to 2013-2014 school years, while the students who did not participate in the mentor adoption program showed an increase in number of discipline referrals from 0.81 average to a 0.95 average from 2012-2013 to 2013-2014 school years.
**Perceptual data.** The primary investigator also analyzed perceptual data obtained from teachers who participated in the mentor adoption program as mentors. The perceptual data were collected to obtain a more in-depth vision of the current mentor adoption program and how the mentor adoption program may be improved in the future. The five-question interview revealed several teacher perceptions about the mentor adoption program. The first and fifth questions addressed whether or not teachers thought the mentor adoption program made a significant difference in student academic performance and whether or not teachers advocate continuing the mentor adoption program in Elementary School A. All 10 teachers interviewed answered yes to these questions. The tone of answers to these questions was positive with many teachers stating specific improvement in student performance of their particular adopted students.
Two of the teachers noted the mentor adoption program was positive but some students seemed to feel left out because they were not adopted by a teacher.
The second interview question addressed teacher ideas to improve the mentor adoption program. Interviewees gave a wide range of answers to this question. However, a couple of themes were observed by the primary investigator. First, a large majority of teachers thought a more uniformed mentor adoption program would be beneficial. These interviewees felt a more uniform approach would allow the mentor adoption program to be more consistent and would lead to fewer students with the feeling of being left out of the mentor adoption program. Second, addressing the time element would benefit the mentor adoption program. Teachers found meeting adopted student needs difficult because of scheduling. When teachers adopted students who were not in the same grade level as the teacher, setting times for mentors to meet with adopted students became an obstacle.
Teachers gave mixed answers to the third interview question which referred to professional development on teacher-to-student relationships. Six of the 10 teachers interviewed noted sufficient opportunities for professional development on teacher-to-student training. The group of six teachers noted both professional development provided by Elementary School A and college-level training as opportunities for teachers to gain insight on how to develop teacher-to-student relationships. The group specifically noted recent professional development training provided by Elementary School A on personality styles and how to relate to different personality styles. Four teachers did not feel sufficient opportunities were provided by Elementary School A. The interview showed these teachers felt Elementary School A had not provided professional
development on relationship building between teachers and students. These teachers had the opinion that the only opportunity for professional development on teacher-to-student relationship building came from mandatory college-level training.
Interview question number four asked teachers to recall the most memorable moment of the mentor adoption program. Answers to question number four were positive with teachers stating a variety of highlights. One theme observed was teachers who participated in the mentor adoption program seemed to gain sincere enjoyment when the adopted student succeeded on a task. One teacher stated, “The mentor adoption program made me remember why I got into teaching.” Another teacher said, “It [the mentor adoption program] makes me feel like I am making a difference.” The tone of the answers to interview question number four provided the primary investigator insight to teacher perceptions about the mentor adoption program.
**Case Study Findings**
Researchers use case studies to learn more about specific cases (Fraenkel et al., 2015). This case study was designed to research and analyze data to provide the primary investigator with insight on the mentor adoption program Elementary School A initiated during the 2013-2014 school year. The analyses allowed for statistical measurement of any differences in student academic performance for students who participated in the mentor adoption program and those who did not participate in the mentor adoption program. The primary investigator was able to determine whether or not the use of the mentor adoption program made positive impact in student academic performance specifically for Elementary School A students. By collecting and analyzing the perceptual data, the primary investigator was also able to gain insight on what teachers
felt might improve the mentor adoption program for Elementary School A. The primary investigator will be able to include this data and teacher insights when preparing future improvement plans for Elementary School A. This data will both add to and are supported by current literature on teacher-to-student relationships.
**Lessons Learned**
By conducting this case study, the primary investigator was able to measure both archival and perceptual data quantitatively to obtain insight on the effects of positive teacher-to-student relationships. The primary investigator utilized a mentor adoption program to provide teachers and students with an avenue to promote the relationship-building process. A holistic analysis of the data resulted in several lessons learned.
First, when examining all sets of data together, the primary investigator was able to determine the mentor adoption program had a positive impact on student academic performance. Elementary School A initiated and exposed every student to several research-based strategies for the 2013-2014 school year. However, students who participated in the mentor adoption program significantly improved in three areas compared to students who did not participate in the mentor adoption program only improving in one area that was measured. This led the primary investigator to believe building positive teacher-to-student relationships to be an effective improvement tool.
Second, by analyzing the perceptual data, the primary investigator was able to gain insight into the mentor adoption program from the teacher point-of-view. As the primary investigator studied the perceptual data, two themes became evident. The first theme was that teachers value positive relationships with students. The data from this case study showed teachers believed the mentor adoption program made a positive
impact on student academic performance and were overwhelmingly in favor of continuing the mentor adoption program. The second theme the primary investigator gleaned from the perceptual data was that teachers believe the mentor adoption program would be more productive if the mentor adoption process was more uniform. The interviews revealed teachers felt pressure when trying to combine teaching duties with participating in the mentor adoption process.
**Limitations of the Study**
There were several limitations to this case study. First, Elementary School A included several research-based strategies in addition to the mentor adoption plan when developing the 2013-2014 improvement plan. By exposing each Elementary School A student to multiple strategies, it became difficult for the primary investigator to determine how much credit for improvement should be given to the mentor adoption program. The mentor adoption program may or may not have been responsible for improvement in all areas measured. Further area-specific research would have to be conducted to determine which research-based strategy deserved the most credit for student academic improvement.
Second, the teacher perceptual data revealed teachers value positive teacher-to-student relationships. While gaining this insight was beneficial to the primary investigator, it also made the primary investigator question whether or not the mentor adoption program increased the quantity or quality of teacher-to-student relationships within Elementary School A. Furthermore, it would be worthy to investigate whether teachers treated students who participated in the mentor adoption program any differently than students who did not participate in the mentor adoption program.
Another related limitation was the limited procedural guidance of the mentor adoption program. The perceptual data from teacher interviews revealed teachers felt more procedural guidance could be beneficial. With the limited procedural guidance each teacher was able to participate in the mentor adoption program with a different set of rules. Differences in application of the mentor adoption program may have affected the data results.
Case studies create limitations for research studies for the mere fact one is studying a specific case (Fraenkel et al., 2015). For this case study, Elementary School A had already begun participation in the mentor adoption program. Teachers were instructed to adopt students based on a set of criteria. The criteria included low performance on the ELA and MA portions of the MAP assessment, low attendance rates, and a high number of discipline referrals. While every precaution was taken to stratify the comparison group, the students who participated in the mentor adoption program were deemed a higher priority by teachers when selecting whom to adopt. The selection process may have been a limitation to this particular case study.
The last limitation may have been the 2013-2014 weather effect on student academic performance. Elementary School A dismissed school 28 times for hazardous weather. The student academic performance data may have been affected because students spent fewer days in school. Students who missed the 28 days received less instruction than during a normal school year. This led the primary investigator to question whether the data accurately measured student improvement. With the decrease in days attended, students had fewer opportunities to receive a discipline referral which may have impacted the validity of decreased referrals.
Recommendations for Further Studies
Schools and educational leaders continue to seek strategies to enhance student academic performance (Ager, 2012). Each school and educational leader has a unique set of circumstances and should select improvement strategies which fit his or her particular needs (Tejero Hughes & Parker-Katz, 2013). The empirical literature, as well as this case study data, support promoting teacher-to-student relationships to be a strategy that may improve student academic performance (Barile et al., 2012). One measure to be significantly impacted by positive teacher-to-student relationships is standardized test scores (Allen et al., 2013). The students who participated in a mentor adoption program in Elementary School A during the 2012-2013 and 2013-2014 school years significantly improved in both ELA and MA scale scores on the MAP, while students who did not participate in the mentor adoption program only significantly improved in MA on the MAP. Furthermore, students who participated in the mentor adoption program showed greater gains on the mean scale score in both ELA and MA on the MAP. With this case study data in mind, schools and educational leaders who are searching for student academic improvement strategies may promote positive teacher-to-student relationship-building strategies. In particular a mentor adoption program may be utilized by schools and educational leaders to encourage positive teacher-to-student relationships (Komosa-Hawkins, 2009).
Schools and educational leaders may also utilize a mentor adoption program to encourage improved student attendance (Komosa-Hawkins, 2009). This case study data showed Elementary School A students who participated in the mentor adoption program improved average attendance from 94% to 96%, while students who did not participate in
the mentor adoption program remained constant at 95% for the 2012-2013 and 2013-2014 school years. Research has shown students who attend school at a high percentage perform better in all areas of academics. By incorporating a mentor adoption program, schools and educational leaders will be better able to encourage positive teacher-to-student relationships which have shown to improve student attendance rates.
The mentor adoption program also made a significant impact on the number of discipline referrals students received during the 2012-2013 and 2013-2014 school years. Students who participated in the mentor adoption program in Elementary School A had a reduced number of discipline referrals from 2012-2013 to the 2013-2014 school years. Students who did not participate in the mentor adoption program actually showed a gain in the number of discipline referrals from 2012-2013 to 2013-2014 school years. Schools and educational leaders may use the mentor adoption program as a tool to reduce student discipline referrals. Researchers have shown student academic performance may be improved by reducing student discipline referrals (Delman, 2011).
The perceptual data showed strong teacher support for the mentor adoption program. According to the data provided by this case study, schools and educational leaders may incorporate a mentor adoption program to provide teachers with an avenue to promote positive relationship-building time with their students. By providing teachers with an avenue for the relationship building, schools may reap the rewards of improvement in student academic performance (Swafford, Bailey, & Beasley, 2014).
Further research in the area of teacher-to-student relationship building may include a longitudinal study to analyze student performance over more than two years. This case study only involved the analysis and compares statistical data over a two-year
period. By studying teacher-to-student relationships over a period of multiple years, a primary investigator may be able to detect differences in teacher effectiveness and trends for students with particular demographics. Also by researching multiple years of data a primary investigator may be able to detect teacher personality traits as well as student characteristics, which may contribute to promotion of positive teacher-to-student relationships.
Another suggestion for further research would be to include interviews of students who participated in the mentor adoption program and those who did not participate in the mentor adoption program. The perceptual data from the teacher interviews revealed teachers believed the mentor adoption program was beneficial for students. By conducting student interviews, the primary investigator would be able to gain student perceptions and compare to teacher perceptions. The primary investigator would include specific questions to students who did not participate in the mentor adoption program to determine if any negative consequences resulted from the students not being chosen to participate in the mentor adoption program.
Further research in the area of positive teacher-to-student relationship-building programs may also be beneficial to gain insight on how to improve student academic performance. Elementary School A was able to initiate a mentor adoption program which promoted significant improvement in academic performance. However, the mentor adoption program had very little procedural guidance. Further research into types of relationship programs and procedures of relationship-building programs may provide schools and educational leaders with more efficient use of resources, time, and funding to improve student academic performance.
Contributions to Research Literature
This study provided a comprehensive look into the benefits provided by a teacher-to-student relationship-building program via a mentor adoption program. Findings from the data support current literature on the topic of teacher-to-student relationship building. These case study data support current literature that positive teacher-to-student relationships enhance improvement in student academic performance. Furthermore, these data support the idea that teachers as well as students both value and benefit from positive teacher-to-student relationships. Lastly, this case study will add to and support data on teacher-to-student relationship-building programs, specifically through a mentor adoption program.
Final Reflections
Positive teacher-to-student relationships are a dynamic factor for student academic performance. Elementary School A implemented several research-based strategies for school improvement during the 2013-2014 school year. Elementary School A students were exposed to each research-based strategy implemented during the 2013-2014 school year. However, only 55 students were selected to participate in a mentor adoption program which was intended to provide an avenue to enhance teacher-to-student relationships. The intent of this case study was to detect any difference in student academic performance in students who participated in the mentor adoption program and students who did not participate in the mentor adoption program. Data sufficiently showed the mentor adoption program incorporated into the Elementary School A improvement plan to be a factor for improvement in student academic performance. Students who participated in the mentor adoption program showed gains in each of the
measured areas including MAP scores for both ELA and MA, attendance rates, and number of discipline referrals. Furthermore, the perceptual data gathered from teacher interviews reflected positive teacher feelings about the mentor adoption program.
In conclusion, today’s educational trends tend to focus on teacher accountability and test scores. Schools continually search for research-based strategies to utilize to further improve the education offered to students. While explorations into new curriculums, teaching strategies, and better and newer technologies are of utmost importance, one must never overlook the value of cultivating a positive teacher-to-student relationship. Whether using an avenue such as a mentor adoption program or some other teacher-to-student relationship-building avenue, positive teacher-to-student relationships are built through thoughtful and purposeful effort. Data from this case study support current literature that shows positive teacher-to-student relationships affect learning outcomes, attendance rates, and classroom behavior in positive ways. Teachers can be assured by creating and nurturing positive relationships with students, teachers are directly impacting each student’s future achievements and success.
Lindenwood University
School of Education
209 S. Kingshighway
St. Charles, Missouri 63301
Interview Letter: [Redacted]
January 31, 2015
Dear Colleagues,
I am conducting a research study titled, *A Case Study of a Teacher-Student Mentor Adoption Program at the Elementary Level*, in partial fulfillment of the requirement for a doctoral degree in Educational Administration at Lindenwood University. The research gathered should assist in providing insight as to whether the students who participated in the mentor adoption program made any significant academic gains in the areas of MAP scores, attendance rates, and number of discipline referrals.
In order to obtain perceptual data, I am seeking your cooperation. A data collector primary investigator will randomly select ten teachers to interview. The teachers selected will include one teacher from each grade level, one special class teacher, one Title I teacher, and one special education teacher. Each person selected will be given a five question interview by a data collector. The data collector will record and transcribe the interview. The audio recording will then be destroyed. All persons interviewed and data collected will be de-identified by the data collector before the
primary investigator will be allowed access to the data. The primary investigator will at no time have access to the identification of persons participating in the interview process.
Participation in the study is completely voluntary. You may withdraw your consent at any time without penalty. The identity of the school district will remain confidential and anonymous in the dissertation or any future publications of this study.
Please do not hesitate to contact me with any questions or concerns about participation [redacted]. You may also contact the dissertation advisor for this research study, Dr. Julie Williams, (phone: 417-256-6150 EXT. 4510) or e-mail: [email protected]). A copy of this letter and your written consent should be retained by you for future reference.
Respectfully,
Timothy Shane Benson
Doctoral Candidate
Lindenwood University
Appendix B
Interview Questions:
1. Do you think the mentor adoption program has made a significant difference in student academic performance?
If no, why?
2. What type of feedback would you give to improve the mentor adoption program at Elementary School A?
3. What training did you receive in your teacher development program on relationship building?
4. What was the highlight of the mentor adoption program?
5. Was the mentor adoption program overall a positive or negative experience and would you advocate for continuing the mentor adoption program?
Informed Consent for Participation in Research Activities
A Case Study of a Teacher-Student Mentor Adoption Program at the Elementary Level
Principal Investigator _____Shane Benson_____
Telephone: 417-_________ E-mail: [email protected]
Participant______________________________
Contact info_____________________________
1. You are invited to participate in a research study conducted by Shane Benson under the guidance of Dr. Julie Williams. The purpose of this research is to analyze the effects of positive teacher to student relationships to student academic performance.
2. Your participation will involve approximately 30 minutes of your time to answer 5 questions in interview form from a data collector. Your recorded answers will be transcribed and coded to obtain quantitative data. All participants will be de-identified by the data collector.
Approximately 10 persons will be interviewed in this research.
3. There are no anticipated risks associated with this research.
4. There are no direct benefits for you participating in this study. However, your participation will contribute to the knowledge about [redacted] Program and may help in research.
5. Your participation is voluntary. You may choose not to participate in this research study or to withdraw your consent at any time. You may choose not to answer any questions that you do not want to answer. You will NOT be penalized in any way should you choose not to participate or to withdraw.
6. We will do everything we can to protect your privacy. As part of this effort, your identity will not be revealed in any publication or presentation that may result from this study and the information collected will remain in the possession of the investigator in a safe location.
7. If you have any questions or concerns regarding this study, or if any problems arise, you may call the Investigator, Shane Benson at 417-_________ or the Supervising Faculty, Dr. Julie Williams at 417-256-6150 EXT. 4510. You may also ask questions of or state concerns regarding your participation to the Lindenwood Institutional Review Board (IRB) through contacting Dr. Jann Weitzel, Vice President for Academic Affairs at 636-949-4846.
I have read this consent form and have been given the opportunity to ask questions. I will also be given a copy of this consent form for my records. I consent to my participation in the research described above.
__________________________________ _________________________
Participant’s Signature Date
__________________________________ _________________________
Participant’s Printed Name
__________________________________ _________________________
Signature of Principal Investigator Date
__________________________________ _________________________
Investigator Printed Name
DATE: February 26, 2015
TO: Shane Benson
FROM: Lindenwood University Institutional Review Board
STUDY TITLE: [698065-1] A Case Study of a Teacher-Student Mentor Adoption Program at the Elementary Level
IRB REFERENCE #:
SUBMISSION TYPE: New Project
ACTION: APPROVED
APPROVAL DATE: February 26, 2015
EXPIRATION DATE: February 26, 2016
REVIEW TYPE: Expedited Review
Thank you for your submission of New Project materials for this research project. Lindenwood University Institutional Review Board has APPROVED your submission. This approval is based on an appropriate risk/benefit ratio and a study design wherein the risks have been minimized. All research must be conducted in accordance with this approved submission.
This submission has received Expedited Review based on the applicable federal regulation.
Please remember that informed consent is a process beginning with a description of the study and insurance of participant understanding followed by a signed consent form. Informed consent must continue throughout the study via a dialogue between the researcher and research participant. Federal regulations require each participant receive a copy of the signed consent document.
Please note that any revision to previously approved materials must be approved by this office prior to initiation. Please use the appropriate revision forms for this procedure.
All SERIOUS and UNEXPECTED adverse events must be reported to this office. Please use the appropriate adverse event forms for this procedure. All FDA and sponsor reporting requirements should also be followed.
All NON-COMPLIANCE issues or COMPLAINTS regarding this project must be reported promptly to the IRB.
This project has been determined to be a project. Based on the risks, this project requires continuing review by this committee on an annual basis. Please use the completion/amendment form for this procedure. Your documentation for continuing review must be received with sufficient time for review and continued approval before the expiration date of February 26, 2016.
Please note that all research records must be retained for a minimum of three years.
If you have any questions, please contact Robyne Elder at (314) 566-4884 or [email protected]. Please include your study title and reference number in all correspondence with this office.
If you have any questions, please send them to [email protected]. Please include your project title and reference number in all correspondence with this committee.
This letter has been electronically signed in accordance with all applicable regulations, and a copy is retained within Lindenwood University Institutional Review Board’s records.
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Jennings, P.A., Frank, J.L., Snowberg, K.E., Coccia, M.A. & Greenberg, M.T. (2013). Improving classroom learning environments by cultivating awareness and resilience in education (CARE): Results of a randomized controlled trial. *School Psychology Quarterly, 28*(4), 374–390.
Jensen, E. (2013). How poverty affects classroom engagement. *Educational Leadership, 70*(8), 24.
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Payne, R. K. (2009). Poverty does not restrict a student’s ability to learn. *Phi Delta Kappan, 90*(5), 371.
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Vita
Timothy Shane Benson graduated in 1987 from the Alton R-IV school district in Alton, Missouri. From there he continued his education by attending Three Rivers Community College in Poplar Bluff, Missouri, and John Brown University in Siloam Springs, Arkansas, where he obtained his Bachelor of Science Degree in Education. He used this degree to become a physical education teacher and basketball coach. In 2001, Timothy Shane Benson earned his Master of Administration Degree from William Woods University of Fulton, Missouri. After 18 years of coaching, he became an assistant principal at the Alton R-IV School District and finished his Specialist of Administration Degree through William Woods University of Fulton, Missouri, in 2008. He has 23 years of experience in the educational field. During the past seven years he has served as the elementary principal in a rural school in southeast, Missouri.
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OFFICE OF THE MAYOR
Telephone: (716) 286-4310
November 8, 2018
Kennedy______ Scott______ Tompkins______ Voccio______ Touma______
The City Council Niagara Falls, New York
RE: Online Bill Paying
Council Members:
The City Controller has been exploring ways to implement an online method for taxpayers, residents and citizens to pay City property taxes, parking tickets, etc. online. The City Controller is recommending that the City enter into an Enrollment Agreement with Xpress-pay.com, The Universal Collection Solution from Systems East, Inc. in order to accomplish this task. Attached hereto is a copy of a proposed Enrollment Agreement. The monthly account maintenance fee to be charged the City is $22.00 for the duration of this agreement. In the event that the City determines to purchase swipe readers, those units will cost $100.00 each. The per-transaction fees will be paid by the consumer and are described in the enrollment agreement.
Will the Council so approve and authorize the Mayor to execute the Enrollment Agreement provided the same is in form and content satisfactory to the Corporation Counsel?
Respectfully submitted,
PAUL A. DYSTER
Mayor
Funding is in place
__________________________
Daniel Morello City Controller
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321 & 327 Commercial Street
1852 – George Willment and William Disbrow had a business here.
1855 – George Willment sold the building and lot to Dr. Ezra Kinsey.
1855 – The Big Fire destroyed most of Old Town. Dr. Kinsey had this brick building erected after the fire.
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1881 – The Lubecks added the second story to this building.
1896 – Attorneys Tabor and Tabor leased the building.
1927 – Russia Lubeck Yardley, sold this lot and the one next door to undertakers Carl Mehl and Colin Hislop.
1950 – This was the headquarters of the Moose Lodge.
Placer County Historical Society 2019
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SPECIALTY PROGRAMME
Educational program of the Specialty «6M010800 – Physical Culture and Sport» Master Level
Education purposes in «6M010800 – Physical Culture and Sport» are:
The main purpose of education in the Specialty «6M010800 – Physical Culture and Sport» is:
– training of highly qualified scientific and pedagogical and coaching staff, demand in the labor market;
– developing systematized knowledge, core competencies and special masters who know how to use modern methods of studying the general laws;
– developing the key and special competencies in masters, with high social and civic responsibility, capable of carrying out a professional activity;
1. List of qualifications and positions
Graduates of this educational program are assigned to the degree of Master of Pedagogical Sciences in Physical Culture and Sport. Master of Pedagogical Sciences as a specialist of higher qualification without a category may hold positions without requiring a length of service in accordance c Model qualification characteristics of teaching staff posts and persons equated to them, approved by order of the Minister of Education and Science of the Republic of Kazakhstan dated July 13, 2009 № 338, as amended on June 9, 2011 №241, December 27, 2013 №512:
Teacher (Assistant);
In accordance with the Model Qualification Characteristics of Teaching Staff and Relevant Persons, approved by Order of the Minister of Labour and Social Welfare of the Republic of Kazakhstan dated May 21, 2012 № 201 p-m:
Methodist of Physical Culture;
Junior Researcher (if the recommendations of institutions of higher education councils (faculty) to the position of a junior researcher can be assigned on an exceptional university graduates (master's), gain experience during the training period).
2. The qualifying characteristic of the graduate education program
2.1 Professional area
Master of Pedagogical Sciences in«6M010800 – Physical Culture and Sport» fulfils professional duties in the field of education. Qualifying level according to National Qualifications Framework (NQF) is – 7.
2.2 Objects of professional activity
Objects of professional activity of Master of Pedagogical Sciences in «6M010800 – Physical Culture and Sport» are:
Department of Physical Education of universities, colleges, sports clubs;
public and private commercial organizations: departments, committees, agencies, governments in Physical Culture and Sports, companies, children's sports school, high school sports skills;
research institutions: institutes and laboratories in the field of physical culture and mass sports, health, rehabilitation, medical-biological, sports, rehabilitation centers, studying the problems of physical and mental health.
2.3 Subject of professional activity
Subjects of professional activity Master of Pedagogical Sciences in Specialty «6M010800 – Physical Culture and Sport» are:
organization of training and education of students with innovative psycho-pedagogical methods and tools;
organization of research activities;
activities authorized and local executive bodies to support innovation processes in the management of Physical Culture and Sports.
2.4 Types of professional activity
Master of Pedagogical Sciences in the specialty «6M010800 – Physical Culture and Sport» can perform the following professional activities:
educational (pedagogical);
coaching;
research.
2.5 Functions of professional activity
Functions Master of Pedagogical Sciences in the specialty «6M010800 – Physical Culture and Sport» are:
teaching;
research;
educational;
sanitary-hygienic, health improving.
2.6 Standard Tasks of Professional Career
Standard tasks of professional career Master of Pedagogical Sciences in Specialty «6M010800 – Physical Culture and Sports» are appropriate to the types of professional career:
at the educational activities:
conducting classes on special subjects, training of physical culture of the person, promotion of healthy lifestyles in higher and secondary educational institutions and various organizations (as a teacher / assistant);
organization of process of physical training, conducting classes in the chosen sport (as a teacher-trainer);
judging competitions in physical training and sports (as a judge for the sport);
scientific and methodological support of national teams (as a coach);
the development of educational technology for the development of the population of physical qualities and skills, to strengthen the health needs of the application of hygiene measures and the use of the natural forces of nature (as a methodologist for Physical Culture and Sport).
in the field of coaching:
physical training in the chosen sport (as coach of the national teams in the chosen sport).
at the research activities:
research (as a researcher laboratory research institutes and methodologist for scientific and methodological support).
2.7 Professional career content
Professional career content of Master of Pedagogical Sciences in Specialty «6M010800 – Physical Culture and Sports»:
appropriate organization and management of the pedagogical process;
use of student-centered approach to learning to enable self-discovery and self-realization of students;
focus on the active development of studying methods of cognitive activity, the personal importance of education;
use of various pedagogical technologies, creation of favorable conditions for self-education and professional orientation of students;
fulfillment of professional, research, production activity in accordance with modern requirements.
3. Learning outcomes (general competence)
Learning Outcomes Master of Pedagogical Sciences in Specialty «6M010800 – Physical Culture and Sports» (7th level of NQF) in accordance with the Dublin descriptors of the second level of training involves the ability:
demonstrate knowledge and understanding of educational obtained at the level of higher education, which are the basis for the original or the possibility of development and application of ideas in the context of scientific research;
apply knowledge, understanding and ability to solve problems in new or unfamiliar situations and contexts within broader (or multidisciplinary) areas related to the field of study;
integrate knowledge, deal with the complexities and make judgments based on incomplete or limited information, taking into account ethical and social responsibility for the application of these judgments and knowledge;
clearly communicate their conclusions and the knowledge and support of specialists and non-specialists;
Life-long learning.
General competence Master of Pedagogical Sciences in Specialty «6M010800 – Physical Culture and Sports» are developed on the basis of the key (the requirements for general education, social, ethical, economic, organizational and managerial competence) and special skills.
3.1 Key competence
Requirements to key competences of graduates in scientific and pedagogical magistracy:
1) To have an view:
about role science and education at public life;
about today trends at development science;
about professional competence teacher higher school;
How to organize and conduct sports and sporting events;
2) To know:
the principles and structure of the organization of scientific activity;
methodology of scientific knowledge;
the psychology of cognitive activity in the learning process;
psychological methods and means to improve the efficiency and quality of education.
3) To be able to:
critically analyze existing concepts, theories and approaches to analysis processes and events;
use gained knowledge for the original development and applications ideas at context scientific studies;
integrate knowledge gained at the framework of different disciplines for solutions research of tasks at new unknown conditions;
by integration knowledge make judgments and accept solutions on basis incomplete or limited information;
use knowledge pedagogy and psychology higher school at his teaching activities;
use information - analytical and information - bibliographic work from attraction today information technology;
use interactive methods training;
think creatively and suit to decision new issues and situations;
tofinalise research and analytical work at form of thesis research article, report, analysis notes and methodology of scientific knowledge. 4) To have the skills in:
to be fluent in foreign language on professional level that allowing to do research and realize teaching specific courses at higher education institutions;
research activities solutions standard scientific objectives;
teaching techniques of professional courses;
implement educational and teaching activity by credit technologies training;
use today's information technology at educational process;
professional communication and intercultural communication;
oratory art, right and logical registration own ideas at oral and written form;
expansion and deepening knowledge needed for everyday professional activity and continue education at doctorate.
5) To be competent:
in research-teaching activity at higher training institutions;
in the methodologies studies;
in current issues of educational strategies;
in methods ensuring constant updating knowledge expansion professional skills and skills.
in execution research projects in professional area;
3.2 Special competence
A – knowledge and understanding of:
A1 – fundamental theoretical and methodological knowledge in the field of Physical Culture and Sports;
A2 – psychological and pedagogical knowledge of working in higher education in Physical Culture and Sports;
A3 – knowledge of modern management tools and techniques of functional preparedness as the biological basis of physical and athletic training, physical health engaged in Physical Culture and Sports;
A4 – knowledge of pedagogical and psychological research techniques in "Physical Culture and Sports";
A5 – knowledge of rehabilitation and recreation of health officials at various levels of readiness exercise, mass sports and physical therapy facilities;
A6 – knowledge of physical education and physical training of persons with disabilities.
B – application of knowledge and understanding:
B1 – independent acquisition and transfer of knowledge, generation of ideas, analysis and synthesis of knowledge-intensive processes for Physical Culture and Sport;
B2 – the introduction of new conceptual ideas and trends in the development of science teaching in the context of the modern paradigm in the field of Physical Culture and Sports education;
B3 – possession of techniques of computer modeling and methods of theoretical analysis of research results;
B4 – possession of methods of obtaining, processing and storage of scientific information, performance, writing, design research products using modern scientific research techniques;
B5 – carrying out diagnostics, selection of optimum modes of learning and impact on the body of students, people of different age, gender, level of health and fitness, as well as persons with disabilities by means of qualitative and quantitative methods of psycho-pedagogical and medico-biological research;
B6 – organizational and management skills of work in educational, scientific and sports departments of institutions and enterprises for Physical Culture and Sport.
C – forming judgments:
C1 – an innovative style of scientific and pedagogical thinking and holistic perception of pedagogical reality;
C2 – independence and initiative thinking, critical, analytical, diagnostic skills;
C3 – awareness of the social importance of scientific and educational activities, adherence to the principles of professional ethics, improving the professional and personal qualities of a teacher, a coach, a research scientist;
C4 – development outlook, activity, self-cognitive, research and creative activity;
C5 – professional-pedagogical self-consciousness, the formation of the need for further personal and professional self-development.
D – personal abilities:
D1 – the presence of the professional qualities of the teacher personality, knowledge of communication technologies, skills, pedagogical rhetoric, communication strategies;
D2 – the willingness to create new values, the adoption of creative solutions, tolerance and the ability to pedagogical cooperation;
D3 – the pursuit of the development of intellectual, moral, cultural, conformable, natural, communication, organizational and management skills;
D4 – the desire for a high motivation to educational activities, creative application of pedagogical innovation, self-education and self-realization;
D5 – the ability to understand the laws of formation and development of scientific knowledge as a cultural phenomenon;
D6 – the ability to make a contribution through original research that extends the scope of existing knowledge through the development of scientific work;
D7 – the ability to implement the principles of health savings and compliance with occupational safety and health.
4. Strategies and methods of teaching
General learning outcomes of the program in «6M010800 specialty - Physical Culture and Sports» (7th level of NQF) will be achieved through the following training events:
1) classroom training: lectures, seminars and workshops - held in view of innovative teaching technologies, using the latest achievements of science, technology and information systems, and in interactive form;
2) extracurricular classes: independent work of the student supervised by teacher, individual consultations;
3) Placement, Defense of Masters Dissertation.
The content of the educational program of a specialty allows students to master the system of subject, interdisciplinary, psychological, pedagogical and methodological knowledge, to demonstrate knowledge and understanding in the field of Physical Culture and Sports, education and psychology, to apply this knowledge and understanding in a professional manner.
Lectures, seminars, workshops, various kinds of practices throughout the program will provide undergraduates opportunities to develop key and specific competencies in specialty 6M010800 – Physical Culture and Sport, in particular, the application of theoretical knowledge on Physical Culture and Sport, taking into account the specific socio pedagogical conditions, rational and creative use in the educational process of pedagogical technologies and information sources (media training programs, electronic textbooks, internet technology).
Supervision of independent work of Graduates, individual consultations will enable Graduates to develop educational and research skills. In addition, final year undergraduates are working on a thesis work on their chosen topic under the personal guidance of the supervisor.
5. Monitoring and evaluation of learning outcomes
In preparing undergraduates (7th qualification NQF level) program majoring 6M010800 - Physical Education and Sports provides a wide range of different forms of monitoring and evaluation of the expected results of learning: current and boundary control (survey on employment, testing on the topics of discipline, test papers, defense practical work, portfolio, etc.), interim certification (tests on sections of discipline, the examination, the defense for the practice reports), final state certification (protection of master's thesis, State interdisciplinary examination). Assessment methods are designed to develop critical thinking, intellectual, oral and written communication, presentation skills, research.
Specialty program includes Pedagogical Placement, which will allow Graduates to learn practice-oriented knowledge and skills in the subject area, the planning and organization of teaching and educational activities, methods of teaching of pedagogical disciplines in the learning process of innovative educational technologies and pedagogical interaction the learner and teacher and etc.
6. Matrix of Disciplines and Special Competences:
| 2. | Methodology and Methods of Researches | * | | | * | | | * | | * | * | * | | | * | * | * | | * | | | | * | * | * |
|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 3 | Management of Physical Culture and Sports | * | | | * | | * | * | * | * | | * | * | * | * | * | * | * | * | * | * | * | | | * |
| 4 | Theory and Strategies of Physical Education at University | * | * | * | * | * | | * | * | * | * | * | * | * | * | * | * | * | * | * | * | * | | * | * |
| 5 | Physiology of Muscle Activity in Sports | * | | * | * | * | * | * | | * | * | * | * | | * | * | * | | * | | | * | * | * | * |
| 6 | Physical Rehabilitation and Recreation | * | * | * | * | * | * | * | * | * | | * | | | * | * | * | | * | | | * | * | * | * |
| 7 | Adaptive Physical Education | * | * | * | * | * | * | * | * | * | | * | | | * | * | * | | * | | | * | * | * | * |
| 8 | Management of Competitive Activity in Olympic Sports | * | * | * | | * | * | * | | * | * | * | * | * | * | * | * | * | * | * | * | * | | | * |
| 9 | Sportmen’s Selection and Orientation Theory (sport type) | * | | * | * | * | * | * | * | | * | * | * | * | * | * | * | * | * | | * | * | | * | * |
| 10 | History of Sports Science | * | | | | | | * | * | * | * | * | | * | * | * | * | | * | * | | * | * | * | * |
| 11 | Theory and Strategies of the Chosen Sport in Higher Education | * | * | * | * | * | | * | * | * | | * | * | * | * | * | * | * | * | * | * | * | | * | * |
| 12 | Mathematical Statistics in Sports | * | | | * | | | | | * | * | | * | * | * | | * | | * | | * | * | * | * | * |
| 13 | Placement (Pedagogical) | * | | * | * | * | | * | | | * | * | * | * | * | * | * | * | * | * | * | * | | | * |
| 14 | Placement (Research) | * | | * | * | | | * | * | * | * | | * | * | * | * | * | | | * | * | | * | * | |
A – knowledge and understanding of:
C– forming judgments:
A1 – fundamental theoretical and methodological knowledge in the field of Physical Culture and Sports;
A2 – psychological and pedagogical knowledge of working in higher education in Physical Culture and Sports;
A3 – knowledge of modern management tools and techniques of functional preparedness as the biological basis of physical and athletic training, physical health engaged in Physical Culture and Sports;
A4 – knowledge of pedagogical and psychological research techniques in "Physical Culture and Sports";
A5 – knowledge of rehabilitation and recreation of health officials at various levels of readiness exercise, mass sports and physical therapy facilities;
C1 – an innovative style of scientific and pedagogical thinking and holistic perception of pedagogical reality;
C2 – independence and initiative thinking, critical, analytical, diagnostic skills;
C3 – awareness of the social importance of scientific and educational activities, adherence to the principles of professional ethics, improving the professional and personal qualities of a teacher, a coach, a research scientist;
C4 – development outlook, activity, self-cognitive, research and creative activity;
C5 – professional-pedagogical self-consciousness, the formation of the need for further personal and professional self-development.
A6 – knowledge of physical education and physical training of persons with disabilities.
B – application of knowledge and understanding:
B1 – independent acquisition and transfer of knowledge, generation of ideas, analysis and synthesis of knowledge-intensive processes for Physical Culture and Sport;
B2 – the introduction of new conceptual ideas and trends in the development of science teaching in the context of the modern paradigm in the field of Physical Culture and Sports education;
B3 – possession of techniques of computer modeling and methods of theoretical analysis of research results;
B4 – possession of methods of obtaining, processing and storage of scientific information, performance, writing, design research products using modern scientific research techniques;
B5 – carrying out diagnostics, selection of optimum modes of learning and
impact on the body of students, people of different age, gender, level of health and fitness, as well as persons with disabilities by means of qualitative and quantitative methods of psycho-pedagogical and medico-biological research; B6 – organizational and management skills of work in educational, scientific and sports departments of institutions and enterprises for Physical Culture and
D – personal abilities:
D1 – the presence of the professional qualities of the teacher personality, knowledge of communication technologies, skills, pedagogical rhetoric, communication strategies;
D2 – the willingness to create new values, the adoption of creative solutions, tolerance and the ability to pedagogical cooperation;
D3 – the pursuit of the development of intellectual, moral, cultural, conformable, natural, communication, organizational and management skills;
D4 – the desire for a high motivation to educational activities, creative application of pedagogical innovation, self-education and self-realization;
D5 – the ability to understand the laws of formation and development of scientific knowledge as a cultural phenomenon;
D6 – the ability to make a contribution through original research that extends the scope of existing knowledge through the development of scientific work;
D7 – the ability to implement the principles of health savings and compliance with occupational safety and health.
Sport.
Specialty program includes discipline (History and Philosophy of Science, Foreign Language, Pedagogy, Psychology), training that is aimed at the formation and development of relevant key competences of Master of Pedagogical Sciences in Specialty «6M010800 – Physical Culture and Sport», set out in paragraph 3.1.
7. Structure and norms of determining the components in educational program «6M010800 – Physical Culture and Sports» (duration 2 years)
| № | Activities | Credits | Weeks |
|---|---|---|---|
| 1 | Theoretical training (1: 2) | 42 | 45 |
| 2 | Research, this including: Defense of Masters Dissertation, carried out while studying (1: 7) | 3 | - |
| | Research, this involves: Defense of Masters Dissertation (1:7) | 4 | 9 |
| 3 | Final Examination (1:6) | 4 | 8 |
| | TOTAL: | 53 | 62 |
| 4 | Placement (Pedagogical) (1:1) | 3 | - |
| 5 | Placement (Research) (1:7) | 3 | 12 |
| 6 | Recess | | 13 |
|---|---|---|---|
| 7 | Examinations | | 9 |
| | TOTAL: | 59 | 96 |
To obtain a master's degree of pedagogical sciences in the specialty «6M010800 – Physical Culture and Sport» Graduates must gain at least 42 credits of theoretical part of study, at least 6 credits of placement and not less than 7 credits of Research. Graduate masters in parallel with theoretical part of study without course delay: Research 3 credits (1 credit per semester) and 3 credits of Pedagogical Placement.
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Students’ Seminar on “Winter Olympics” by Reena Mishra – August 11, 2017
Venue- B.Ed Classroom
Speaker—Reena Mishra
Participants- Mainksha Lama, Anupama K.S, Shubham Kapoor and Cecily Anthony
Organizer- Prof. Sarita Negi
Seminars bring together small groups for focusing on a particular topic in which everyone present is requested to participate. One such seminar by Reena Mishra highlighted various facts regarding Winter Olympics held in India. She told regarding the four Indoor Winter Olympic Games such as Speed Skating, Figure Skating, Curling and Ice Hockey. She informed us all about the place where next winter Olympics will be held.
WHAT SPORTS ARE IN THE YOUTH OLYMPIC GAMES?
There are four Winter Olympic Games Sports that are held indoors: Speed skating, figure skating, curling, and ice hockey. Two sports have mixed events (in which males and females compete together): figure staking and luge.
WHERE WILL BE THE NEXT OLYMPICS?
| CITY | COUNTRY | YEAR |
|------------|-----------|------|
| PYEONGCHANG | SOUTH KOREA | 2018 |
| TOKYO | JAPAN | 2020 |
| BEIJING | CHINA | 2022 |
The students were very active and participated in the class.
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ORDINANCE NO. 2897
AN INITIATIVE ORDINANCE OF THE PEOPLE OF THE CITY OF GARDEN GROVE, ADDING CHAPTER 3.09 TO TITLE 3 OF THE GARDEN GROVE MUNICIPAL CODE, IMPOSING A TRANSACTIONS AND USE (SALES) TAX TO BE ADMINISTERED BY THE CALIFORNIA DEPARTMENT OF TAX AND FEE ADMINISTRATION
City Attorney Summary
This Ordinance, presented to the City's voters for approval at the regular municipal election of November 6, 2018, imposes a 1% sales tax in the City.
WHEREAS, people live in Garden Grove because it offers a better quality of life and better services than other nearby communities; and
WHEREAS, years of state takeaways and changes to state law have severely impacted the City's ability to provide the quality of life services that make Garden Grove a great place to live, work, and raise a family; and
WHEREAS, the State of California has taken millions in local tax dollars from Garden Grove since 1992. The City will continue to lose another $3.5 million dollars every year in General Fund property tax revenues due to the State's required shift of Education Revenue Augmentation Fund (ERAF) and about $13.7 million dollars in Redevelopment/Housing Tax Increment; and
WHEREAS, in 2012, the City was forced to return to the State of California $9.8 million of redevelopment and housing tax increment that has been legally collected for critical economic, redevelopment and housing activities in Garden Grove. In addition, the dissolution of Redevelopment Agencies by the State has required the City's General Fund to pick up prior RDA obligations of $3.9 million each year starting in 2012; and
WHEREAS, since 2009, the City has been forced to adopt General Fund budgets with structural deficits. For Fiscal Year 2018-19 that structural operating deficit has grown to $4.2 million and the City has been using reserves to balance its General Fund operations; and
WHEREAS, in order to balance the FY 2018-19 Budget, various cost-reduction programs were implemented including an early-retirement incentive program and 5% budget reduction. Even with these cuts, the City's structural deficit is projected to increase from $4.2 million to over $75 million dollars annually within the next seven years; and
WHEREAS, eliminating the structural deficit will require additional deep cuts in all service areas, including police, 9-1-1 emergency response times, street, park, and public facilities maintenance; and
Garden Grove City Council Ordinance No. 2897 Page 2
WHEREAS, response times for 9-1-1 calls are critical for stopping crime, protecting victims, and saving lives; and
WHEREAS, this measure will increase funding for neighborhood police patrols, retain officers on the street, and improve law enforcement response times to all neighborhoods in our city; and
WHEREAS, when you have an emergency, seconds count. The majority of calls to the City of Garden Grove's Fire Department are related to medical emergencies; and
WHEREAS, this measure will keep fire stations open and ensure that firefighters and paramedics can quickly respond to emergencies and save lives; and
WHEREAS, public safety is a top priority in Garden Grove and represents 71% of the City's General Fund. However, Public Safety staffing levels have not been restored to pre-recession levels even after making other significant citywide cuts and adding seven additional police officers over the past three fiscal years; and
WHEREAS, due in large part to statewide early prison release laws and voter approved initiatives that have changed many felonies to misdemeanors, overall Part I crimes (e.g., robberies, burglaries, aggravated assault and homicide) have increased by over 45% in Garden Grove since 2015 and homeless/mentally ill calls for service have increased by an alarming 47%; and
WHEREAS, policies enacted by Sacramento politicians like early release from prison and other changes to state laws are putting more criminals back on the street; and
WHEREAS, passing this measure will allow the Garden Grove Police Department to put more officers on the street to patrol neighborhoods and parks, and crack down on drugs and gangs, making our community safer; and
WHEREAS, without a continued local funding source the City will be forced to cut public safety services, including gang and drug prevention; neighborhood police patrols; police officer staffing at local schools; and consider reducing firefighting services. The City needs additional funds to continue to provide citywide crime prevention, gang and youth violence prevention and intervention programs and keep police officers in schools to keep kids off the streets and away from gangs and drugs; and
WHEREAS, this measure will allow the City police department to dedicate officers and resources to keep gang members and drug dealers from nearby communities out of our City, which will keep our neighborhoods safe; and
WHEREAS, the City needs funds to maintain firefighters and paramedics levels, and keep rapid 9-1-1 emergency response times so that people suffering from heart
Garden Grove City Council Ordinance No. 2897 Page 3
attacks, strokes or other medical emergencies continue to receive the immediate, life-saving care they need; and
WHEREAS, the American Heart Association says that brain deterioration starts six minutes after a person stops breathing, but right now our local paramedics only meet that standard 38% of the time; and
WHEREAS, in 2007, more than 11,000 or 85% of calls to 9-1-1 were related to medical emergencies, like heart attacks, strokes, and car accidents; and
WHEREAS, with an aging population, this measure is needed to provide Garden Grove paramedics and firefighters with the staffing and resources they need to respond quickly and effectively to medical emergencies; and
WHEREAS, over the last few decades the City has used General Fund revenues to help support the maintenance of the community's local streets; fund park and playground equipment at the City's 21 neighborhood parks; and maintain City owned buildings, which include Police public safety buildings and fire stations. Going forward, starting with the FY 2019-20 Fiscal Year budget, none of these vital programs will be funded beyond the City's required allocation for OCTA grant eligibility; and
WHEREAS, an independent analysis of Garden Grove's infrastructure found that nearly 40% of our local streets and roads are in fair/very poor condition; and
WHEREAS, this measure will provide a local source of funding to invest in our roads by fixing potholes, curbs and sidewalks, and repaving streets, which will reduce wearand-tear on cars and improve safety for drivers and pedestrians; and
WHEREAS, in light of the structural deficit, additional revenues are needed in order to preserve essential city services and the high quality of life in the City of Garden Grove; and
WHEREAS, this measure will help our local property values by making sure Garden Grove has well-maintained streets, safe and clean neighborhoods, and high quality public safety services, keeping our property values strong; and
WHEREAS, additional revenues will be subject to a clear system of accountability, including public audits and disclosures of all funds spent to ensure that all funds are spent properly; and
WHEREAS, this measure includes strict Citizen Oversight, giving an independent voice in overseeing this measure's funds; and
WHEREAS, all additional revenues raised by this measure will be used to fund essential city services in Garden Grove, and cannot be taken away by the state or used for other purposes.
NOW, THEREFORE, THE PEOPLE OF THE CITY OF GARDEN GROVE HEREBY ORDAIN AS FOLLOWS:
Chapter 3.09 is hereby added to Title 3 of the Garden Grove Municipal Code to read as follows:
CHAPTER 3.09
TRANSACTIONS AND USE TAX
Section 3.09.010. TITLE. This chapter shall be known as the "Garden Grove Transactions and Use Tax Ordinance." The city of Garden Grove hereinafter shall be called "City." This chapter shall be applicable in the incorporated territory of the City.
Section 3.09.020. OPERATIVE DATE. "Operative Date" means the first day of the first calendar quarter commencing more than 110 days after the adoption of the ordinance enacting this chapter, the date of such adoption being as set forth below.
Section 3.09.030. PURPOSE. This chapter is adopted to achieve the following, among other purposes, and directs that the provisions hereof be interpreted in order to accomplish those purposes:
A. To impose a retail transactions and use tax in accordance with the provisions of Part 1.6 (commencing with Section 7251) of Division 2 of the Revenue and Taxation Code and Section 7285.9 of Part 1.7 of Division 2 which authorizes the City to adopt this tax ordinance which shall be operative if a majority of the electors voting on the measure vote to approve the imposition of the tax at an election called for that purpose.
B. To adopt a retail transactions and use tax ordinance that incorporates provisions identical to those of the Sales and Use Tax Law of the State of California insofar as those provisions are not inconsistent with the requirements and limitations contained in Part 1.6 of Division 2 of the Revenue and Taxation Code.
C. To adopt a retail transactions and use tax ordinance that imposes a tax and provides a measure therefore that can be administered and collected by the California Department of Tax and Fee Administration in a manner that adapts itself as fully as practicable to, and requires the least possible deviation from, the existing statutory and administrative procedures followed by the California Department of Tax and Fee Administration in administering and collecting the California State Sales and Use Taxes.
Garden Grove City Council Ordinance No. 2897 Page 5
D. To adopt a retail transactions and use tax ordinance that can be administered in a manner that will be, to the greatest degree possible, consistent with the provisions of Part 1.6 of Division 2 of the Revenue and Taxation Code, minimize the cost of collecting the transactions and use taxes, and at the same time, minimize the burden of record keeping upon persons subject to taxation under the provisions of this chapter.
Section 3.09.040. CONTRACT WITH STATE. Prior to the operative date, the City shall contract with the California Department of Tax and Fee Administration to perform all functions incident to the administration and operation of this transactions and use tax ordinance; provided, that if the City shall not have contracted with the California Department of Tax and Fee Administration prior to the operative date, it shall nevertheless so contract and in such a case the operative date shall be the first day of the first calendar quarter following the execution of such a contract.
Section 3.09.050. TRANSACTIONS TAX RATE. For the privilege of selling tangible personal property at retail, a tax is hereby imposed upon all retailers in the incorporated territory of the City at the rate of one percent (1%) of the gross receipts of any retailer from the sale of all tangible personal property sold at retail in said territory on and after the operative date of the ordinance enacting this chapter.
Section 3.09.060. PLACE OF SALE. For the purposes of this chapter, all retail sales are consummated at the place of business of the retailer unless the tangible personal property sold is delivered by the retailer or his agent to an out-of-state destination or to a common carrier for delivery to an out-of-state destination. The gross receipts from such sales shall include delivery charges, when such charges are subject to the state sales and use tax, regardless of the place to which delivery is made. In the event a retailer has no permanent place of business in the State or has more than one place of business, the place or places at which the retail sales are consummated shall be determined under rules and regulations to be prescribed and adopted by the California Department of Tax and Fee Administration.
Section 3.09.070. USE TAX RATE. An excise tax is hereby imposed on the storage, use or other consumption in the City of tangible personal property purchased from any retailer on and after the operative date of this ordinance for storage, use or other consumption in said territory at the rate of one percent (1%) of the sales price of the property. The sales price shall include delivery charges when such charges are subject to state sales or use tax regardless of the place to which delivery is made.
Section 3.09.080. ADOPTION OF PROVISIONS OF STATE LAW. Except as otherwise provided in this chapter and except insofar as they are inconsistent with the provisions of Part 1.6 of Division 2 of the Revenue and Taxation Code, all of the provisions of Part 1 (commencing with Section 6001) of Division 2 of the Revenue and Taxation Code are hereby adopted and made a part of this chapter as though fully set forth herein.
Section 3.09.090. LIMITATIONS ON ADOPTION OF STATE LAW AND COLLECTION OF USE TAXES. In adopting the provisions of Part 1 of Division 2 of the Revenue and Taxation Code:
A. Wherever the State of California is named or referred to as the taxing agency, the name of this City shall be substituted therefor. However, the substitution shall not be made when:
1. The word "State" is used as a part of the title of the State Controller, State Treasurer, State Treasury, or the Constitution of the State of California;
2. The result of that substitution would require action to be taken by or against this City or any agency, officer, or employee thereof rather than by or against the California Department of Tax and Fee Administration, in performing the functions incident to the administration or operation of this chapter.
3. In those sections, including, but not necessarily limited to sections referring to the exterior boundaries of the State of California, where the result of the substitution would be to:
a. Provide an exemption from this tax with respect to certain sales, storage, use or other consumption of tangible personal property which would not otherwise be exempt from this tax while such sales, storage, use or other consumption remain subject to tax by the State under the provisions of Part 1 of Division 2 of the Revenue and Taxation Code, or;
b. Impose this tax with respect to certain sales, storage, use or other consumption of tangible personal property which would not be subject to tax by the state under the said provision of that code.
4. In Sections 6701, 6702 (except in the last sentence thereof), 6711, 6715, 6737, 6797 or 6828 of the Revenue and Taxation Code.
B. The word "City" shall be substituted for the word "State" in the phrase "retailer engaged in business in this State" in Section 6203 and in the definition of that phrase in Section 6203.
Section 3.09.100. PERMIT NOT REQUIRED. If a seller's permit has been issued to a retailer under Section 6067 of the Revenue and Taxation Code, an additional transactor's permit shall not be required by this chapter.
Section 3.09.110. EXEMPTIONS AND EXCLUSIONS.
Garden Grove City Council
A. There shall be excluded from the measure of the transactions tax and the use tax the amount of any sales tax or use tax imposed by the State of California or by any city, city and county, or county pursuant to the Bradley-Burns Uniform Local Sales and Use Tax Law or the amount of any state-administered transactions or use tax.
B. There are exempted from the computation of the amount of transactions tax the gross receipts from:
1. Sales of tangible personal property, other than fuel or petroleum products, to operators of aircraft to be used or consumed principally outside the county in which the sale is made and directly and exclusively in the use of such aircraft as common carriers of persons or property under the authority of the laws of this State, the United States, or any foreign government.
2. Sales of property to be used outside the City which is shipped to a point outside the City, pursuant to the contract of sale, by delivery to such point by the retailer or his agent, or by delivery by the retailer to a carrier for shipment to a consignee at such point. For the purposes of this paragraph, delivery to a point outside the City shall be satisfied:
a. With respect to vehicles (other than commercial vehicles) subject to registration pursuant to Chapter 1 (commencing with Section 4000) of Division 3 of the Vehicle Code, aircraft licensed in compliance with Section 21411 of the Public Utilities Code, and undocumented vessels registered under Division 3.5 (commencing with Section 9840) of the Vehicle Code by registration to an out-of-City address and by a declaration under penalty of perjury, signed by the buyer, stating that such address is, in fact, his or her principal place of residence; and
b. With respect to commercial vehicles, by registration to a place of business out-of-City and declaration under penalty of perjury, signed by the buyer, that the vehicle will be operated from that address.
3. The sale of tangible personal property if the seller is obligated to furnish the property for a fixed price pursuant to a contract entered into prior to the operative date of the ordinance enacting this chapter.
4. A lease of tangible personal property which is a continuing sale of such property, for any period of time for which the lessor is obligated to lease the property for an amount fixed by the lease prior to the operative date of this chapter.
5. For the purposes of subparagraphs (3) and (4) of this section, the sale or lease of tangible personal property shall be deemed not to be obligated pursuant to a contract or lease for any period of time for which any party
to the contract or lease has the unconditional right to terminate the contract or lease upon notice, whether or not such right is exercised.
C. There are exempted from the use tax imposed by this chapter, the storage, use or other consumption in this City of tangible personal property:
1. The gross receipts from the sale of which have been subject to a transactions tax under any state-administered transactions and use tax ordinance.
2. Other than fuel or petroleum products purchased by operators of aircraft and used or consumed by such operators directly and exclusively in the use of such aircraft as common carriers of persons or property for hire or compensation under a certificate of public convenience and necessity issued pursuant to the laws of this State, the United States, or any foreign government. This exemption is in addition to the exemptions provided in Sections 6366 and 6366.1 of the Revenue and Taxation Code of the State of California.
3. If the purchaser is obligated to purchase the property for a fixed price pursuant to a contract entered into prior to the operative date of this chapter.
4. If the possession of, or the exercise of any right or power over, the tangible personal property arises under a lease which is a continuing purchase of such property for any period of time for which the lessee is obligated to lease the property for an amount fixed by a lease prior to the operative date of this chapter.
5. For the purposes of subparagraphs (3) and (4) of this section, storage, use, or other consumption, or possession of, or exercise of any right or power over, tangible personal property shall be deemed not to be obligated pursuant to a contract or lease for any period of time for which any party to the contract or lease has the unconditional right to terminate the contract or lease upon notice, whether or not such right is exercised.
6. Except as provided in subparagraph (7), a retailer engaged in business in the City shall not be required to collect use tax from the purchaser of tangible personal property, unless the retailer ships or delivers the property into the City or participates within the City in making the sale of the property, including, but not limited to, soliciting or receiving the order, either directly or indirectly, at a place of business of the retailer in the City or through any representative, agent, canvasser, solicitor, subsidiary, or person in the City under the authority of the retailer.
7. "A retailer engaged in business in the City" shall also include any retailer of any of the following: vehicles subject to registration pursuant to Chapter 1 (commencing with Section 4000) of Division 3 of the Vehicle Code,
aircraft licensed in compliance with Section 21411 of the Public Utilities Code, or undocumented vessels registered under Division 3.5 (commencing with Section 9840) of the Vehicle Code. That retailer shall be required to collect use tax from any purchaser who registers or licenses the vehicle, vessel, or aircraft at an address in the City.
D. Any person subject to use tax under this chapter may credit against that tax any transactions tax or reimbursement for transactions tax paid to a district imposing, or retailer liable for a transactions tax pursuant to Part 1.6 of Division 2 of the Revenue and Taxation Code with respect to the sale to the person of the property the storage, use or other consumption of which is subject to the use tax.
Section 3.09.120. AMENDMENTS. All amendments subsequent to the effective date of this chapter to Part 1 of Division 2 of the Revenue and Taxation Code relating to sales and use taxes and which are not inconsistent with Part 1.6 and Part 1.7 of Division 2 of the Revenue and Taxation Code, and all amendments to Part 1.6 and Part 1.7 of Division 2 of the Revenue and Taxation Code, shall automatically become a part of this chapter, provided however, that no such amendment shall operate so as to affect the rate of tax imposed by this chapter.
Section 3.09.130. ENJOINING COLLECTION FORBIDDEN. No injunction or writ of mandate or other legal or equitable process shall issue in any suit, action or proceeding in any court against the State or the City, or against any officer of the State or the City, to prevent or enjoin the collection under this chapter, or Part 1.6 of Division 2 of the Revenue and Taxation Code, of any tax or any amount of tax required to be collected.
Section 3.09.140. SEVERABILITY. If any provision of this chapter or the application thereof to any person or circumstance is held invalid, the remainder of the chapter and the application of such provision to other persons or circumstances shall not be affected thereby.
Section 3.09.150. EFFECTIVE DATE. This chapter and the ordinance enacting it relates to the levying and collecting of the City transactions and use taxes and shall take effect immediately.
Section 3.09.160. CITIZEN OVERSIGHT COMMITTEE. The City shall empanel a Citizen's Oversight Committee to review and report on the revenue and expenditure from funds raised under the tax adopted by this chapter.
Section 3.09.170. ANNUAL INDEPENDENT AUDITS. The City shall ensure that annual independent audits are conducted to account for the tax revenues received and expenditures made in relation to the one percent (1%) transaction and use tax. Such audits will be provided to the Citizens' Oversight Committee for their review.
Garden Grove City Council Ordinance No. 2897 Page 10
The foregoing Ordinance was passed by the City Council of the City of Garden Grove on the 27 th day of November 2018.
ATTEST:
/s/ STEVEN R. JONES
MAYOR
/s/ TERESA POMEROY, CMC _______
CITY CLERK
STATE OF CALIFORNIA)
COUNTY OF ORANGE) SS:
CITY OF GARDEN GROVE )
I, TERESA POMEROY, City Clerk of the City of Garden Grove, do hereby certify that the foregoing Ordinance was introduced for first reading and passed to second reading on November 13, 2018, with a vote as follows:
AYES: COUNCIL MEMBERS:
(7) BEARD, O'NEILL, NGUYEN T., BUI, KLOPFENSTEIN, NGUYEN K., JONES
NOES: COUNCIL MEMBERS: (0) NONE
ABSENT: COUNCIL MEMBERS: (0) NONE
and was passed on November 27, 2018, by the following vote:
AYES: COUNCIL MEMBERS: (7) BEARD, O'NEILL, NGUYEN T., BUI,
KLOPFENSTEIN, NGUYEN K., JONES
NOES: COUNCIL MEMBERS: (0) NONE
ABSENT: COUNCIL MEMBERS: (0) NONE
/s/ TERESA POMEROY, CMC
CITY CLERK
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The Selection and Use of Electrical Insulating Gloves of Electricians in HKSAR
By Lai Man Fai
A report submitted as partial fulfillment of the requirements for Master of Applied Science (Safety Management)
December 2002
Declaration of Originality
The following work has been completed by the author as coursework research project report in the Master of Applied Science (Safety Management) at the University of Western Sydney in conjunction with the Hong Kong Polytechnic University under the supervision of Mr. Gary Ma.
I hereby declare that this submission is my own work and that, to the best of my knowledge and belief, it contains no material that has been previously published or written by another person nor material which to a substantial extent has been accepted for the award of any other degree or diploma of a University or other institute of higher learning, except where due acknowledge has been made in the text.
_____________________
Lai Man Fai
Acknowledgements
With specific reference to this project, acknowledgement of the following is imperative:
- Mr. Gary Ma for his guidance in his capacity as Supervisor with respect to the overall project planning, setting milestones, monitoring progress, facilitating trade connections and providing helpful guides in data analysis.
- Mr. Chu Yuk Ching, Duty Administrative Officer of Hong Kong & Kowloon Electrical Engineering and Trade Workers Union for his assistance in distribution and subsequent collection of survey questionnaires to the members of the Trade Union.
- Mr. Law On Shing, Building Service Engineer of Hong Yip Property Management, who facilitated the interviews with electrical workers in the pilot study.
- The Electrical and Mechanical Service Department (EMSD) for the provision of Registered Electrical Workers (REW) lists.
- Finally, the contractors and REW who participated in the pilot study and questionnaire survey.
Abstract
There are over 50,000 Registered Electrical Workers (REW) in Hong Kong Special Administrative Region (HKSAR). The average number of electrical accidents is 56 cases per annum over the past eight years. Electrocution has been one of the highest fatal accident rate amongst all industrial mishaps. Uses of insulating gloves are often prescribed after an electrical accident. In searching the documentation on 402 electrocution cases of the National Institute for Occupational Safety and Health of USA (NIOSH), concluded that 95 cases could have been prevented with uses of insulating gloves and other personal protective equipment (PPE).
In Hong Kong SAR, the application of insulating gloves has neither been popular in the workplaces or nor been appropriately placed in the hierarchy of hazard control. Instead of being applied as the last line of defence, the apparent simplicity of insulating gloves was used in common sense for live working without due electrical risk assessment. Further review on international standards of insulation gloves for live working indicated that the standards were mainly specification on manufacturing and testing of gloves under laboratory conditions. There is no official guideline on the selection and use of insulating gloves in work environments.
Given the aforementioned, a study consisted of literature review, pilot interview and questionnaire survey was conducted on a group of random sampled REW amongst the contracting branch, servicing branch, power supply companies and trade unions. Salient findings were:
90% of the electricians of the surveyed 216 samples had encountered live work and 21% did not isolate the power in their daily work.
Inadequate risk assessment and electrical shock hazard elimination procedures in their routine jobs.
81% of the electricians did not wear insulating gloves, with mostly the perception of lost of dexterity and lack of grip.
Incomprehensive knowledge in selection of suitable insulating gloves.
Inadequate training and skill in the use and maintenance of insulating gloves.
The findings conclusively confirmed the need of guidelines on selection, and care of insulating gloves. Technical guides on the selection, use and maintenance were prepared and recommended for the REW in HKSAR, based on the survey results. For easy reference of electrical workers in the trade, a draft “Guidance Notes” on the issues was also prepared, as an attachment of the project report.
# Table of Contents
| Section | Page |
|----------------------------------------------|------|
| Statement | ii |
| Acknowledgements | iii |
| Abstract | iv |
| Table of Contents | vi |
| Contents of the Study | xi |
| List of Tables | xii |
| List of Figures | xiv |
| List of Illustrations | xv |
| List of Abbreviation | xvi |
1. Introduction
- 1.1 Background
- 1.2 Legal Requirements and Codes of Practices on Insulating Gloves
- 1.3 Statement of the Problem
- 1.4 Delimitation of the Problem
2 The Study of Related Literature
- 2.1 Literature Review on Electrical Safety
- 2.1.1 General Perception of Safety
- 2.1.2 Understanding Risks
- 126.96.36.199 Cultural Theory
- 188.8.131.52 Risk Compensation Theory
| Section | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 2.1.3 | Electrical Hazards | 10 |
| | 184.108.40.206 Shock | 10 |
| | 220.127.116.11 Burns | 11 |
| | 18.104.22.168 Falls | 12 |
| | 22.214.171.124 Explosion | 12 |
| 2.1.4 | Systemic Approach in Electrical Safety | 12 |
| 2.2 | Protective Strategies | 13 |
| | 2.2.1 Safe System of Work | 14 |
| | 2.2.2 Key Elements of a Safe System of Work | 14 |
| | 2.2.3 Risk Assessment | 15 |
| | 2.2.4 Personal Protection Devices | 17 |
| | 2.2.5 Selection and Use of PPE | 24 |
| 2.3 | Overview of Personal Protection | 26 |
| | 2.3.1 Hierarchy of Control on Electrical Hazards | 27 |
| | 2.3.2 Live Work and Isolation | 28 |
| 2.4 | National Standard and Specification of Electrical Protective Gloves | 32 |
| | 2.4.1 BS EN60903: 1993 Specification for Gloves and Mitts of Insulating Material for Live Working | 32 |
| | 2.4.2 Designation: D120-95 of ASTM Standard 1996 | 34 |
| | 2.4.3 Designation: F496-95a Standard Specification for In-Service Care of Insulating Gloves and Sleeve | 36 |
| | 2.4.4 BS 697: 1986, Specification for Rubber gloves for electrical purposes | 37 |
| | 2.4.5 AS 2225 – 1994, Insulating gloves for electrical purposes | 38 |
| | 2.4.6 JIS T 8112, Rubber gloves for electrical insulation | 39 |
| Section | Page |
|------------------------------------------------------------------------|------|
| 2.4.7 GB 17622 – 1998 Insulating gloves for live working, | 39 |
| 帶m作絕緣手套. | |
| 2.4.8 BS EN420: 1994, General Requirements for Gloves | 40 |
| 2.5 Summary: What is Known and What is Not Know | 41 |
| 3 Survey on the Selection and Use of Insulating Gloves | 43 |
| 3.1 Objectives of the Study | 43 |
| 3.2 Methodology | 44 |
| 3.2.1 Pilot Study | 44 |
| 3.2.2 Scope of Study | 45 |
| 3.2.3 Sampling Strategy | 47 |
| 3.2.4 Questionnaire Design | 48 |
| 4 Results of the Study | 51 |
| 4.1 Profile of the Collected Information | 51 |
| 4.2 Profile of the Electricians under study | 53 |
| 4.2.1 Age Distribution | 53 |
| 4.2.2 Education Level | 54 |
| 4.2.3 Years of Electrical Work Experience | 55 |
| 4.2.4 Risk Assessment and Safety Activities | 57 |
| 4.2.5 Live Electrical Working | 58 |
| 4.2.6 Experience of Insulating Gloves | 60 |
| 4.2.7 Where Were Insulating Gloves Obtained | 63 |
| 4.2.8 Selection Criteria | 64 |
| 4.2.9 Use of Insulating Gloves | 66 |
| 4.2.10 Inspection and Tests of Gloves | 68 |
4.2.11 Allergy 69
5 Summary, Conclusions and Recommendations 70
5.1 Summary of Salient Findings 70
5.2 Conclusions 72
5.3 Recommendations 73
5.3.1 Selection Guides 73
126.96.36.199 Maximum Usage Voltage 74
188.8.131.52 Special contact requirements 75
184.108.40.206 Dexterity requirements 76
220.127.116.11 Grip requirements 76
18.104.22.168 Size and fit 76
22.214.171.124 Puncture, snag, tear and cut resistant 79
126.96.36.199 Allergic reaction 79
5.3.2 Application Guide 80
188.8.131.52 Air Test 81
184.108.40.206 Hand Rolling and Pinch Rolling 82
220.127.116.11 Stretching 83
18.104.22.168 Electrical Retesting 83
22.214.171.124 Precautions in Use 83
126.96.36.199 Damaged Gloves 84
5.3.3 Maintenance Guide 85
188.8.131.52 Storage 85
184.108.40.206 Repairs 85
220.127.116.11 Record Keeping 85
5.4 Recommendations for Further Studies 86
| Reference | 87 |
|-----------|----|
| Appendix A – Guidance Note on Selection, Use and Maintenance of Insulating Gloves | 94 |
| Appendix B – Questionnaire (English) of the Survey | 112 |
| Appendix C – Questionnaire (Chinese) of the Survey | 117 |
Content of the Study
In Chapter One, electrical accident statistics in HKSAR and the apparent safety problems associated with the use of insulating gloves, alone with the background of the study are presented. The importance of the study to the industry is highlighted and the aim is established. Delimitations of the research are explained.
Chapter Two is a review of the literature surveyed for the study. General perception of safety and potential electrical hazards are briefly addressed. Protective Strategies in terms of safe system of work and risk assessment are explained. Hierarchy of control on electrical hazards, legal requirement on live work and codes of practices on isolation are studied. National Standard and specification of electrical protective gloves are reviewed. What is known and what is apparently not known are summarized at the end of this Chapter.
Based on established study aim and the summary of reviewed literature, Chapter Three sets out the objectives of the study. The methodology of the survey, including pilot study, scope of work, sampling strategy and questionnaire design are explained in details.
Results of the study are discussed in Chapter Four. Graphical presentations of the finding are included to assist the interpretation, elucidation and elaboration of the findings.
In Chapter Five, the survey results are summarized, and the conclusions reached are presented. Recommendations based on the study and findings of the survey are presented at the end of report.
| Table No | Title | Page |
|----------|----------------------------------------------------------------------|------|
| Table 1 | Effects of current passing through human body | 11 |
| Table 2 | Classification of Work Category | 18 |
| Table 3 | Grouping of Personal Protective Equipment | 20 |
| Table 4 | Selection Specification | 22 |
| Table 5 | Selection protocol of PPE | 25 |
| Table 6 | Safety Distance between Workers and Lived Equipment | 31 |
| Table 7 | Maximum use voltage for the 6 classes of glove | 32 |
| Table 8 | Proof-Test/Use Voltage Relationship | 35 |
| Table 9 | Thickness of gloves | 37 |
| Table 10 | Classification of Insulating Gloves in JIS T 8112 | 39 |
| Table 11 | Maximum Usage Voltage of Insulating Gloves | 40 |
| Table 12 | REW in HKSAR as at February 2002 | 46 |
| Table 13 | Dispatches of Questionnaires | 51 |
| Table 14 | Summary of Survey Reply | 51 |
| Table 15 | Comparisons of Sample and Population Distribution | 52 |
| Table 16 | Age Group of Surveyed Samples | 53 |
| Table 17 | Education Level of Surveyed Sample | 54 |
| Table 18 | Electrical Work Experience of Surveyed Samples | 55 |
| Table 19 | Demographic Characteristics of the Surveyed Sample | 56 |
| Table 20 | Response of REW on Job Safety Activities | 57 |
| Table 21 | Response of REW on Live Work Frequency | 58 |
| Table 22 | Job Nature of Live Work | 59 |
| Table | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| 23 | Rely of REW on use of electrical gloves | 60 |
| 24 | Ranking of Reasons on NOT wearing insulating gloves | 61 |
| 25 | Rely of REW on “Where to obtain insulating gloves” | 63 |
| 26 | Consideration Factors of REW on selection of insulating gloves | 64 |
| 27 | Response of REW on inspection and tests on insulation gloves prior to use | 68 |
| 28 | Response of REW on dermatitis and irritants | 69 |
| 29 | Maximum use voltage for various classes of insulating gloves | 74 |
| 30 | Special properties of insulating gloves of BS EN60903.1993 | 75 |
| 31 | Special properties of insulating gloves of D120-95 of ASTM | 75 |
| 32 | Corresponding glove sizes | 77 |
| 33 | Typical gloves dimensions | 78 |
| 34 | Typical strength requirement of insulating gloves | 79 |
| 35 | Typical application of insulating gloves | 80 |
| Figure No | Title | Page |
|-----------|----------------------------------------------------------------------|------|
| Figure 1 | Distribution of Electrical Workers in Trade | 2 |
| Figure 2 | Number of Electrical Accidents from 1992 to 1999 | 3 |
| Figure 3 | Proposed System Approach in Electrical Safety by EMSD | 13 |
| Figure 4 | Inverted Pyramid of Hazard Control | 27 |
| Figure 5 | Flowchart to assist questionnaire design | 49 |
| Figure 6 | Age Distribution of REW in Study | 53 |
| Figure 7 | Education level attained by Surveyed REW | 54 |
| Figure 8 | Electrical Work Experience of Surveyed REW | 55 |
| Figure 9 | Risk Assessment and Safety Activities of Surveyed REW | 57 |
| Figure 10 | Frequency of Live Work | 58 |
| Figure 11 | Nature of Live Work which electricians encountered | 59 |
| Figure 12 | Experience of Using Insulating Gloves | 60 |
| Figure 13 | Responses to the question “Why NOT use?” | 62 |
| Figure 14 | Sources of Insulating Gloves | 63 |
| Figure 15 | Selection criteria rated by electricians | 65 |
| Figure 16 | REW who had read manufacturer’s instruction | 66 |
| Figure 17 | REW who had an established PPE program of insulating gloves | 67 |
| Figure 18 | Response of REW on storage practice | 67 |
| Figure 19 | Response of REW in reply to the testing and inspection on their | 68 |
| | insulating gloves. | |
| Figure 20 | REW who had experienced dermatitis and irritants | 69 |
| Illustration | Title | Page |
|-------------|----------------------------------------------------------------------|------|
| Illustration 1 | Special properties of insulating gloves of D120-95 of ASTM | 77 |
| Illustration 2 | Inflate the glove with air | 77 |
| Illustration 3 | Held the inflated glove close to the ear to detect for leaks | 81 |
| Illustration 4 | Rolling between the hand to inspect cracks, cuts, scratches and irregularities | 82 |
| Illustration 5 | Pinching is to squeeze the gloves by fingers to pinpoint the irregularities of a small area. | 82 |
| Illustration 6 | To stretch the crotches area to check for irregularities | 83 |
| Abbreviation | Description |
|--------------|-------------|
| ac | Alternating current |
| AS/NZS | Australian/New Zealand Standard |
| ASTM | American Society for Testing and Materials |
| BS | British Standard |
| dc | Direct current |
| EAWR | The Electricity at Work Regulations |
| EMSD | Electrical and Mechanical Services Department o HKSAR |
| EN | European Standard |
| F&IUR | Factories and Industrial Undertakings Regulations |
| GB | The National Standard of PRC |
| HKIE | Hong Kong Institution of Engineers |
| HKSAR | Hong Kong Special Administrative Region |
| IEC | International Electro technical Commission |
| IEE | The Institution of Electrical Engineers |
| JIS | Japanese Industrial Standard |
| JSA | Job Safety Analysis |
| NASD | The National Ag Safety Database |
| NIOSH | National Institute for Occupational Safety and Health |
| NOHSC | National Occupational Health and Safety Commission |
| OSHA | Occupational Safety & Health Administration of US |
| OSHR | Occupation Safety and Health Regulations |
| PHR | Process Hazard Review |
| PPE | Personal protective equipment |
| PRC | The People’s Republic of China |
| Abbreviation | Description |
|--------------|------------------------------|
| RCDs | Residual Current Devices |
| REW | Registered Electrical Worker |
| r.m.s. | root mean square |
| RTS | Return to sender |
| v | Voltage |
| VTC | Vocational Training Council |
1. Introduction
This project focuses on the selection and care of insulating gloves used by electrical workers in Hong Kong Special Administrative Region (HKSAR) and recommends improvements based on the research findings.
In the study of safe isolation of electricity at work (Occupational Safety and Health Branch, 2002), it was revealed that live work practices were common in Hong Kong and there were various reasons for failing to isolate power source at work. Insulating gloves, as well as other types of personal protective equipment, are effective; provided that their applications are correctly placed in the context of the hazard control hierarchy. The apparent simplicity of insulation gloves often being wrongly applied by electricians as the first choice to reduce injuries or damages in live working. Factors in effective selection and care of insulating gloves are grossly underestimated.
Background and contextual information of this project is explained in the following sections. The purpose of this study and its delimitations are elucidated at the end of the chapter.
1.1 Background
In the manpower survey of Vocational Training Council (VTC, 1997), there were 51431 workers in the electrical industry and their distributions in the trade are as shown in Figure 1.

According to the VTC (1997), 35% of the workers in trade, did not receive formal craft skill training and with education level below Form 5. As commented by the Training Board of Electrical and Mechanical Services (VTC, 1997), there is a concern on the quality and safety standard of work carried out by those tradesmen without completing the craft courses and employed in the industry. The operative job nature, lack of formal structure training and comparatively low education, expose craftsman of the trade at higher risk of electrical shock.
Electrical incidents have been one of highest fatal accident rate amongst all industrial mishaps in HKSAR. The average number of electrical incidents, which involves contact with electricity or electric discharge, is over 56 cases per annum over the past eight years. Recent statistics on electrical accidents are as shown in Figure 2.
Figure 2. Number of Electrical Accidents from 1992 to 1999 (Source: Annual Report of Labour Department, 1993 – 2000)
Personal protective equipment (PPE) is commonly prescribed after an accident, as a measure to prevent reoccurrence (Nill, 1999). Detailed electrical accident reports have not been published by the local Labour Department. In searching the in-house documentation on 402 cases of electrocution studies conducted by The National Institute for Occupational Safety and Health (NIOSH) of US, recommendations on uses of insulating gloves and PPE to control or to prevent future electrical accidents are identified in 95 documents (FACEWeb, 2000). The importance on proper uses of protective gloves for electricians on accident prevention is emphasized.
1.2 Legal Requirements and Codes of Practices on Insulating Gloves
Local regulations on electrical safety, Factories and Industrial Undertakings (Electricity) Regulations, demands the employer on provision and upkeep of insulating gloves and other protective equipment, while the employee shall make proper use of the provided protective equipment. There is, however, no official guideline on selection and use of gloves for electricians in HKSAR.
The apparent simplicity of electrical protective gloves may result in a gross underestimation of the amount of effort and expense required to effectively use of this equipment to electrical workers. At the operation level, common sense estimations often overruled the consensus standard. The study is focused on the following areas to ensure effective protection of electrical gloves on electricians:
- Hazard Evaluation
- Selection
- Fitting
- Training and Education
- Maintenance and Repair
1.3 Statement of the Problem
The purpose of this study is to seek an overview and improvement on the selection and use of insulating gloves of electricians in the Hong Kong Special Administrative Region.
This study aim could be met by answering the following questions:
- What are the current safety practices of electricians in execution of their daily jobs?
- How do the application of appropriate gloves reduce the chance of electric shock?
- What are the considerations of suitable insulating gloves for electricians in HKSAR?
- How to use insulating gloves correctly at work?
- What to be done to upkeep and maintain insulating gloves?
The listed questions had been transformed into the main objectives of this study in Chapter 3, subsequent to the review of related literatures.
1.4 Delimitation of the Problem
This study will consider electricians as Registered Electrical Workers (REW) under the Electricity (Registration) Regulation (Chapter 406, 1990) in either one of the following categories.
- Grade A – electrical work on low voltage fixed electrical installation of maximum demand not exceeding 400A, single or three phase.
- Grade B – electrical work on low voltage fixed electrical installation of maximum demand not exceeding 2500A, single or three phase.
- Grade C – electrical work on low voltage fixed electrical installation of any capacity.
- Grade H – electrical work on high voltage fixed electrical installation.
- Grade R – electrical work on neon sign installation, air conditioning, or generating facility.
Similarly, study samples will only be drawn from the potential pool of REW in power supply companies, trade unions, contracting branch and servicing branch as discussed in Chapter 3.
2 The Study of Related Literature
2.1 Literature Review on Electrical Safety
2.1.1 General Perception of Safety
Safety has been defined almost unlimitedly. In the Occupational Safety and Health Convention (1981) of the International Labour Organisation, the term safety, in relation to work, is considered as without risk to health, where health not merely means the absence of disease or infirmity, it also includes the physical and mental elements affecting health which are directly related industrial hygiene (Occupational Safety and Health Convention, 1981).
Recent safety professions in Mainland China opt the view that safety shall mean free from danger, unthreatened and accident free (Yeung, 1999). Safety in production processes is focused on safeguard of workers from injuries and occupational diseases; protection of plant equipment from losses. Mathematically, safety can be expressed as Equation 1 (Yeung 1999):
\[ S = 1 - D. \]
(1)
where \( S \) is the degree of safe and \( D \) is the degree of danger.
Safety studies are practically the study of risk and harm. In the Tenth Annual Symposium of the Hong Kong Institution of Engineers (Electrical Division), safety was regarded as “a morally acceptable degree of risk”, which implied the assumption that safety was a relative concept and assessment had to be conducted prior to work (Powell, 1992).
2.1.2 Understanding Risks
In general, we tend to be overoptimistic about the risk that we face (Mohanna and Chambers, 2000). Very often misperception on risks exists; towards the illusion of invulnerability and complacency. Correct perception of risk is a prerequisite in all safety activities, misplaced optimism may result in a barrier to hazard analysis and subsequent control actions. In simple terms, risk can be defined as the probability that a hazard will give rise to harm.
18.104.22.168 Cultural Theory
Cultural theorist opts the view that “personality” affect individuals on the understanding of risk and subsequent risk-taking behavior. According to the cultural theory model, there are 4 main types of “personality” (Mohanna and Chamber 2000):
- **Individualists** – They emphasize the individual responsibility to minimize personal risk. Individualists have a strong sense of personal autonomy and may resent suggestion of safety professions.
- **Hierarchists** – This group of people adopts the epidemiological base to evidence which is opposite to individualists.
- **Egalitarians** – They have a tendency to distrust experts and the context within which risks are viewed is a social construct. Understanding and therefore avoiding risk can be improved by public participation.
- **Fatalist** – They diminish the importance of the group experience as a provider of evidence about outcomes and tend not to recognize the role of society as a force or a source of support. They perceive risks as part of the increasing complexity of modern
life, against which they have no defense.
The fundamental of culture theory is based on how we look at the world and the experience, which we have learnt from our life. In workplace, we do experience worker adopts opposite “personality” when confronted with different work situations.
22.214.171.124 Risk Compensation Theory
Adam (1995) suggested that we all, to some extent, build an element of uncertainty into our life to increase reward. He further proposed that there is a “risk thermostat” to balance risk taking and the value we placed on the reward. The basic assumption of this theory is summarized as follows (Mohanna and Chamber 2000)
- Everyone has propensity to take risk
- This propensity depends on the potential reward of risk taking
- Individual risk-taking decisions are a balanced act on perceptions of risk against potential rewards.
The risk compensation theory develops along the same lines of thinking on the acceptability of risk. The thinking comes from a legal case, Edwards v NCB [1949] (cited in McGuinness and Smith, 1999), in which it was judged that a computation must be made where the quantum of risk is placed on one scale and the sacrifice involved in the measure for averting the risk is placed on the other. One of the shortcomings of this risk compensation theory would seem to define accidents as consequence of risk taking and individual decisions which is a result of a balancing act between the effects those accidents have on us and the value we place on the rewards. This may contradict with safety professionals on elimination of hazards and move towards total abolition of accidents.
The perceptions of safety vary dramatically among individuals. Safety behaviors and attitudes at work are being driven by appropriate risk perception. It would be necessary to appreciate the general safety concepts of the electrical workers in the study by formulating structure questions in the interviews and questionnaires.
2.1.3 Electrical Hazards
Electrical safety involves a thorough understanding on the electrical hazards so that we will have the correct perception in development of protective strategies. The National Institute for Occupational Safety and Health has prepared a student manual of Safety and Health for Electrical Trade (NIOSH Publication No. 2002-123), in which electrical hazards are broadly classified as follows.
126.96.36.199 Shock
Electric Shock is the physical stimulation that occurs when electric current passes through the body (Cadick, 2000). The degree of danger from electrical shock depends on the amount, duration, path of the shocking current and the general physical condition of the person receiving shock. The damages of electric shocks arising from varying amount of current passing through the body are summarized in Table1.
| Current | Reaction |
|-----------------|--------------------------------------------------------------------------|
| 1 milliamp | Just a faint tingle |
| 5 milliamps | Slight shock felt. Disturbing, but not painful. Most people “let go”. |
| | However, strong involuntary movement can cause injury. |
| 6-25 milliamps | Painful shock. Muscular control is lost. This is the range where |
| (women) | “freezing currents” start. It may not be possible to “let go”. |
| 9-30 milliamps | |
| (men) | |
| 50-150 milliamps| Extremely painful shock, respiratory arrest (breathing stops), severe |
| | muscle contractions. Flexor muscles may cause holding on; extensor |
| | muscles may cause intense pushing away. Death is possible. |
| 1-4.3 amps | Ventricular fibrillation (heart pumping action not rhythmic) occurs. |
| | Muscles contract; nerve damage occurs. Death is likely. |
| 10 amps | Cardiac arrest and severe burns occur. Death is probable. |
Table 1 Effects of current passing through human body (Source: Safety and Health for Electrical Trade (NIOSH Publication No. 2002-123))
188.8.131.52 Burns
Burns caused by electricity are frequently third degree burns as a result of burning from the inside. It could be further categorized into 3 main groups (Cadick, 2000):
- Electrical Burns.
- Arc burns
- Thermal contact burns
184.108.40.206 Falls
Even low voltages at 80 a-c volts (Cooper, 1993) can cause violent muscular contraction. One may lose the balance and fall at height. Serious injuries, like bone fractures or even death may be resulted from the fall arising from electrical incident.
220.127.116.11 Explosion
Blasts may follow when an electric arc occurs. As the surrounding air is being superheated, a rapid expansion of air with a wavefront could reach a pressure of 100 to 200 pounds per square foot (Cadick, 2000). Such pressure is sufficient to explode enclosed electrical appliances.
2.1.4 Systemic Approach in Electrical Safety
In the symposium titled “Quest for Quality and Quantity in Electrical Engineering, Hong Kong (1988)”, the representatives of Electrical and Mechanical Services Department (EMSD) proposed a systems approach on the promotion of electrical safety in Hong Kong. It had been emphasized that many personnel and workers engaged in the electrical industry had not received any proper training and they had only gained their knowledge from their daily work (EMSD, 1988). Legislation on electricity safety could only be directive. To assist the industry, it was suggested that Government should publish some technical guidelines in form of code of practice and guidance notes so that the industry can adapt to the safety principles laid down in the legislation more easily. The focus on practical guidelines to be issued is as shown in the block diagrams of Figure 5.
Based on the systemic approach of EMSD, it would seem most beneficial in preparation of a guidebook on the issue to improve electrical safety subsequent to a survey on the selection and use of insulating gloves used by electricians in HKSAR.
2.2 Protective Strategies
The occupation and health legislation of HKSAR, among other safety provisions, follows similar protective strategies as established in the Health and Safety At Work of the UK. Under Section 6A of the Factories and Industrial Undertakings Ordinance, Chapter 59, employers are legally obliged to provide and to maintain “systems of work”, as far as reasonable practical, safe and without risks to health.
2.2.1 Safe System of Work
In the Health and Safety Briefings of The Institution of Electrical Engineers (IEE, 2002), systems of work have a broad meaning which includes:
- Physical layout of the job.
- Sequence in which the work is to be carried out
- Provision of warnings and notices
- Issue of instructions.
- Any subsequent modification and improvements of the established system.
In simple terms, the protection of workers relies on the duty of care of employer under the provision of safe system of work (Labour Department, 1990). The obligation on the employer is threefold:
- Provision of a competent person
- Adequate material and plant
- Effective supervision
2.2.2 Key Elements of a Safe System of Work
The process to develop a modern safe system of work (IEE, 2002) is to identify the hazards, with reasonable care and precautions, and then to:
- make a risk assessment
● determine what can be done to remove the identified hazards.
● formalize the hazard control steps into procedures.
● include in the procedure the use of permit to work coupled with physical lockout systems.
● monitor the observance
● feed-back failures in system
● rectify defects and modify system
● keep monitoring and continuous improvement.
The safe system of work can be considered as a formal procedure which results from systematic examination of a task in order to identify all the hazards. It defines safe methods to ensure that hazards are eliminated (Labour Department, 1990)
2.2.3 Risk Assessment
The Management of Health and Safety at Work Regulations (1999) of UK defines risk assessment as identifying the hazards present in any undertaking and then evaluate the extent of the risks involved, taking into account whatever precautions are already being taken. It further defines hazard as potential harm and risk as the likelihood of the harm from a particular hazard being realized.
In Hong Kong, the Factories and Industrial Undertakings Regulations and the Occupational Safety and Health Regulations require common risks to be assessed. It is the legal duty of employers to assess certain risks to identify what has to be done to protect workers from harm. The Safety Management Regulation (2000) of HKSAR further sets out the requirement in establishment of a program to identify hazardous exposure or the risk of
such exposure to the workers. Proposed engineering controls and provision of suitable personal protective equipment are one of the key elements stipulated in the Safety Management System to be adopted. It is important to note that very specialized risks, such as electrical hazards, has not been set out in the Factory and Industrial Undertakings (Electricity) Regulations or the Electricity Ordinance.
The Factories and Industrial Undertakings (Electricity) Regulations was established in 1982 on a prescriptive basis. The clauses on electrical safety requirements are focused on the construction and usage of circuit breakers, switchboards, electrical motors; insulation and protection of conducts. There is neither requirement on assessment of electrical hazard at work nor implementation of controls on identified electrical hazards. The Electricity Ordinance has come into operation since 1990. It consists of sets of regulations on safety requirement of electricity supply, registration of electrical workers, installation of wiring and safety provisions on electrical products. There is, however, no provision on risk assessment of electrical shock hazards at work places.
2.2.4 Personal Protection Devices
The protection of worker in Mainland China follows similar protective strategies. The Labour Law of The People’s Republic of China (PRC) was adopted at the Eight Meeting of the Standing Committee of the Eighth National People’s Congress on July 5, 1994 and came into effective in January 1, 1995. In Article 52, employing units are required to establish and perfect the system of occupational safety and health through the follows.
- Provision of safety education among labour.
- Prevention of accidents in the process of work, and
- Elimination occupational hazard in workplaces.
It should be noted that these fundamentals of worker protection is stated unequivocally in the National Standard of PRC, GB 11651 – 89, Selection rules of articles for labour protection use. The Labour Department of PRC has categorized 38 hazardous work classes, according to the potential harms of the energy or material associated with the work characteristic or the specific work conditions, as shown in Table 2.
| 編 (Ref. No) | 作業別名稱 (Work Categories) | Remark |
|-------------|-----------------------------|--------|
| A01 | 易燃易爆場所作 (Works at flammable and explosive workplaces) | Workplaces containing self-igniting materials. |
| A02 | 可燃性粉塵場所作 (Works at flammable dust workplaces) | Workplaces containing flammable solid dust particles. |
| A03 | 高作 (High temperature works) | Works as defined in GB 4200-84, Works at High Temperature |
| A04 | 低作 (Cryogenic works) | Workers require insulating clothing to keep warm |
| A05 | 低壓帯m作 (Low voltage live works) | Live work at rated voltage of less than 1200V |
| A06 | 高壓帯m作 (High voltage live works) | Live work at rated voltage higher than 1200V |
| A07 | 吸入性気相毒物作 (Inhaling toxic gaseous works) | Works involves toxic gaseous or vapour at room temperature |
| A08 | 吸入性気溶毒物作 (Respiratory toxic fumes works) | Works involves toxic fumes or dust |
| A09 | 沾染性毒物作 (Toxic contamination works) | Toxin absorption through contaminated clothing |
| A10 | 生物性毒物作 (Biological toxin works) | Possible infection arising from biological toxin |
| A11 | 腐蝕性作 (Corrosive works) | Production of application of corrosive material |
| A12 | 易作 (Contamination works) | Dirt contaminating skin or clothing |
| A13 | 悪味作 (Objectionable odour works) | Nontoxic, however strong objectionable odour or smell |
| A14 | 密閉場所作 (Confined space works) | Vessel entry, or non-ventilated space of oxygen content below 18% |
| A15 | 噪音作 (Noisy works) | Noise level higher than 90dB |
| A16 | 光作 (Glaring works) | Glaring light source, IR or UV works |
| 編 (Ref. No) | 作業別名稱 (Work Categories) | Remark |
|-------------|-----------------------------|--------|
| A17 | 激光作 (Laser works) | Laser generating or processing works |
| A18 | 燈光屏作 (VDU works) | Extended hours work at VDU |
| A19 | 微波作 (Microwave works) | Microwave generating or processing works |
| A20 | 射線作 (Ionizing radiation works) | Radiation dosage higher than limits. |
| A21 | 高層作 (High level works) | Works at height >2m with falling hazard |
| A22 | 存在物體墜落、撞擊的作 (Potential fall object/impact works) | Construction, mining, shipbuilding, hoisting works |
| A23 | 有碎屑濺的作 (Splashing works) | Milling, grinding works |
| A24 | 操縱轉V機械 (Operating revolving machines) | Lathe, conveyor belts |
| A25 | 人工搬運 (Manual handling) | Manual lifting, push, pull and transportation |
| A26 | 接触使用鋒利器具 (In contact with sharp objects) | Glazier |
| A27 | 地面存在尖利器物的作 (Sharp objects hidden in ground) | Frost and construction work |
| A28 | 手持振動機械作 (hand held vibrating machine works) | Pneumatic drill, chisel |
| A29 | 人承受全身震動的作 (Body subject to vibration works) | Work under vibrating environment |
| A30 | 野外作 (Outdoor works) | Long term exposure in outdoor |
| A31 | 水上作 (Water works) | Working at water platforms |
| A32 | 涉水作 (Wetting works) | Work in mining wells, tunnels |
| A33 | 潛水作 (Diving works) | Work under water surface |
Table 2 Classification of Work Category (Source: GB11651-89, Schedule 1)
| 編作W別名稱 (Ref. No) | Remark |
|---------------------|--------|
| A34 地下挖掘建築作 (Underground construction works) | |
| A35 車輛駕駛 (Vehicle driving) | |
| A36 、吊、推機械操縱 (Hoisting works) | Machinery lifting |
| A37 一般性作 (General works) | |
| A38 其他作 (Other works) | Works not included in above |
The National Standard further grouped common personal protective equipment into 51 types, based on the application conditions and protective functions, as shown in Table 3.
Table 3 Grouping of Personal Protective Equipment (Source: GB11651-89, Schedule 2)
| 編 (Ref. No) | 品品W (Types of Protective Equipment) |
|-------------|-----------------------------------|
| B | Prohibited Types |
| B01 | Nylon clothing |
| B02 | PVC shoes |
| B03 | Shoes with steel insoles |
| B04 | Gloves |
| C | Mandatory Types |
| C01 | White cotton outfits to protect against heat |
| C02 | Synthetic reflective outfit to protect against heat |
| C03 | Cotton overall |
| C04 | Foundry boots |
| C05 | Caps to protect against cold |
| C06 | Outfits to protect against cold |
| C07 | Gloves to protect against cold |
| C08 | Shoes to protect against cold |
| C09 | Antistatic clothing |
| 編 (Ref. No) | 品品W (Types of Protective Equipment) |
|-------------|----------------------------------|
| C10 | Equal-potential clothing |
| C11 | Insulating gloves |
| C12 | Insulating shoes |
| C13 | Antistatic shoes |
| C14 | Safety goggles |
| C15 | Face masks |
| C16 | Canister respirators |
| C17 | Self-contained breathing apparatus |
| C18 | General purpose dust respirators |
| C19 | Non-permeable clothing |
| C20 | Non-permeable gloves |
| C21 | Anti acid(alkaline) clothing |
| C22 | Anti acid(alkaline) gloves |
| C23 | Anti acid(alkaline) shoes |
| C24 | Barrier cream |
| C25 | Ear plugs |
| C26 | Ear muffs |
| C27 | Safety spectacles to protect against welding arcs, UV lights |
| C28 | Safety spectacles to protect against laser |
| C29 | Safety spectacles to protect against microwave |
| C30 | Safety spectacles for VDU works |
| C31 | Safety spectacles to protect against ionizing radiation |
| C32 | Shielding Clothing |
| C33 | Coverall to protect against ionizing radiation |
| C34 | Hairnets |
| C35 | Helmets |
| C36 | Safety belts |
| C37 | Face shields |
| C38 | Anti-vibration gloves |
| C39 | Anti-vibration shoes |
| C40 | Anti-slip shoes |
| C41 | Gloves to protect against cut and sharp objects |
| C42 | Impact resistant helmet |
Table 3 Grouping of Personal Protective Equipment (Source: GB11651-89, Schedule 2)
| 編 (Ref. No) | 品品W (Types of Protective Equipment) |
|-------------|----------------------------------|
| C43 | Anti-slip gloves |
| C44 | Footwears to protect against twist |
| C45 | Shoes with steel insoles |
| C46 | Waterproofing outfits |
| C47 | Clothing for wet processing |
| C48 | Diving suits |
| C50 | General work clothing |
| C51 | Other protective accessories, sleeves, gaiters, aprons |
Section 5 of GB 11651 – 89 matches the possible harms of the categorized works and the protective functions of the classified PPE and formed a schedule of selection specification. For each of the 39 hazardous work classes, associated mandatory protective equipment, recommended protective equipment and prohibited non-compatible equipment types are listed for immediate references as shown in Table 4.
Table 4 Selection Specification (Source: GB11651-89, Schedule 3)
| 編 (Ref. No) | 不可使用的品W (Prohibited Types) | 必須使用的品 (Mandatory Types) | 可考慮使用的品 (Recommended Types) |
|-------------|---------------------------------|-----------------------------|-------------------------------|
| A01 | B01, B02, B03 | C03, C09, C13 | C09, C13 |
| A02 | B01, B03 | C03, C15 | |
| A03 | B01, B02 | C01, C04, C27, C35 | C02, C51 |
| A04 | B03 | C06, C07, C08 | C08, C40 |
| A05 | | C11, C12 | C35, C37 |
| A06 | | C11, C12, C36 | C10, C37 |
| A07 | | C15 | C16, C17 |
| A08 | | C15, C34 | C14, C16, C17, C19, C20 |
| A09 | | C14, C15, C19, C20, C34 | C16, C17, C24 |
| A10 | | C15, C19, C20, C34, C37 | C16, C24 |
| 編 (Ref. No) | 不可使用的品W (Prohibited Types) | 必須使用的 品 (Mandatory Types) | 可考慮使用的 品 (Recommended Types) |
|-------------|---------------------------------|-------------------------------|----------------------------------|
| A11 | | C14, C15, C21, C22, C23, C34 | C17 |
| A12 | | C18, C34, C50, C51 | C24 |
| A13 | | C50 | C17, C24, C34 |
| A14 | | C17 | |
| A15 | | | C25, C26 |
| A16 | | C27 | |
| A17 | | C28 | |
| A18 | | | C30 |
| A19 | | | C29, C32 |
| A20 | | C31, C33 | |
| A21 | B03 | C35, C36 | C40 |
| A22 | | C35, C44 | |
| A23 | | C37, C50 | |
| A24 | B04 | C34, C37, C50 | |
| A25 | B03 | C43 | C35, C40, C44 |
| A26 | | C50 | C41, C44, C45 |
| A27 | | C45 | |
| A28 | | C38 | |
| A29 | | C39 | |
| A30 | | C46 | C05, C06, C07, C08, C37, C40 |
| A31 | | C40, C48 | C36, C47 |
| A32 | | C46 | |
| A33 | | C49 | |
| A34 | | C35 | C18, C25, C38, C44, C46 |
| A35 | | C50 | C27, C37, C42 |
| A36 | | C50 | C18, C27, C37, C46 |
| A37 | | | C50 |
| A38 | | | C50 |
The apparently oversimplified guideline may be of limited uses. While it is true that some jobs are inherently more dangerous than others, modern accident researchers opt the view that incidents are multiple causation and root causes often relate to the management system (Heinrich, Petersen and Roos, 1980). Chmiel (2000) further suggested that workplace could involve various environmental and social conditions, such as noise, heat, illumination, long hours and production targets. It is important to investigate and conduct assessment on individual job process to identify effective protective equipment.
2.2.5 Selection and Use of PPE
The Department of Employment of Queensland Government has prepared an industrial guideline, Workplace Health and Safety Management Advisory Standard 2000 Supplement 1 – Personal Protective Equipment, to guide the selection of PPE. Key selection factors are:
- Risk assessment of the work process.
- Matching the acceptable risk level and the performance requirement of PPE.
- Ensure the selected PPE is compatible with other types of PPE being adopted in the same process.
- Comfort and fitness
- Effect of heat
Stull (1998) further suggested a checklist approach in the selection and use of PPE as shown in Table 5.
Table 5 Selection protocol of PPE (Source: Stull, 1998, pp xxxi)
| Procedure | Selection Steps |
|------------------------------------------------|----------------------------------------------------------------------------------|
| Conduct a risk assessment to: | 1. identify the hazards present. |
| | 2. determine the affected body areas or body areas by the identified hazards. |
| | 3. assess the risks associated with each hazard. |
| Use information from risk assessment to: | 4. determine which hazards must be protected against. |
| | 5. decide which general types of PPE must be used |
| | 6. set minimum performance levels for relevant properties. |
| For the general types of PPE items determined to be necessary: | 7. choose a specific design type. |
| | 8. choose appropriate design features. |
| | 9. set minimum performance levels for relevant properties. |
| Prepare the PPE specification | 10. select an existing standard. |
| | 11. Modify or supplement an existing standard |
| | 12. prepare a minimum design and performance specification. |
| Evaluate candidate PPE to supply against the minimum acceptance criteria: | 13. require manufacturers to supply product information and technical data. |
| | 14. use PPE evaluated by independent test laboratories or certified to specific standards |
| | 15. conduct field trials. |
| Establish a PPE program | 16. set responsibilities within the organization to oversee the PPE program. |
| | 17. train workers in the selection, use, care and maintenance of PPE. |
| | 18. provide a system for care and maintenance of PPE. |
| Periodically conduct a new risk assessment | 19. evaluate how selected PPE is working to provide adequate levels of protection.|
AS/NZS 2161.1:2000, Occupational protective gloves – Part 1: Selection, Use and Maintenance, was prepared by the Joint Australia/New Zealand Standards Committee. The Standard sets out recommended practices to allow users to choose and maintain occupational protective gloves with adequate levels of protection. Hazard identification and risk assessment are specified as prerequisites in selection of protective gloves, in order to identify the critical aspects of use and the type of glove likely to suit the type of work and the anticipated environmental conditions.
To summarize, mapping and checklist, are the two main approaches in the selection of personnel protective equipment. In either selection approaches, hazard identification and risk assessment are essential procedures. The use of PPE is to minimize exposure to specific hazards or to reduce the severity of injury (Graham, 1999). PPE, itself, can neither reduce the hazard nor guarantee total protection.
2.3 Overview of Personal Protection
The scope of personal protection includes all control measures in preventing occupational injuries and diseases (Herrick, 1998). In the year 2000 survey on ‘Usage of Personal Protective Equipment in Hong Kong’ conducted by Occupational Safety and Health Council (OSHC, 2000), it was revealed that employers and workers rely on the protective equipment as the key means of preventing exposure. The result also indicated that many employers and employees had selected the protective device without knowing the hidden hazards. Effective implementation of personal protection schemes depends on the proper placing of personal protection program in the hazard control hierarchy. Personal protective equipment is never a substitute for good engineering control, administrative measures or good work practices (Ohasis, 2002).
2.3.1 Hierarchy of Control on Electrical Hazards
In a broad sense, the hierarchy of engineering control being: firstly elimination, then isolation and lastly minimization (Pringle, 2001). The hierarchy of hazard control can be summarised in the inverted pyramid as shown in Figure 4.

Figure 4 Inverted Pyramid of Hazard Control (source: Pringle, 2001)
Following a similar hierarchy of control, WorkCover Corporation of South Australia (2002) suggests a sequence of action to deal with anticipated electrical hazard.
- Elimination
- Remove hazardous electrical plant from the workplace.
- Cease in-house operations of hazardous work.
● Substitution
– Use low voltage electrical appliances
– Substitute movable electrical plant with fixed equipment
● Isolation
– Place hazardous electrical plant in enclosures with restricted access
– Apply tagout and lockout procedure
● Minimization
– Use engineering controls. The application of RCDs to protect socket outlet could be an effective means to protect workers from harmful electrical shock.
– Use administrative controls. Scheduled inspections and checks on electrical installation and implementation of safe work practices, instruction and training would help to identify electrical faults and rectify the defects in a systemic way.
● Use Personal Protective Equipment (PPE)
– The use of insulated gloves, rubber mats and other personal protective equipment is the last resort. Protective barrier on person is the lowest level of the control hierarchy. “All practicable steps” in each control level shall be applied, before dropping to the next level.
There is always a temptation to resort to the use of PPE as a cheap immediate solution, without proper evaluation of the effective control measures as listed in the hierarchy.
2.3.2 Live Work and Isolation
The Electricity at Work Regulations 1989 (EAWR) of UK have wide implication to all electrical systems and require precautions to be taken against the risk of death or injury.
from electricity in work activities. Regulation 14 of EAWR specifies that no person shall be engaged in any work activity on live work that danger may arise unless:
- It is unreasonable for it to be dead.
- It is reasonable for him to be at work on it live.
- Suitable precautions (including where necessary the provision of suitable protective equipment) are taken to prevent injury.
In Hong Kong, there are no similar safety clauses in our Electricity Ordinance. Isolation of electrical equipment is encouraged in the Code of Practice for the Electricity Regulations (1997). It is, however, remarked that where serious inconvenience would arise from isolating circuits, adequate precautions should be taken to avoid danger for work involving the handling of energized parts or working within touchable distance, direct or indirect, of energized parts at low voltage. The Code allows live works with the following precautions:
- Live works should be done only by Registered Electrical Workers (REW), or under his supervision.
- Screen or other means to avoid danger from inadvertent contact with energized conductors should be provided.
- Fixing of warning notices for repair, barriers and screens.
It is, however, according to the Occupational Safety and Health Branch of Labour Department (2002), comparatively high percentage of live work were executed without proper isolation of electricity source at work, mainly due to the following reasons.
- Deliberately not isolating power supply source
- Under-estimate the hazards and the consequence of accidents.
– Over estimate one’s competency and carefulness at work.
– Cut comers to save time and for convenience.
● No Lock Out Procedure
– The isolate power source has not been locked out so that it could be connected back accidentally.
– No warning notice, signs or tags posted at the isolated power source to alert others not to disturb it.
● Deficiency in the working system
– Inadequate house rules and working system to govern the isolation of power supply for electrical work.
– Lack of supervision such that workers committed danger acts instead of following safety procedures.
– Lack of management control on the access of power supply source/electrical switch room.
It would seem “worker behaviour” and “system of work” are the two key issues to be included in the survey to help the understanding of the live work practices of REW in execution of their routine jobs.
In Mainland China, 6kV-10kV distribution networks are the most common supply infrastructure for industries and households. To ensure supply securities and avoidance of regional power interruption, the repairs and upkeep of which are frequently executed in live (Wu, 2001). Special trainings are provided to workers by provincial power supply units. According to Wu (2001), the specified conditions for live works are:
● Maximum allowable current to pass through human body shall be less than 1 mA
● Maximum allowable field strength shall be less than 240kV/m.
● Maintain a safety distance with live conductors as listed in Table 6.
| Rated Voltage of Equipment | <10kV | 20-35kV 44kV | 60kV | 110kV | 220kV | 330kV |
|----------------------------|-------|--------------|------|-------|-------|-------|
| Safety distance of between energized conductor and human body during live works | 400mm | 600mm 600mm | 700mm | 1000mm | 1800mm | 2600mm |
Table 6 Safety Distance between Workers and Lived Equipment (Source: On, 1998 Practical Handbook of Safe Electrical Operation, pp26)
In summary, live works are not prohibited in national and international standards. Isolation of live system prior to electrical works is not absolute duty, however, energized system shall render dead as far as reasonable practical. The requirement is of “reasonable practicability” where the risk considered on one hand is assessed against the cost and physical difficulty of reducing the risk to an acceptable level on the other (IEE-Health and Safety Briefing 34a, 2002). It would be interested to study the live work practices of REW and their associated risk assessment of electrical works in the survey.
2.4 National Standard and Specification of Electrical Protective Gloves
2.4.1 BS EN60903: 1993 Specification for Gloves and Mitts of Insulating Material for Live Working
This is one of the most commonly used standard of protective gloves for electricians in HKSAR. The standard specifies the physical requirements and testing procedures of insulating gloves for live electrical works. Six classes of gloves, differing in electrical characteristics, are provided. Gloves are further classified into six categories according to their resistance properties against acid, oil, ozone, mechanical strength, a combination of all and for extreme low temperature. This specification only provides simple guidelines for the selection of the class of glove in relation to nominal voltage of a system. The maximum use voltage recommended for each class of glove is designated in the following table.
| Class | a.c. r.m.s (V) | d.c. (V) |
|-------|----------------|----------|
| 00 | 500 | 750 |
| 0 | 1000 | 1500 |
| 1 | 7500 | 11250 |
| 2 | 17000 | 25500 |
| 3 | 26500 | 39750 |
| 4 | 36000 | 54000 |
Table 7 Maximum use voltage for the 6 classes of glove (Source: BS EN60903: 1993, Table A I)
The shapes of the gloves, including the curve of the finger and the contour are clearly specified. For each size of insulating gloves (8 to 11) detailed dimensions of the follows are given.
- Circumference of palm
- Circumference of wrist
- Circumference of cuff
- Circumference of each fingers
- Width of palm
- Wrist to end of second finger
- Base of thumb to end of second finger
- Mid-point of curve of second finger
- Lengths of each finger.
Contrasting with the two measurement on hand circumference and length requirement of general protective gloves (EN 420: 1994), the given details do emphasize the fit of users’ hands on glove contours are essential elements for proper protection. It suggests a survey on this widely accepted European standard on physical fit on local tradesman would be interesting, to ensure safe application.
In-Service recommendations are provided as guidance in Appendix G of the document. Notes on the follows are given for maintenance, inspection, retest and use of gloves after purchase.
- Storage
- Examination before use
- Precaution in use
- Periodic inspection and electrical retesting
The guidance notes provides helpful information on safety use of the gloves in daily operation. However, the in-service recommendations are not designated as ‘normative’ as part of the body of the specification and demands manufacturers in provision of the relevant information.
2.4.2 Designation: D120-95 of ASTM Standard 1996
This standard specifies the testing of rubber insulating gloves for electricians. The specification defines 2 types of gloves, resistant/non-resistant to ozone. Similar to BS EN60903, six classes of gloves are specified according to different electrical characteristic and protection against different voltages. The use and maintenance of gloves are given to be beyond the scope of the specification. General selection guide is based on the relationship between the maximum voltage on which they are used and the proof test voltage at which they are tested. To summarise, the concept of “safety margin” is being applied as the major criteria of selection. The calculation equations and proof-test/use voltage relationship are as shown in Table 7.
Equations for calculation of maximum use voltage (classes 1, 2, 3, and 4)
Maximum A-C use voltage = 0.95 a-c proof-test voltage – 2000 V \hspace{1cm} (2)
Maximum A-C use voltage = 0.95 d-c proof-test voltage – 30500V \hspace{1cm} (3)
Equation for calculation of maximum use voltage (classes 0)
Maximum A-C use voltage = 0.95 d-c proof-test voltage – 18000 V \hspace{1cm} (4)
where Maximum Use Voltage is the a-c voltage (rms) classification of the protective equipment that designates the maximum nominal design voltage of the energized system that may be safely worked. The nominal design voltage is equal to the phase-to-phase voltage on multiphase circuits;
Proof Test Voltage is either the a-c rms or dc average voltage that used protective equipment must be capable of withstanding for a specified test period without breakdown.
| Class of Glove | Maximum Use Voltage (a-c rms, V) | A-C Proof Test Voltage (a-c rms, V) | D-C Proof Test Voltage (average V) |
|---------------|----------------------------------|------------------------------------|-----------------------------------|
| 00 | 500 | 2500 | 10000 |
| 0 | 1000 | 5000 | 20000 |
| 1 | 7500 | 10000 | 40000 |
| 2 | 17000 | 20000 | 50000 |
| 3 | 26500 | 30000 | 60000 |
| 4 | 36000 | 40000 | 70000 |
Table 8 Proof-Test/Use Voltage Relationship (source: D120-95 of ASTM Standard 1996, pp 16)
It has been highlighted in Section 4 of D120-95, Significance and Use, that gloves are for personal protection and work practices vary from user to user. Selection of gloves should not be based on operation system voltages alone; other criteria such as construction design, work procedure techniques, weather conditions are crucial selection factors. It is further recommended in the specification that complete instructions and regulations to govern the correct and safe use of gloves are to be prepared by users.
2.4.3 Designation: F496-95a Standard Specification for In-Service Care of Insulating Gloves and Sleeve
The Standard covers the in-service care, inspection, testing and use voltage of insulating gloves and sleeves for protection from electric shock. Guidelines on field care, inspection and storage are given, which include:
- Visual checks
- Air test
- Cleaning methods
- Repair of minor cuts by patching
- Record keeping and markings
It is specially remarked that gloves with any of the following defects shall not be used and shall be returned to an electrical testing facility for inspection and electrical retest:
- Holes, tears, punctures or cuts.
- Ozone cutting or ozone checking
- Imbedded foreign objects
- Texture changes
- Other defects that damage the insulating properties.
It would be important to make workers aware of the compliance of this specification to ensure sound protective equipment being in use after initial acceptance in accordance with D120.
2.4.4 BS 697:1986, Specification for Rubber gloves for electrical purposes.
This British Standard specifies the requirement of rubber gloves for electrician according to 4 rated voltages.
- 650V
- 1000V
- 3300V
- 4000V
The Standard recognizes the need for gloves of up to 650V, in certain circumstances, to have a high degree of flexibility. A maximum thickness of no more than 1.5mm is, therefore, specified of gloves of rating at 650V. While for high rating of gloves, minimum thickness is indicated to control the ability of gloves to meet the electrical resistance test.
| Rated Potential of Gloves | Minimum Average Thickness |
|---------------------------|---------------------------|
| 650V | Not more than 1.25mm (minimum thickness is not specified and is determined only by the requirement of electrical resistance.) |
| 1000V | 1.25mm |
| 3300V | 1.75mm |
| 4000V | 2.00mm |
Table 9 Thickness of gloves (Source: BS 697:1986, Table 1 and 2)
Guidance concerning the maintenance, inspection, re-testing and use of rubber gloves after purchase is given in Appendix C of the standard. A simple stretching test is recommended for that of surface defects which may develop with use. Each finger of the glove should be
stretched by hand to ascertain that is mechanical strength is adequate. Gloves showing any defects should be destroyed or rendered unusable. It is further remarked that gloves must not be turned inside out for mating.
It has been emphasised in the Standard that rubber gloves is the not the only means of protection for those working on electrical circuits. Every other practicable precautions should be taken against the risk of shock and, whenever possible, the circuit should be isolated.
2.4.5 AS 2225 – 1994, Insulating gloves for electrical purposes
This Australian Standard is similar to BS 697, in which 4 classes of gloves, viz., 650V, 1000V, 3300V and 4000V are specified. No minimum thickness is specified for 650V gloves, in order to be more comfortable to wear and have more feel whilst still affording adequate protection against electric shock. One major difference of this specification is the mandatory requirement for instructions for storage and cleaning to be provided with each pair of gloves. Recommendations concerning uses and storage precautions are detailed in Appendix C of the specification.
- Storage – detailed storage method and limits of storage temperature are specified.
- Issue – gloves for electrical line workers and other outdoor workers should be issued in a protective container, like, canvas or leather bags, fibre boxes or waterproof containers.
- Examination before use – visual inspection and air inflated leak tests are suggested.
- Precautions in use – avoid mechanical damages and exposure to excessive heat, light and chemical agents.
2.4.6 JIS T 8112, Rubber gloves for electrical insulation
This Japanese Industrial Standard classifies electrical gloves into 3 categories. It should be noted that a low limit of working voltage is specified for each class, other than maximum allowable voltage.
| Classification | Working Voltage |
|----------------|--------------------------|
| Class A | >300V up to 600V |
| Class B | >600V up to 3500V |
| Class C | >3500V up to 7000V |
Table 10 Classification of Insulating Gloves in JIS T 8112
Brief guidelines on handling and checking of rubber gloves are given as informative reference. It is recommended that protective gloves are to be worn in using gloves of class B and C and inspection records on insulation performance are to be kept for three years.
2.4.7 GB 17622 – 1998 Insulating gloves for live working, 帶電作業用絕緣手套.
This Chinese specification was established in accordance with the requirements of IEC 903:1998 with adjustment on product types with respect to the industrial specification of PRC. Insulating gloves are grouped into 3 types according to voltage rating of electrical installation being applied.
| 型 (Type) | 標稱m壓 (Rate Voltage) rms kV |
|----------|-----------------------------|
| 1 | 3 kV |
| 2 | 6 kV |
| 3 | 10 kV |
Table 11 Maximum Usage Voltage of Insulating Gloves (Source: GB 17622–1998, Table2)
2.4.8 BS EN420 : 1994, General Requirements for Gloves
This British Standard describes the general requirements for ergonomy, glove construction, high visibility, innocuousness, cleaning, comfort and efficiency applicable to all protective gloves. It is, however, not applicable to electrician’s gloves. The innocuousness requirement specified, though no mandatory for electrician’s glove, would be an interesting area on study of allergies, where electrician’s gloves are in close contact with the user for a long working hours. The defined test procedure for finger dexterity is another interesting area of study. Trained operator wearing the protective gloves shall pick up pins of various diameters. The smallest diameter of pin that can be picked up will be charted for performance level. The identified performance level would affect workers’ attitude towards the acceptance and proper uses of protective equipment.
In summary, studies of national standards of insulating gloves revealed that most of the standards are specifications on manufacturing requirements and inspection procedures for compliance in laboratory tests. There are no selection guidelines for electricians to pick up the appropriate types of insulating gloves according to the corresponding tasks in the workplaces. In some of the national Standards, field care and storage notes are provided as “informative” appendix, however, without illustrative and procedural information for electricians to follow at work.
2.5 Summary: What is Known and What is Not Know
Electrical safety has been well documented in trade journals and electrical handbooks. Potential electrical hazards and associated risk assessment procedures are under regular revisions by various governmental organisations and professional institutions. Insulating gloves, as well as other PPE, are recommended as viable protective means to reduce the possible damages and minimise the risks of injuries, provided that they are applied effectively in the hazard control hierarchy. The accident statistics, associated with electric discharge and electrical shock, indicate that electricians may often neglect to isolate power system and reluctant to wear insulating gloves. Safety behaviors and attitudes at work are often described by safety professions as “being driven by appropriate risk perception”. It would be necessary to appreciate the general safety concepts of local electrical workers in the study.
Studies of international standards of insulating gloves revealed that most of the standards are specifications on manufacturing requirements and inspection procedures for compliance in laboratory tests. There are no selection guidelines for electricians to pick up the appropriate types of insulating gloves according to the corresponding tasks in the workplaces. In some of the national Standards, field care and storage notes are provided as “informative” appendix, however, without illustrative and procedural information for electricians to follow at work. In the review of the Standards on selection and care of occupational protective gloves, only guides on hand protection against general and chemical hazards have been established. Codes of practices or technical guidance notes has not been set out for selection, use and maintenance of insulating gloves for electrical workers at workplaces. Based on the reviewed Standards, helpful information on basic
elements of insulating gloves selection were identified as follows:
- Protection performance
- Size, shape and style
- Fit, dexterity and comfort
- Wear resistance
- Marking and packing
The identified criteria could be set in the survey questionnaire to collect information about the knowledge of REW in gloves selection.
In the review of legislative documents on electrical safety and PPE, the provisions of insulating gloves, are implied legitimate duty of employers under the General Duty of F&IU regulations. There is, however, no legal requirement for electricians to wear insulating gloves during live work. As discussed in the electrical engineering symposium of IEE (1988), legislation on electricity safety could only be directive. To help the industry, it would be advisable to publish some technical guidelines in form of code of practice and guidance notes so that craftsman of the trade can adapt to the safety principles more easily.
3 Survey on the Selection and Use of Insulating Gloves
3.1 Objectives of the Study
The purpose of this study is to examine the use, or, not use of insulating gloves by electricians in HKSAR. The apparent simplicity of insulating gloves may result in a gross underestimation of the amount of effort and expense required to effectively use of this equipment to electrical workers. At the operation level, common sense estimations often overruled the consensus standard, which lead to misuses of gloves or lack of proper maintenance. Even more often, well experience electricians ignore PPE is the last resort and do not wear insulating gloves (Labour Department, 2002). The study focuses on the following areas.
Objective 1. To understand the risk assessment and live work practices of electrician in their routine works.
Objective 2. To understand the motives and interests, or the otherwise, on their application of insulating gloves in their routine jobs.
Objective 3. To understand the beliefs, perceptions and knowledge of electricians in selection of insulating gloves.
Objective 4. To understand the use and maintenance of insulating gloves by electricians.
Objective 5. To identify the areas for improvement in selection and use of insulation gloves.
3.2 Methodology
To meet the study objectives, ethnographic survey allows the uncovering of culture and normative work patterns of electricians in their daily works (Burns 1994). Given the limited project time, it would be unlikely to collect data by participant observation. Questionnaires are designed to conduct the observation.
3.2.1 Pilot Study
A pilot study was conducted in early July, 2002, in which structured interviews were conducted to two groups of electricians, one group consisted of four electricians who worked in a workshop of catering factory and one group consisted of two electricians in a renovation site, in order to have a preliminary understanding on the follows.
- Their perception on electrical shock hazards.
- Is it possible to isolate electricity source in all of their daily work?
- How is PPE assessed for suitability?
- How is insulating gloves used in their daily work?
- Suggestion for improvement on encouraging for use of insulating gloves
A common view expressed by the electricians of the pilot study was that the use of insulating gloves was not popular and they have limited knowledge in the selection and maintenance. All of them appreciated that the consequence of an electrical shock could be very serious, including electrocutions, burns and fall from height. Isolation of electricity source was agreed as the most effective mean to prevent electric shock during the interview.
The electricians in the pilot study, however, indicated that live works were inevitably unavoidable, in some incidents, to avoid interruptions to processing system which might otherwise cause higher risk. In some of the equipment testing and commissioning, live voltage was reported essential to conduct the required functional checks. Their attitudes toward PPE were rather passive. All six interviewed electricians indicated that they only use PPE provided by the employer. They were instructed to wear safety shoes/helmets and were not sure whether an assessment on suitability had been conducted. Suggestions on improvement in encouraging the use of insulating gloves were diversified, including promotion by Government, provision of user guidelines, training and inclusion in existing Code of Practice (Wiring).
3.2.2 Scope of Study
All electrical workers in HKSAR are required to register with permitted classes of works under the Electricity (Registration) Regulation, according to their qualification and electrical work experiences. The targeted population for study is the registered electrical workers (REW) in the trade. From the registration list of the Electrical and Mechanical Services Department (EMSD), the total number of electricians in various permitted class of works, as at March 2002, are as follows.
| Grade | Permitted Class of Work | No. of REW |
|-------|-------------------------------------------------------------|------------|
| A | Below 400 Ampere, Low Voltage | 38022 |
| B | Below 2500 Ampere, Low Voltage | 6924 |
| C | Unlimited Amperage, Low Voltage | 930 |
| H | Unlimited Amperage, High Voltage | 2177 |
| R | Neon sign, air conditioning and generator | 3471 |
| | Total number of registered electrical workers | 51524 |
Table 12 REW in HKSAR as at February 2002 (Source: Registration List of EMSD)
3.2.3 Sampling Strategy
There is no detailed analysis of insulating gloves used in HKSAR. Sample size estimation is based on standard error calculation of simple random sampling and level of confidence. For the purpose of this study, we target to have the sampling accuracy to be within 10%, with 95% confidence.
Mathematically,
\[ \pm 10 = \pm 1.96 \sqrt{\frac{P\% (100-P\%)}{n}} \]
(5)
where \( n \) is the sample size
\( P \) is the % of electrician who has used insulating gloves.
Since we have no previous survey data on the population, we put \( P = 50\% \), which will give \( \sqrt{\frac{P\% (100-P\%)}{n}} \) a maximum value to meet our accuracy requirement.
\[ \Rightarrow n = \left(\frac{1.96}{10}\right)^2 (50)(50) \]
(6)
\[ n = 96 \]
(7)
It was decided that at least 100 samples should be taken in random to ensure the established accuracy.
3.2.4 Questionnaire Design
The questionnaire was intended to serve a comprehensive source of data to study the safety attitude and work behavior of electricians in the daily uses of insulating gloves. Questions were evolved around consensus codes of practices on selection and use of PPE and international standards of electrical insulating gloves. The formed questions were grouped into 4 main categories:
- Background information of the surveyed samples
- Questions about their daily work and safety behavior
- Their opinions on the selection of insulating gloves
- Their users’ experience on insulating gloves
A flowchart was prepared to help the design of the questionnaire, which serves to guide the respondent to provide answers in a logical sequence (Youngman, 1982)
Figure 5 Flowchart to assist questionnaire design
A draft questionnaire was prepared and tested. It was found that the rating of importance on the selection criteria from 1 to 5 was arbitrary. The questionnaire was modified with mostly YES/NO/DON’T KNOW questions to help electricians in answering. It also helped the subsequent statistical analysis easier. Copies of the questionnaire in Chinese and English are as shown in Appendix B and Appendix C respectively.
4. Results of the Study
4.1 Profile of the Collected Information
The primary data used in this study is acquired from observations by using questionnaires. A total of 550 questionnaires were dispatched to trade union, power supply companies, contracting firms and servicing branches to collect information of Registered Electrical Workers (REW) in August, 2002.
| Institutions | Nos. Dispatched |
|---------------------------------------------------|-----------------|
| HK & Kowloon Electrical Engineering & Appliances Trade Workers Union | 200 |
| Power Supply Companies | 50 |
| Contracting Branch | 100 |
| Servicing Branch | 200 |
| Total Numbers of Questionnaire Dispatched | 550 |
Table 13 Dispatches of Questionnaires
Of the 550 questionnaires sent out:
- 7 were returned to the sender intact (RTS)
- 12 were scrapped due to incompleteness, or filled by non-REW (Scrapped).
- 216 were processed, which constitutes 39.2% of the total dispatched questionnaires.
| Sent | RTS | Scrapped | Processed |
|------|-----|----------|-----------|
| 550 | 7 | 12 | 216 |
Table 14 Summary of Survey Reply
Amongst the 216 processed samples, the distribution of permitted classes of electrical works was summarized as follows.
- 184 REW were engaged in Grade A electrical work of low voltage fixed electrical installation of maximum demand not exceeding 400A single or three phases.
- 28 REW were engaged in Grade B electrical work of low voltage fixed electrical installation of maximum demand not exceeding 2500A single or three phases.
- 0 REW were engaged in Grade C electrical work of low voltage fixed electrical installation of any capacity.
- 0 REW were engaged in Grade H electrical work of high voltage fixed electrical installation.
- 4 REW were engaged in Grade R electrical work on neon sign installation/air conditioning installation/generating facility installation.
In comparing with the REW registration list of Electrical and Mechanical Services Department (EMSD) of February 2002, the distributions were found similar.
| Grade | REW in Population | % | Surveyed Sample | % |
|-------|-------------------|-----|-----------------|-----|
| A | 38022 | 74% | 184 | 85% |
| B | 6924 | 13% | 28 | 13% |
| C | 930 | 2% | 0 | 0% |
| H | 2177 | 4% | 0 | 0% |
| R | 3417 | 7% | 4 | 2% |
| Total | 51524 | 100%| 216 | 100%|
Table 15 Comparisons of Sample and Population Distribution
It can be concluded that the distribution of the sample and the target population are similar.
4.2 Profile of the Electricians under study
4.2.1 Age Distribution
The predominated age groups are 29-40 and 41-52, which amongst 79% of the surveyed sample. The finding was in line with the population census conducted in Hong Kong in March 2001 (Key Statistics, 2001). The article concluded that the population continued to dejuvenile and grow old in the past 10 years. Widened of the median age in the population pyramids was noted.
| Age Group | Count |
|-----------|-------|
| 17 – 28 | 27 |
| 29 – 40 | 86 |
| 41 – 52 | 85 |
| 53 – 64 | 18 |
| 65 + | 0 |
Table 16 Age Group of Surveyed Samples
Figure 6
Age Distribution of REW in Study
4.2.2 Education Level
81% of the surveyed REW were of secondary education. As commented in the Key Statistics of Population Census (2001), there was improvement in the education attainment of the population. The proportion of the population aged 15 and over having attended secondary or higher education increased from 62.1% in 1991 to 71.1% in 2001 (Key Statistics, 2001).
| Education | Count |
|-------------|-------|
| Primary | 32 |
| Secondary | 174 |
| Tertiary | 6 |
| University | 1 |
| Others | 3 |
Table 17 Education Level of Surveyed Sample
Figure 7
Education Level attained by Surveyed REW
4.2.3 Years of Electrical Work Experience
The survey indicated that about half (47%) the electricians had electrical work experience equal to 5 years or less.
| Years | Counts |
|---------|--------|
| <5 | 100 |
| 6 – 10 | 57 |
| 11 – 15 | 23 |
| 16 – 21 | 22 |
| 21 + | 14 |
Table 18 Electrical Work Experience of Surveyed Sample
Figure 8
Electrical Work Experience of Surveyed REW
The demographic and education characteristics of the surveyed samples were summarized in the Table 19.
| Age Distribution | 17-28 | 29-40 | 41-52 | 53-64 | 65+ |
|------------------|-------|-------|-------|-------|-----|
| | 13% | 40% | 39% | 8% | 0% |
| Education | Primary | Secondary | Tertiary | University | Others |
|------------------|---------|-----------|----------|------------|--------|
| | 15% | 81% | 3% | 0% | 1% |
| Experience | <5 | 6-10 | 11-15 | 16-21 | 21+ |
|------------------|---------|-----------|----------|------------|--------|
| | 47% | 26% | 11% | 10% | 6% |
Table 19 Demographic Characteristics of the Surveyed Sample.
4.2.4 Risk Assessment and Safety Activities
Table 20 indicates the job safety activities of the surveyed REW encountered in their routine works.
| Job Safety Activities | Response % |
|--------------------------------|------------|
| | Yes | No | Don’t Know |
| Risk Assessment | 56% | 15% | 29% |
| Accident Analysis | 63% | 8% | 30% |
| Job Safety Analysis | 45% | 12% | 44% |
| Process Hazard Review | 31% | 13% | 56% |
| Lock Out Procedure | 49% | 17% | 34% |
Table 20 Response of REW on Job Safety Activities
Figure 9 Risk Assessment and Safety Activities of Surveyed REW
It was noted that 44% of the surveyed sampled had not conducted risk assessment and 55% did not carry out Job Safety Analysis (JSA) in their routine jobs. About half (51%) did not lock out the supply source in their daily electrical works. More than half (56%) did not know about Process Hazard Review. Based on the response of the surveyed REW, it was apparent that the safety management control on electrical works of REW was inadequate.
### 4.2.5 Live Electrical Working
Table 21 indicates the frequency, which surveyed REW had encountered live work in execution of their routine jobs.
| Live Work Frequency | Respondent Count |
|---------------------|------------------|
| daily | 45 |
| weekly | 68 |
| monthly | 54 |
| yearly | 27 |
| never | 22 |
Table 21 Response of REW on Live Work Frequency
Majority of the REW (90%) responded that they have encountered live work. Over half (52%) executed live electrical works on a regularly monthly basis. 21% of the surveyed sample involves live work in their routine jobs almost daily. The surveyed results on frequency of live work were summarized in Figure 10.
Figure 10 Frequency of Live Work
Table 22 tabulates the response of REW on the job natures of their executed live work.
| Job Nature of Live Work | Respondent Count |
|-------------------------|------------------|
| Installation | 60 |
| Repair | 114 |
| Inspection | 73 |
| Testing | 31 |
| Commissioning | 28 |
From the survey study, repair works are the most frequent (37%) job nature which electricians encountered live work. Details of the other work live types are summarized in Figure 11.
Figure 11
Nature of Live Work which electricians encountered.
4.2.6 Experience of Insulating Gloves
Table 23 indicates the responses of REW to the question “Have you used electrical protective gloves before?”
| Use of Electrical Gloves | Respondent count |
|--------------------------|------------------|
| Yes | 40 |
| No | 176 |
Table 23 Reply of REW on use of electrical gloves
Majority of the surveyed REW (81%) replied that they had not used any insulating gloves. Findings were indicated in Figure 12.
Figure 12
Experience of Using Insulating Gloves
Table 24 indicates the ranking of reasons of surveyed REW not wearing insulating gloves.
| Reasons of not using gloves | Count | Percentage |
|----------------------------|-------|------------|
| Inappropriate length of protection | 2 | 1% |
| Not durable | 3 | 1% |
| Allergies | 3 | 1% |
| Ineffective protection | 6 | 2% |
| Others | 7 | 2% |
| Incompatible to task | 14 | 5% |
| Size don't fit | 16 | 5% |
| Uncomfortable | 21 | 7% |
| Cost | 29 | 10% |
| No knowledge | 35 | 12% |
| No particular reasons | 40 | 13% |
| Lack of grip | 41 | 13% |
| Lost of dexterity | 87 | 12% |
Table 24 Ranking of Reasons on NOT wearing insulating gloves.
Figure 13 Responses to the question “Why NOT use?”
In reply to the question of “Why NOT use?”, lost of dexterity (29%) and lack of grip (13%) were ranked the first and second major reasons. It should be noted that a significant portion (13%) of surveyed REW did not wear insulating gloves without particular reasons.
4.2.7 Where Were Insulating Gloves Obtained
The reply of REW on “Where do you obtain your insulating gloves?” are shown in Table 25.
| Where to Obtain? | Respondent count |
|------------------|------------------|
| Employer | 28 |
| Hardware Store | 7 |
| PPE Store | 3 |
| Trade Union | 0 |
| Internet | 2 |
Table 25 Reply of REW on “Where to obtain insulating gloves.”
Most electricians (69%) replied that their insulating gloves were provided by their employers. Others brought their own insulating gloves through hardware store (18%), PPE store (8%), or through mail or Internet ordering (5%). Local major trade unions did not seem to have insulating gloves available for purchase.
Figure 14 Sources of Insulating Gloves
4.2.8 Selection Criteria
When asked on the question of “Have your consider the following factors in selection?”. The replies of REW are as shown in Table 26.
| Consideration Factors | Yes | No | Don't Know |
|-----------------------------------------------------------|-----|----|------------|
| Protective capability | 39 | 0 | 1 |
| Size | 37 | 2 | 1 |
| Dexterity | 35 | 3 | 2 |
| Task compatibility | 35 | 2 | 3 |
| Comfort | 35 | 2 | 3 |
| Workmanship and product quality | 33 | 1 | 6 |
| Length to be protected | 31 | 6 | 3 |
| Durability | 31 | 5 | 4 |
| Puncture, snag, tear and cut resistance | 31 | 2 | 7 |
| Grip | 30 | 5 | 5 |
| Cuff style | 25 | 8 | 7 |
| Cost | 22 | 10 | 8 |
| Marking | 18 | 15 | 7 |
| Packing | 15 | 20 | 5 |
Table 26 Consideration Factors of REW on selection of insulating gloves
Majority of the relies focused on protective capacity and size, while neglecting label markings and packing which bears important information like, manufacturing standard, color codes or designation for each voltage class, glove size, month and year of manufacture. All these are essential data for field application and subsequent periodical testing.
Figure 15 Selection criteria rated by electricians
4.2.9 Use of Insulating Gloves
Those REW who had used insulating gloves were asked on their daily application practices and field cares of their gloves.
Figure 16 indicates that only half of the REW had read manufacture’s instruction on the uses and cares of their insulating gloves.
Figure 16 REW who had read manufacturer’s instruction
Figure 17 shows that 55% of the REW did not have a PPE program on the use of insulating gloves. Further analysis of the returned questionnaires found that 40% of the electrician using gloves had neither read the instructions of manufacturers nor an established PPE program of insulating gloves.
While the proper storage method of insulating gloves should be in locations free from heat, sunlight, ozone and the use of the supplied package of manufacturers, 60% of the surveyed sample did not store their insulating gloves correctly. Response on their storage practice is as shown in Figure 18.
4.2.10 Inspection and Tests of Gloves
The response of REW on inspection and tests carried out prior to their use of insulating gloves are tabulated in Table 27.
| Inspection and Tests | Yes | No | Others |
|-------------------------------|-----|----|--------|
| Visual inspection | 30 | 9 | 1 |
| Rolling test | 21 | 18 | 1 |
| Periodic test | 21 | 18 | 2 |
| Inflated leak test | 18 | 22 | 0 |
Table 27 Response of REW on inspection and tests on insulation gloves prior to use
Other than visual inspection, majority of the electricians did not carry out rolling tests, periodic dielectric tests and inflated leak tests.
Figure 19 Response of REW in reply to the testing and inspection on their insulating gloves.
4.2.11 Allergy
In response to the inquiry on allergic contact dermatitis on use of insulating gloves, the result data are indicated in Table 28.
| Dermatitis/Irritants | Response Count |
|----------------------|----------------|
| Yes | 7 |
| No | 32 |
| Others | 1 |
Table 28 Response of REW on dermatitis and irritants
18% replied that they had experienced allergy and 3% in other types of irritants reactions.
Figure 20 REW who had experienced dermatitis and irritants
5. Summary, Conclusions and Recommendations
5.1 Summary of Salient Findings
Relative to the objectives of the survey, salient findings of the study are summarized as follows.
- Sample distribution has a similar pattern to the targeted population of Registered Electrical Workers in HKSAR in terms of demographic characteristics and permitted classes of electrical work distribution.
- 90% of the electricians had encountered live work and 21% did not isolate the power correctly in their daily routine jobs. Repair works were the most frequent job type, which electricians had executed in live. (Objective 1)
- Inadequate risk assessment and electrical shock hazard elimination procedures in their routine jobs. 44% of the electricians did not conduct risk assessment and 55% did not carried out Job Safety Analysis (JSA) in their routine jobs. About half (51%) did not lock out the supply source in their daily electrical works. More than half (56%) did not know about Process Hazard Review. (Objective 1)
- A large majority, 81% of the electricians, did not wear insulating gloves; with the mostly the perception of lost of dexterity and lack of grip. (Objective 2)
- Incomprehensive knowledge in selection of suitable insulating gloves. While most of the insulating gloves (69%) were provisions of employers, electricians mainly focused their selection considerations on protective capacity and size; neglecting the label markings and packing which bears important information like, manufacturing standard, color codes or designation for each voltage class, glove size, month and year of manufacture. All these are essential data for field
applications and subsequent date reference for periodical testing. “No knowledge” was ranked the forth-highest reasons of electricians who were reluctant to wear insulating gloves. (Objective 3)
- Inadequate training and skill in the use and maintenance of insulating gloves. Half of the REW had not read manufacture’s instruction and 55% of the REW did not have a PPE program for insulating gloves. 60% of the surveyed sample did not store their insulating gloves correctly. Other than visual inspection, about half of the electricians did not carry out rolling tests (45%), periodic dielectric tests (43.9) and inflated leak tests (55%). (Objective 4)
- 21% of the electricians experienced allergy or other types of irritants reactions on wearing insulating gloves.
5.2 Conclusions
Given the scope of the study, which entailed an investigation of the safety behaviors and work practices of electricians in HKSAR, and the salient finding listed above; two major conclusions are drawn.
- Safety perception of REW in HKSAR is comparatively weak. This conclusion is made relative to:
- the high frequency of live work exposure and poor safety management system.
- incomprehensive risk assessment
- lack of hazard elimination procedure
- REW are incompetence in the selection and use of insulating gloves, due to:
- inadequate knowledge
- lack of training
5.3 Recommendations
Based on the findings of literature review, pilot study, the surveyed results and the general conclusions deduced, a technical guide on the scope of selection, field care and general applications of insulating gloves are recommended in the following sections (Objective 5). To assist REW, a copy of Guidance Notes on Selection, Use and Maintenance is prepared in Appendix A.
5.3.1 Selection Guides
The selection of proper insulating glove begins with an accurate evaluation of job applications. Factors that influence the selection are as listed in the following sections.
18.104.22.168 Maximum Usage Voltage
Voltages of electrical installations to be handled are of prime importance in selection of insulating gloves. Typical types and their specified voltages are listed for information.
| Glove Type | Rated Voltage | Glove Type | Rated Voltage | Glove Type | Rated Voltage | Glove Type | Rated Voltage |
|------------|---------------|------------|---------------|------------|---------------|------------|---------------|
| 00 | 500V | | | | | | |
| | | a | 650V | | | | |
| 0 | 1000V | b | 1000V | | | | |
| | | c | 3300V | 1 | 3000V | | |
| | | d | 4000V | | | B | 3500V |
| | | | | 2 | 6000V | C | 7000V |
| 1 | 7500V | | | 3 | 10000V | | |
| 2 | 17000V | | | | | | |
| 3 | 26500V | | | | | | |
| 4 | 36000V | | | | | | |
Table 29 Maximum use voltage for various classes of insulating gloves (Source: BS EN60903: 1993, Table A I; D120-95 of ASTM Standard 1996, pp 16; JIS 8112: 1997, Table 1; GB17622 –1998, Table2; BS697: 1986, Clause 1 and AS 2225 – 1994, Table 3)
22.214.171.124 Special contact requirements
Insulating gloves may need special resistance properties, in addition to insulation performance, to meet actual job requirement at workplaces. Typical resistance properties are listed.
**BS EN60903 : 1993**
| Category | Resistant to |
|----------|-----------------------|
| A | Acid |
| H | Oil |
| Z | Ozone |
| M | Mechanical (higher level) |
| R | Acid, oil, ozone, mechanical (higher level) |
| C | Extreme low temperature |
Table 30 Special properties of insulating gloves of BS EN60903.1993 (Source: BS EN60903: 1993, Table I)
Designation: D120-95 of ASTM Standard 1996
| Category | Resistant to |
|----------|-----------------------|
| Type I | Non-resistant to ozone|
| Type II | Resistant to ozone |
Table 31 Special properties of insulating gloves of D120-95 of ASTM (Source: D120-95 of ASTM Standard 1996, pp 16-17)
126.96.36.199 Dexterity requirements
Lost of dexterity was the prime reason that the surveyed REW were not willingly to wear insulating gloves in their daily work. For a given rubber polymer, an increase in thickness will result in a higher level of protection. But thick gloves can impair dexterity. Both BS 697:1986 and AS 2225-1994 recognize the need to have a high flexibility and dexterity in certain jobs. No minimum thickness is specified for 650V gloves under these Specifications. Electrical performances of which are determined by tests.
188.8.131.52 Grip requirements
Lack of grip was ranked the second highest reason for reluctance in use of insulating gloves. Sensitivity and the ability to grip are important factors. Select an insulating glove with working area (all fingers, thumb crotches and palm) of suitable finish to provide the necessary grip needed for your job.
184.108.40.206 Size and fit
Proper size and fit contribute to comfort, productivity and safety. Gloves which are undersize may cause undue hand fatigue. Oversized gloves are uncomfortable, lack of sensitivity and may get caught in between revolving parts. Hand circumference method is the most common measurement in glove sizing. Circumference of the hand around the palm area, with fingers together and hand relaxed. The measured length in inches is closest to the actual glove size. Illustration 1 shows the measurement to determine proper gloves size.
Illustration 1. To determine glove size by hand circumference measurement (8 inches equals to size 8)
For easy comparison, glove sizes and corresponding general sizes are shown in Table 32.
| Numerical Glove Size | 6-7 | 7-8 | 8-9 | 9-10 | 11 |
|----------------------|-----|-----|-----|------|----|
| General Glove Size | XS | S | M | L | XL |
Table 32 Corresponding glove sizes (Source: Cole Parmer, Safety Glove Sizing Guide)
Dimensions of gloves may be different amongst manufacturers. Detailed measurements should be with specifications of manufactures. Typical glove dimensions are as shown in Table 33.
| Details | Glove Size |
|-------------------------------|------------|
| | 8 | 9 | 10 | 11 |
| Circumference of palm | 210 | 235 | 255 | 280 |
| Circumference of wrist | 220 | 230 | 240 | 255 |
| Circumference of cuff | 330 | 340 | 350 | 360 |
| Circumference of thumb | 70 | 80 | 90 | 95 |
| Circumference of index finger | 60 | 70 | 80 | 85 |
| Circumference of middle finger| 60 | 70 | 80 | 85 |
| Circumference of forefinger | 60 | 70 | 80 | 85 |
| Circumference of little finger| 55 | 60 | 70 | 75 |
| Width of palm | 95 | 100 | 110 | 125 |
| Wrist to end of index finger | 170 | 175 | 185 | 195 |
| Base line of thumbs to end of index finger | 110 | 110 | 115 | 120 |
| Mid point of curve of index finger | 6 | 6 | 6 | 8 |
| Length of index finger | 60 | 65 | 70 | 70 |
| Length of middle finger | 75 | 80 | 85 | 85 |
| Length of forefinger | 70 | 75 | 80 | 80 |
| Length of little finger | 55 | 60 | 65 | 65 |
| Length of thumb | 55 | 60 | 65 | 65 |
| Length between end of index and middle finger | 15 | 17 | 17 | 17 |
Table 33 Typical gloves dimensions (Source: EN 60903: 1992, Table B1)
220.127.116.11 Puncture, snag, tear and cut resistant
Other than electrical insulation performance, gloves selected should comply with specified strength requirement to provide protection against possible damages by puncture, snag, tear and cut during working process. Typical strength requirements are as shown in Table 34.
| Physical Strength Property | Typical Requirement |
|----------------------------|---------------------|
| Tensile Strength | 17.2 Mpa |
| Ultimate elongation | 600% |
| Tear Resistance | 21 kN/m |
| Puncture Resistance | 18 kN/m |
| Hardness | 47 shore A |
Table 34 Typical strength requirement of insulating gloves (Source: D120-95 of ASTM Standard 1996, Table 4)
18.104.22.168 Allergic reaction
Gloves of natural latex or rubber may cause an allergic sensitivity to some of the wearers. The allergic reaction most commonly appears as a reddening or itching at the site of glove contact. Stop further wearing insulating gloves on suspect of allergic reaction and check with manufacturers for availability of non-latex alternative types.
5.3.2 Application Guide
Insulating gloves should be worn when there is a danger in contact between the hands and live parts of the electrical system. Typical working conditions which demand the use of insulating gloves are shown in Table 35.
- Working close to exposed, overhead energized lines
- Working in switchgear, close to exposed energized conductors
- Anytime that a flash suit is recommended
Table 35 Typical applications of insulating gloves (Source: Cadick, Capelli-Schellpfeffer, and Neitzel, 2000, pp 2.11, Table 2.5)
Always inspect your insulating gloves before wearing them. The prime concern of field inspections are cuts, tears, punctures, discoloration, stiffness and non-uniformities in the rubber materials. Field inspection and periodic tests are summarized as follows.
22.214.171.124 Air Test
Air test should be conducted before each use. Inflate the glove with air and held close to the face to feel for air leaks through pinholes or cracks. The procedures are illustrated in Illustration 2 and 3.
Illustration 2 Inflate the glove with air
Illustration 3 Held the inflated glove close to the ear to detect for leaks
126.96.36.199 Hand Rolling and Pinch Rolling
Squeeze the inside surface of the gloves so as to bend the outside surface by rolling between the hands. The stress developed will highlight cracks, cuts, scratches and irregularities, if any. Pinching rolling is a more precise inspection by rolling gloves between the thumb and fingers. It is used to inspect suspicious areas. Inspection by hand and pinch rolling are shown in Illustration 4 and 5.
Illustration 4 Rolling between the hand to inspect cracks, cuts, scratches and irregularities
Illustration 5 Pinching is to squeeze the gloves by fingers to pinpoint the irregularities of a small area.
188.8.131.52 Stretching
Stretch the thumb and finger crotches by pulling apart adjacent thumb and fingers to look for irregularities as shown in Illustration 6.
Illustration 6 To stretch the crotches area to check for irregularities
184.108.40.206 Electrical Retesting
It is recommended that insulating gloves are to be electrically tested at an interval of every 6 months. Electrical testing of insulating gloves is a specialized procedure and should be conducted by accredited testing center with recognized Standards.
220.127.116.11 Precautions in Use
- Gloves should not be exposed to undue heat or light
- Gloves should not be allowed to come into contact with oil, grease, turpentine, whit spirit or strong acid. Gloves should be wiped clean as soon as possible, if being contaminated.
Soiled gloves should be cleaned with soap and water.
Protector gloves should be worn over insulating gloves to protect against anticipated mechanical damages.
Gloves may be dusted with talcum powder to absorb perspiration.
18.104.22.168 Damaged Gloves.
Gloves with the following defects shall not be used.
- Holes, tears, punctures, or cuts.
- Ozone cutting
- Imbedded foreign objects
- Texture changes and sticky
5.3.3 Maintenance Guide
22.214.171.124 Storage
Gloves should be stored in their container or package. It should not be compressed, folded, or stored in proximity to heat sources, direct sunlight or ozone sources. Gloves may be kept inside of a protector or a box used exclusively for its storage.
126.96.36.199 Repair
Minor cuts, abrasion, tears or punctures may be repaired by compatible patches. Repair shall be limited to the gauntlet area. Subsequent to any repair, gloves shall be re-inspected and retested in accordance with the field tests and electrical tests prior put back to service.
188.8.131.52 Record Keeping
A record shall be kept of the testing/retesting details of the gloves. Date of test and voltage applied shall be recorded. Gloves that failed the tests shall be rejected and disposed by cut, defaced, or marked for its unsuitable for electrical services.
5.4 Recommendations for Further Studies
Given the findings of the survey, the following topics will be of interest to help the REW on promotion of insulating gloves in the trade.
- Lost of dexterity had been ranked the highest score which REW were reluctant to wear insulating gloves in their daily jobs. It will be interested to conduct systematic tests to measure dexterity performances and analysis the lost of performance, if any, of REW in job execution with insulating gloves at work.
- There were over one-fifth (21%) of REW using insulating gloves reported allergy or irritant reactions. It may wealth a comprehensive hygienic study on the issue, to ensure on extended applications of insulating gloves would not lead to adverse occupational health hazard.
Reference
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ASTM Standard Specification for Rubber Insulating Gloves, Designation: D 120-95
ASTM Standard Specification for In-Service Care of Insulating Gloves and Sleeve, Designation: F496-95a
Australian Standard – Insulating gloves for electrical purposes, AS 2225-1994
British Standard – Specification for Gloves and mitts of insulating material for live work, BS EN60903: 1993
British Standard – Specification for Rubber glover for electrical purposes, BS 697: 1986
British Standard – General Requirement for Gloves BS EN420: 1994
Burns, Robert B. 1994, *Introduction to Research Methods*, 2nd edition, Longman Cheshire Pty Limited, pp. 245-375
Cadick, John; Capelli-Schellpfeffer, Mary and Neitzel Dennis 2000, *Electrical Safety Handbook*, 2nd edition, McGraw-Hill
Census and Statistics Department 2001, Key Statistics of the 2001 Population Census
Chmiel, Nik 2000, *Introduction to Work and Organizational Psychology: A European Perspective*, Oxford Publishing Ltd.
Cooper, Fordham 1993, *Electrical Safety Engineering*, 3rd edition, Butterworth-Heinemann Ltd.
Department of Employment, 2000, Workplace Health and Safety Risk Management Advisory Standard 2000 Supplement No.1 – Personal Protective Equipment, Queensland Government.
Electrical and Mechanical Services Department 1997, Code of Practice for the Electricity (Wiring) Regulation, Clause 4G pp22-23, The Government of the Hong Kong Special Administrative Region.
Electrical and Mechanical Service Department (EMSD) 1988, *Quality & Safety – A Systems Approach*, Hong Kong Government
Graham, Roberts-Phelps 1999, *Personal Protective Equipment – A Gower Health & Safety Workbook*, Gower
Heinrich, H.W. Petersen, Dan and Roos, Nestor 1980, *Industrial Accident Prevention – A Safety Management Approach*, 5th edition, McGraw Hill Book Co.
Herrick, Robert F. 1998, Overview and Philosophy of Personal Protection, *Encyclopaedia of Occupational Health and Safety*, 4th edition, International Labour Office, Geneva, Ch 31.
IEE – Health and Safety Briefing 34a – Use of Electricity in the Workplace, (online) updated July, 2002, (cited on November 24, 2002)
Available from Internet
www.iee.org/Policy/Areas/Health/hsb34a.cfm
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Labour Department, 1990, Safe Systems of Works, Factory Inspectorate of Labour Department, Hong Kong.
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Insulating gloves for live working 帶作絕緣手套 GB17622 - 1998
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Available from Internet
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Appendix A
Guidance Notes on The Selection, Use and Maintenance of Insulating Gloves
Guidance Notes
on
The Selection, Use and Maintenance
of
Insulating Gloves
Prepared By: M. F. Lai
Date: December 2002
1. Background
There are no official guidelines for electricians in HKSAR to select and use insulating gloves. Most of the present national standards address the testing and manufacturing specification of gloves under laboratory conditions, not the selection and uses of insulating gloves at workplaces. In a survey of 216 Registered Electrical Workers (REW) in mid 2002, 90% of the electricians had encountered live electrical working. Over half of the surveyed sample (52%) worked on live system or equipment on a weekly basis. The survey further indicated that 81% of the REW has no experience in the use of insulating gloves.
To reduce electrical shock hazards, isolation and safe work system are effective approaches. Tag out/lock out procedure and restricted access to hazardous electrical areas are common isolation practices. Insulating gloves, as well as other personal protective devices, are the last line of defense. To achieve the intended protection, the selection of insulating gloves should satisfy the set out performance criteria and the use of gloves shall follow established safety program.
2. Scope
This Guidance Notes set out recommendations based on a review of literature on electrical safety and findings of questionnaire survey on Registered Electrical Workers (REW) of mid 2002. It gives guidance on the three main areas.
2.1 Selection – Criteria in the determination on the classes of gloves appropriate to the particular application and the envisaged hazards.
2.2 Use – Safety precautions to be followed in daily applications at workplaces.
2.3 Maintenance – Safe and hygienic practices to be followed in cleaning, repair, periodic testing and storage
3. Objectives
The objective of this Guidance Notes is to allow REW to correctly select insulating gloves appropriate for their applications and to upkeep them to ensure proper protective functions are maintained.
4. Electrical Hazards
Electrical safety involves a thorough understanding on the electrical hazards so that we will have the correct perception in development of protective strategies. The National Institute for Occupational Safety and Health has prepared a student manual of Safety and Health for Electrical Trade (NIOSH Publication No. 2002-123), in which electrical hazards are broadly classified as follows.
4.1 Shock
Electric Shock is the physical stimulation that occurs when electric current passes through the body (Cadick, 2000). The degree of danger from electrical shock depends on the amount, duration, path of the shocking current and the general physical condition of the person receiving shock.
1.3.2 Burns
Burns caused by electricity are frequently third degree burns as a result of burning from the inside. It could be further categorized into 3 main groups:
- Electrical Burns.
- Arc burns
- Thermal contact burns
1.3.3 Falls
Even low voltages at 80 a-c volts (Cooper, 1993) can cause violent muscular contraction. One may lose the balance and fall at height. Serious injuries, like bone fractures or even death may be resulted from the fall arising from electrical incident.
The damages of electric shocks arising from varying amount of current passing through the body are summarized in Figure 1.
| Current | Reaction |
|-------------------------|--------------------------------------------------------------------------|
| 1 milliamp | Just a faint tingle. |
| 5 milliamps | Slight shock felt. Disturbing, but not painful. Most people can "let go." However, strong involuntary movements can cause injuries. |
| 6-25 milliamps (women)† | Painful shock. Muscular control is lost. This is the range where "freezing currents" start. It may not be possible to "let go." |
| 9-30 milliamps (men) | |
| 50-150 milliamps | Extremely painful shock, respiratory arrest (breathing stops), severe muscle contractions. Flexor muscles may cause holding on; extensor muscles may cause intense pushing away. Death is possible. |
| 1,000-4,300 milliamps (1-4.3 amps) | Ventricular fibrillation (heart pumping action not rhythmic) occurs. Muscles contract; nerve damage occurs. Death is likely. |
| 10,000 milliamps (10 amps) | Cardiac arrest and severe burns occur. Death is probable. |
(Source: Safety and Health for Electrical Trade (NIOSH Publication No. 2002-123))
5. Protective Strategies
Under Section 6A of the Factories and Industrial Undertakings Ordinance, Chapter 59, employers are legally obliged to provide and to maintain “systems of work”, as far as reasonable practical, safe and without risks to health.
5.1 Safe System of Work
In the Health and Safety Briefings of The Institution of Electrical Engineers (IEE, 2001), systems of work have a broad meaning which includes:
- Physical layout of the job.
- Sequence in which the work is to be carried out
- Provision of warnings and notices
- Issue of instructions.
- Any subsequent modification and improvements of the established system.
In simple terms, the protection of workers relies on the duty of care of employer under the provision of safe system of work (Labour Department, 1990). The obligation on the employer is threefold:
- Provision of a competent person
- Adequate material and plant
- Effective supervision
5.2 Key Elements of a Safe System of Work
The process to develop a modern safe system of work (IEE, 2001) is to first, identify the hazards, followed by:
- Make a risk assessment
- Determine what can be done to remove the identified hazards.
- Formalize the hazard control steps into procedures.
- Include in the procedure the use of permit to work coupled with physical lockout systems.
- Monitor the observance
- Feed-back failures in system
- Rectify defects and modify system
- Keep monitoring and continuous improvement.
The safe system of work can be considered as a formal procedure which results from systematic examination of a task in order to identify all the hazards and subsequent effective elimination of hazards (Labour Department, 1990)
5.3 Risk Assessment
The Management of Health and Safety at Work Regulations (1999) of UK defines risk assessment as identifying the hazards present in any undertaking and then evaluate the extent of the risks involved, taking into account whatever precautions are already being taken. It further defines hazard as potential harm and risk as the likelihood of the harm from a particular hazard being realized.
In Hong Kong, the Factories and Industrial Undertakings Regulations and the Occupation Safety and Health Regulations require common risks to be assessed. It is the legal duty of employers to assess certain risks to identify what has to be done to protect workers from harm. The Safety Management Regulation (2000) further sets out the requirement in establishment of a program to identify hazardous exposure or the risk of such exposure to the workers. Proposed engineering controls and provision of suitable personal protective equipment are one of the key elements stipulated in the Safety Management System to be adopted. It is important to note that very specialized risks, such as electrical hazards, has not been set out in the Factory and Industrial Undertakings (Electricity) Regulations or the Electricity Ordinance.
5.4 Hierarchy of Control on Electrical Hazards
In a broad sense, the hierarchy of engineering control being: firstly elimination, then isolation and lastly minimization (Pringle, 2001). The hierarchy of hazard control can be summarised in the inverted pyramid as shown in Figure 2.
Following a similar hierarchy of control, WorkCover Corporation of South Australia (2002) suggests a sequence of action to deal with anticipated electrical hazard.
- Elimination
- Remove hazardous electrical plant from the workplace.
- Cease in-house operations of hazardous work.
• Substitution
– Use low voltage electrical appliances
– Substitute movable electrical plant with fixed equipment
• Isolation
– Place hazardous electrical plant in enclosures with restricted access
– Apply tagout and lockout procedure
• Minimization
– Use engineering controls. The application of RCDs to protect socket outlet could be an effective means to protect workers from harmful electrical shock.
– Use administrative controls. Scheduled inspections and checks on electrical installation and implementation of safe work practices, instruction and training would help to identify electrical faults and rectify the defects in a systemic way.
• Use Personal Protective Equipment (PPE)
– The use of insulated gloves, rubber mats and other personal protective equipment is the last resort. Protective barrier on person is the lowest level of the control hierarchy. “All practicable steps” in each control level shall be applied, before dropping to the next level.
6. Selection of Insulating Gloves
The selection of proper insulating glove begins with an accurate evaluation of job applications. Factors that influence the selection are:
6.1 Maximum Usage Voltage
Voltages of electrical installations to be handled are of prime importance in selection of insulating gloves. Typical types and their specified voltages are listed below for information.
| Glove Type | Rated Voltage |
|------------|---------------|
| 00 | 500V |
| | |
| 0 | 1000V |
| | |
| 1 | 7500V |
| | |
| 2 | 17000V |
| | |
| 3 | 26500V |
| | |
| 4 | 36000V |
| Glove Type | Rated Voltage |
|------------|---------------|
| a | 650V |
| b | 1000V |
| c | 3300V |
| d | 4000V |
| | |
| 1 | 3000V |
| 2 | 6000V |
| 3 | 10000V |
| Glove Type | Rated Voltage |
|------------|---------------|
| A | 600V |
| B | 3500V |
| C | 7000V |
Table 1 Maximum use voltage for various classes of insulating gloves (Source: BS EN60903: 1993, Table A I; D120-95 of ASTM Standard 1996, pp 16; JIS 8112: 1997, Table 1; GB17622 –1998, Table2; BS697: 1986, Clause 1 and AS 2225 – 1994, Table 3)
6.2 Special contact requirements
Insulating gloves may need special resistance properties, in addition to insulation performance, to meet actual job requirement at workplaces. Typical resistance properties are listed.
6.2.1 BS EN60903: 1993
| Category | Resistant to |
|----------|------------------------------|
| A | Acid |
| H | Oil |
| Z | Ozone |
| M | Mechanical (higher level) |
| R | Acid, oil, ozone, mechanical (higher level) |
| C | Extreme low temperature |
Table 2 Special properties of insulating gloves of BS EN60903.1993 (Source: BS EN60903: 1993, Table I)
6.2.2 Designation: D120-95 of ASTM Standard 1996
| Category | Resistant to |
|----------|------------------------------|
| Type I | Non-resistant to ozone |
| Type II | Resistant to ozone |
Table 3 Special properties of insulating gloves of D120-95 of ASTM (Source: D120-95 of ASTM Standard 1996, pp 16-17)
6.3 Dexterity requirements
Loss of dexterity was the prime reason that the surveyed REW were not willingly to wear insulating gloves in their daily work. For a given rubber polymer, an increase in thickness will result in a higher level of protection. But thick gloves can impair dexterity. Both BS 697:1986 and AS 2225-1994 recognizes the need to have a high flexibility and dexterity in certain jobs. No minimum thickness is specified for 650V gloves under these Specifications. Electrical performances of which are determined by tests.
6.4 Grip requirements
Lack of grip was ranked the second highest reason for reluctance in use of insulating gloves. Sensitivity and the ability to grip are important factors. Select an insulating glove with working area (all fingers, thumb crotches and palm) of suitable finish to provide the necessary grip needed for your job.
6.5 Size and fit
Proper size and fit contribute to comfort, productivity and safety. Gloves which are undersize may cause undue hand fatigue. Oversized gloves are uncomfortable, lack of sensitivity and may get caught in between revolving parts. Hand circumference method is the most common measurement in glove sizing. Circumference of the hand around the palm area, with fingers together and hand relaxed. The measured length in inches is closest to the actual glove size. Figure 3 shows the measurement to determine proper gloves size.
Figure 3. To determine glove size by hand circumference measurement (8 inches equals to size 8)
For easy comparison, glove sizes and corresponding general sizes are shown in Table 4.
| Numerical Glove Size | 6-7 | 7-8 | 8-9 | 9-10 | 11 |
|----------------------|-----|-----|-----|------|----|
| General Glove Size | XS | S | M | L | XL |
Table 4 Corresponding glove sizes (Source: Cole Parmer, Safety Glove Sizing Guide)
Dimensions of gloves may be different amongst manufacturers. Detailed measurements should be with specifications of manufactures. Typical glove dimensions are as shown in Table 5.
| Details | Glove Size |
|----------------------------------------------|------------|
| | 8 | 9 | 10 | 11 |
| Circumference of palm | 210 | 235 | 255 | 280 |
| Circumference of wrist | 220 | 230 | 240 | 255 |
| Circumference of cuff | 330 | 340 | 350 | 360 |
| Circumference of thumb | 70 | 80 | 90 | 95 |
| Circumference of index finger | 60 | 70 | 80 | 85 |
| Circumference of middle finger | 60 | 70 | 80 | 85 |
| Circumference of forefinger | 60 | 70 | 80 | 85 |
| Circumference of little finger | 55 | 60 | 70 | 75 |
| Width of palm | 95 | 100 | 110 | 125 |
| Wrist to end of index finger | 170 | 175 | 185 | 195 |
| Base line of thumbs to end of index finger | 110 | 110 | 115 | 120 |
| Mid point of curve of index finger | 6 | 6 | 6 | 8 |
| Length of index finger | 60 | 65 | 70 | 70 |
| Length of middle finger | 75 | 80 | 85 | 85 |
| Length of forefinger | 70 | 75 | 80 | 80 |
| Length of little finger | 55 | 60 | 65 | 65 |
| Length of thumb | 55 | 60 | 65 | 65 |
| Length between end of index and middle finger| 15 | 17 | 17 | 17 |
Table 5 Typical gloves dimensions (Source: EN 60903 : 1992, Table B1)
6.6 Puncture, snag, tear and cut resistant
Other than electrical insulation performance, gloves selected should comply with specified strength requirement to provide protection against possible damages by puncture, snag, tear and cut during working process. Typical strength requirements are as shown in Table 6.
| Physical Strength Property | Typical Requirement |
|----------------------------|---------------------|
| Tensile Strength | 17.2 Mpa |
| Ultimate elongation | 600% |
| Tear Resistance | 21 kN/m |
| Puncture Resistance | 18 kN/m |
| Hardness | 47 shore A |
Table 6 Typical strength requirement of insulating gloves (Source: D120-95 of ASTM Standard 1996, Table 4)
6.7 Allergic reaction
Gloves of natural latex or rubber may cause an allergic sensitivity to some of the wearers. The allergic reaction most commonly appears as a reddening or itching at the site of glove contact. Stop further wearing insulating gloves on suspect of allergic reaction and check with manufacturers for availability of non-latex alternative types.
7. Use of Insulating Gloves
Insulating gloves should be worn when there is a danger in contact between the hands and live parts of the electrical system. Typical working conditions which demand the uses of insulating gloves are shown in Table 7.
- Working close to exposed, overhead energized lines
- Working in switchgear, close to exposed energized conductors
- Anytime that a flash suit is recommended
Table 7 Typical working conditions which demand the uses of insulating gloves (Source: Cadick, Capelli-Schellpfeffer, and Neitzel, 2000, pp 2.11, Table 2.5)
Always inspect your insulating gloves before them. The prime concern of field inspections are cuts, tears, punctures, discoloration, stiffness and non-uniformities in the rubber materials. Field inspection and periodic tests are summarized as follows.
7.1 Air Test
Air test should be conducted before each use. Inflate the glove with air and held close to the face to feel for air leaks through pinholes or cracks. The procedures are illustrated in Figure 4 and 5.
Figure 4 Inflate the glove with air
Figure 5 Held the inflated glove close to the ear to detect for leaks
7.2 Hand Rolling and Pinch Rolling
Squeeze the inside surface of the gloves so as to bend the outside surface by rolling between the hands. The stress developed will highlight cracks, cuts, scratches and irregularities, if any. Pinching rolling is a more precise inspection by rolling gloves between the thumb and fingers. It is used to inspect suspicious areas. Inspection by hand and pinch rolling are illustrated in Figure 6 and 7.
Figure 6 Rolling between the hand to inspect cracks, cuts, scratches and irregularities
Figure 7 Pinching is to squeeze the gloves by fingers to pinpoint the irregularities of a small area.
7.3 Stretching
Stretch the thumb and finger crotches by pulling apart adjacent thumb and fingers to look for irregularities as shown in Figure 8.
7.4 Electrical Retesting
It is recommended that insulating gloves are to be electrically tested at an interval of every 6 months. Electrical testing of insulating gloves is a specialized procedure and should be conducted by accredited testing center with recognized Standards.
7.5 Precautions in Use
- Gloves should not be exposed to undue heat or light.
- Gloves should not be allowed to come into contact with oil, grease, turpentine, whit spirit or strong acid. Gloves should be wiped clean as soon as possible, if being contaminated.
- Soiled gloves should be cleaned with soap and water.
- Protector gloves should be worn over insulating gloves to protect against anticipated mechanical damages.
- Gloves may be dusted with talcum powder to absorb perspiration.
7.6 Damaged Gloves.
Gloves with the following defects shall not be used.
- Holes, tears, punctures, or cuts.
- Ozone cutting
- Imbedded foreign objects
- Texture changes and sticky
8. Care and Maintenance of Insulating Gloves
8.1 Storage
Gloves should be stored in their container or package. It should not be compressed, folded, or stored in proximity to heat sources, direct sunlight or ozone sources. Gloves may be kept inside of a protector or a box used exclusively for its storage.
8.2 Repair
Minor cuts, abrasion, tears or punctures may be repaired by compatible patches. Repair shall be limited to the gauntlet area. Subsequent to any repair, gloves shall be re-inspected and retested in accordance with the field tests and electrical tests prior put back to service.
8.3 Record Keeping
A record shall be kept of the testing/retesting details of the gloves. Date of test and voltage applied shall be recorded. Gloves that failed the tests shall be rejected and disposed by cut, defaced, or marked for its unsuitable for electrical services.
9. Summary
Electricians need to exercise special care in the selection, use and maintenance of insulating gloves. Understanding selection criteria, types limitation, proper care and adhere to precautions at use can enhance safety against electrical shock. One should always remember that insulating gloves, as well as other personal protection equipment, are essential parts of a hazard control strategy. They are effective, provided their position, as the last line of defense, is properly recognized in the control hierarchy.
Appendix B
Questionnaire (English) of the Survey
Electrical Protective Gloves Survey
I am a POSH student of the University of Western Sydney and the Hong Kong Polytechnic University. This is a questionnaire to find out how electricians in HKSAR select and use electrical protective gloves in their daily jobs. It will take you about 15 minutes to complete this questionnaire. Kindly return your completed questionnaire to me by the attached envelop before August 30, 2002.
FIRST SOME FACTS ABOUT YOU
1. Age Group
- 17 – 28 □
- 29 – 40 □
- 41 – 52 □
- 53 – 64 □
- 65 + □
2. Education
- Primary □
- Secondary □
- Tertiary □
- University □
- Others □, please specific ____________________________
3. Permitted Class of Electrical Work
- A □
- B □
- C □
- H □
- R □
4. Electrical Work Experience
- <5 years □
- 6 – 10 years □
- 11 – 15 years □
- 16 – 20 years □
- 21 + years □
NOW SOME QUESTIONS ABOUT YOUR WORK
5. Do you or your employer conduct risk assessment prior to electrical work?
- Yes □
- No □
- Don’t Know □
6. Have you or your employer carried out accident/incident investigation after an accident?
- Yes □
- No □
- Don’t Know □
7. Does your company have Job Safety Analysis (JSA)
- Yes □
- No □
- Don’t Know □
8. Does your company conduct Process Hazard Review?
- Yes □
- No □
- Don’t Know □
9. Does your company have a lock out procedure?
- Yes □
- No □
- Don’t Know □
10. How often do you encounter live electrical work?
daily □ weekly □ monthly □ yearly □ never □ (Skip to Q13)
11. Which type of electrical work do you encounter live work most?
Installation □ Repair □ Inspection □ Testing □ Commissioning □
NOW SOME OPINIONS ABOUT YOUR SELECTION ON ELECTRICAL GLOVES
12. Have you used electrical protective gloves before?
Yes □ (Skip to Q 14) No □
13. With regard to not using electrical protective gloves, which of the following factors influenced you? (You may tick more than one)
Cost □ Lost of dexterity □
No knowledge □ Allergies □
Ineffective protection □ Uncomfortable □
Incompatible to task □ Size don’t fit □
Not durable □ Inappropriate length of protection □
Lack of grip □ No particular reasons □
Others □ , please specify _______________________
YOU HAVE COMPLETED THIS QUESTIONNAIRE, THANK YOU FOR YOUR TIME. YOU CAN LEAVE THE FOLLOWING QUESTIONS BLANK.
14. Where do you obtain your electrical protective gloves?
Provided by employer □ Bought from hardware store □ Bought from PPE store □
Bought through trade union □ Bought through mail or internet ordering □
HAVE YOU CONSIDERED THE FOLLOWING FACTORS IN YOUR SELECTION?
| | YES | NO | DON'T KNOW |
|---|-----|----|------------|
| 15. Protective capability | | | |
| 16. Workmanship and product quality | | | |
| 17. Task compatibility | | | |
| 18. Dexterity | | | |
| 19. Grip | | | |
| 20. Comfort | | | |
| 21. Size | | | |
| 22. Cuff style | | | |
| 23. Length to be protected | | | |
| 24. Puncture, snag, tear and cut resistance | | | |
| 25. Durability | | | |
| 26. Marking | | | |
| 27. Packing | | | |
| 28. Cost | | | |
NOW SOME USER EXPERIENCE OF YOURSELF ON ELECTRICAL GLOVES
29. Have you read the in-service recommendations and instructions of gloves manufacturers prior to first use?
Yes □ No □ Not provided □
30. Where do you store your electrical gloves?
No designated storage □ Toolbox □ Package of manufacturer □ Specific location free from heat, sunlight and ozone. □ Others □ , please specify __________________________
31. Do you inflate gloves and check for air leaks before each use?
Yes □ No □ Other leak tests □ , please specify __________________________
32. Do you carry out visual inspection before each use
Yes □ No □ Other tests □ , please specify __________________________
33. Do you carry out rolling test to check surface defects and imbedded materials
Yes □ No □ Other tests □ , please specify __________________________
34. Do you or your employer carry out periodic inspection and dielectric test every six months?
Yes □ No □ Other leak tests □ , please specify __________________________
35. Do you or your employer establish instructions and regulations to govern the correct use of gloves
Yes □ No □ Don’t Know □
36. Have you experienced allergic contact dermatitis on use of electrical protective gloves?
Yes □ No □ Other irritant reactions □
THANK YOU FOR YOUR TIME TO COMPLETE THIS QUESTIONNAIRE
Appendix C
Questionnaire (Chinese) of the Survey
有關電工使用電器安全手套之調查
本人是由澳洲 UWS 大學及香港理工大學所舉辦職業安全及健康課程的研究生。現在正進行一項有關香港在職的電工如何選購及使用絕緣手套的調查。是次問卷只需閣下約十五分鐘完成。完成後請把問卷在 2002 年 8 月 30 日前放入附上的信封寄回。
謝謝閣下合作!
第一部分:基本統計資料
在適當的方格加上 ☐ 號
1. 年齡組別:
- 17-28 ☐
- 29-40 ☐
- 41-52 ☐
- 53-64 ☐
- 65 以上 ☐
2. 學歷:
- 小學 ☐
- 中學 ☐
- 大學 ☐
- 其他 ☐,請註明 _______________________
3. 註冊之電工准許工程級別:
- A ☐
- B ☐
- C ☐
- H ☐
- R ☐
4. 電力作業之經驗:
- 少於 5 年 ☐
- 5-10 年 ☐
- 11-15 年 ☐
- 16-21 年 ☐
- 21 年或以上 ☐
第二部分:有關閣下日常工作的題問
5. 你或你的顧主在開始有關電力工作之前有否進行風險評估?
- 有 ☐
- 否 ☐
- 不清楚 ☐
6. 一旦有事故發生,你的顧主有否進行意外/事故調查研究?
- 有 ☐
- 否 ☐
- 不清楚 ☐
7. 你的顧主有否採用工作安全分析 (Job Safety Analysis)?
- 有 ☐
- 否 ☐
- 不清楚 ☐
8. 你的公司有否進行工序危害覆核(Process Hazard Review)?
- 有 ☐
- 否 ☐
- 不清楚 ☐
9. 你的公司有否採用斷電上鎖/掛牌程序 (Lockout/Tagout Procedure)?
有 □ 否 □ 不清楚 □
10. 你有多經常帶電作業?
每天 □ 每週 □ 每月 □ 每年 □
從未 □ (跳至第 13 題)
11. 以下那種工作令你最經常帶電作業?
安裝 □ 修理 □ 檢查 □ 測試 □ 啟動□
第三部分:有關你選擇電器安全手套的意見
12. 你曾否使用電絕緣手套?
有 □ (跳至第 15 題) 否 □ (請到第 14 題及完成問卷)
13. 以下那些因素影響你在工作時不使用電絕緣手套? (可選多於一項)
價錢 □ 影響靈活性 □
缺乏有關知識 □ 皮膚過敏 □
保護不足 □ 不舒適 □
不能與工作相容 □ 尺碼不合 □
不耐用 □ 保護長度不合 □
不能緊握物件 □ 沒特別原因 □
其他 □,請註明 _______________
閣下已完成此問卷, 謝謝閣下抽空完成! (以下部分請留空)
14. 你從那種途徑獲得電絕緣手套?
由顧主提供 □ 五金器具店 □ 職安健專門店 □
經工會購買 □ 經電郵或網上商店購買 □
選擇絕緣手套前,你曾否考慮以下因素?
| | 有 | 否 | 不清楚 |
|---|---|---|--------|
| 15. 保護能力 | □ | □ | □ |
| 16. 產品質量 | □ | □ | □ |
| 17. 電氣絕緣性能 | □ | □ | □ |
| 18. 灵活性 | □ | □ | □ |
| 19. 緊握度 | □ | □ | □ |
| 20. 舒適度 | □ | □ | □ |
| 21. 尺碼 | □ | □ | □ |
| 22. 袖口設計 | □ | □ | □ |
| 23. 雙手受保護部份 | □ | □ | □ |
| 24. 抗刺穿/劃破/撕破/剪斷的耐力 | □ | □ | □ |
| 25. 耐用性 | □ | □ | □ |
| 26. 標記 | □ | □ | □ |
| 27. 包裝 | □ | □ | □ |
| 28. 價格 | □ | □ | □ |
第四部份:有關使用電絕緣手套的經驗
29. 在使用電絕緣手套之前, 你有否先閱讀過製造商的使用指示或建議?
有 □ 否 □ 沒有提供 □
30. 你如何儲藏你的電絕緣手套?
沒有指定地方 □ 工具箱 □ 製造商的包裝盒 □ 放在避免與陽光、高溫及臭氧接觸的地方 □ 其他,請註明 ______________________
31. 你有否在每次使用絕緣手套前使手套進行洩氣測試?
有 □ 否 □ 使用其他測試 □,請註明 ________________
32. 每次使用前有否使用目測法檢查手套?
有 □ 否 □ 使用其他測試 □,請註明 ________________
33. 每次使用前有否用拇指展開壓痕以便檢查表面瑕疵及是否藏有雜質?
有 □ 否 □ 使用其他測試 □,請註明 ________________
34. 你或你的顧主有否每六個月進行定期檢查及驗證電壓試驗?
有 □ 否 □ 使用其他漏電測試 □,請註明 ________________
35. 你或你的顧主有否定立正確使用電絕緣手套的指示及規則?
有 □ 否 □ 不清楚 □
36. 你曾否因穿戴電絕緣手套而引起皮膚過敏症狀?
有 □ 否 □ 其他過敏反應 □
完
謝謝閣下抽空完成問卷!
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It is often said (among those who talk about such things) that the short story is the most difficult of the prose arts to achieve.
Wouldn’t You Like to Know
Very short stories
By Pamela Painter
(Carnegie Mellon University Press)
Paperback (103 Pages; $17.95)
It is often said (among those who talk about such things) that the short story is the most difficult of the prose arts to achieve. This excludes poetry, which is in a class all by itself. But then along comes this form called the short-short story or flash fiction or microfiction — whatever moniker you care to hang on it, but it is generally a fully realized story under 1,000 words. Arguably the most famous short-short was written by a guy named Hemingway. Here it is in its entirety: “For sale: baby shoes, never worn.” Six words that make a complete story, laying out everything you need to know.
Pamela Painter’s new collection of “very short stories” is called Wouldn’t You Like to Know. It is such an enjoyable and rich experience to read that if I had to come up with an answer to her title it would be, “Yes, I would like to know — how you do pull this off?” Painter, who is on the faculty of the MFA writing program at Emerson College in Boston and has had a home on the Lower Cape for more than 25 years, is the reigning master of the short-short. She’s also co-written (with the novelist Anne Bernays) a wildly popular instructional book, What if? Writing Exercises for Fiction Writers. Reading this and Janet Burroway’s classic, Writing Fiction, may well be the equivalent of a master’s program.
One of the reasons a satisfying short story is so hard to do is the limited space you have in which to include most of the elements of fiction: characterization, dialog, setting, plot, conflict, point of view, and a few others that writing instructors will argue about. Imagine, then, the difficulty in trying to include these elements and still supply an arc to the story — all in under 1,000 words. Painter manages this with ease, and some of her stories are under 500 words. She is the best antidote to all who suffer from those two deadly writer’s diseases, adverbia and adjectivia. Too many words spent to convey one idea — the original sin of writers.
The stories in Wouldn’t You Like to Know are not just novelties; they are fully realized works of fiction. In one of the stories, “After Key West,” a couple trying to heal their marriage tours some of the town’s more famous attractions, such as the Hemingway House. But it is in the Maritime Museum, during the docent’s droning
tour, that the wife shares an epiphany about her marriage. In another story, "Snap Judgment," a husband has set mouse traps around the house to combat a rodent problem. The ensuing conversation between husband and wife is both amusing and symbolic — again, all within a page and a half.
In one of the longer stories of the collection, "Touchdown," a local phenom on the high school football team has been left a paraplegic at the hands of a drunken driver. The story is both heartbreaking and exhilarating as the former quarterback, Cady, learns to love and lose and love again. This is Painter at her best — unflinching and never bereft of hope for humanity. And you could hang on the ending line of most of these stories as well.
In story after story, some 33 of them within 103 pages, there's not a dud in the lot. In another of her scenarios, "Nose Interview," Painter renders a humorous one-sentence, page-and-a-half stream-of-consciousness story that we can all share in with our own personal experience. There is nothing vague or difficult in Wouldn't You Like to Know.
Painter's collection is not one to breeze through as though racing to a finish line. That is the temptation with so many short-short stories. But these should be savored, one by one, and appreciated for their importance and creativity. They are wise and revelatory. They go down easily and taste good.
If I had to summarize this exceptional collection in one sentence, it would be: Here are some stories that will likely reflect every phase of your life. And that might be the best short-short summation I've ever written.
Michael Lee of Wellfleet is a member of the National Book Critics Circle.
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Dear Parents,
We have already started sending out Classroom invites for the new academic year. You will see that your child has been added in a lot of new Classrooms this year. (Eager to know what all those new subjects are? More about that in a different email!)
We have also posted Orientation videos on the subject - wise classrooms, for you to get an idea of how each subject is taught over the course of the year, at Walnut. Sample assignments are being posted on the subject - specific classrooms too, to get you used to posting H.W assignments.
Over the weekend, you will receive the weekly schedule email, through which you will have access to all the academic material that teachers will be referring to over the coming week. Students will be assigned daily H.W assignments for different subjects, which they must solve and submit so that teachers can evaluate them.
This is the offline version of the school, in which students will have access to the printed worksheets + soft copy of the worksheets + blackboard presentations + teacher instructions + elearning videos + homework and classwork assignments + schedule for the week in advance.
The "Live" teacher experience :
The students will have "live" classes with the teacher through Google Meet. The teacher will go through a 35 minute class with the students (like they do in school).
Classes will be in the mornings from Monday to Friday. There will be short breaks in between classes as well.
Students will have to sit with their textbook, worksheets, writing material etc. in front of the computer and watch the teacher and follow along. (We highly recommend a laptop or a desktop for this!) After the classes for the day are done, students can have a lunch break and then sit and finish the homework and submit it.
Here is your timetable. Make sure you have your textbook, worksheets and writing material with you before class starts. Sit at your desk in a quiet place. Make sure you are fresh and are ready to learn! (Finish your snacks, potty breaks, drinking water etc. before each class starts.)
(A customized timetable will be shared with you, based on the standard your child is studying in.)
Students will have to access this link for the live classes : (A customized link will be shared with you, based on the standard your child is studying in.)
Click on this link 5 minutes before the school day begins and wait for the first class to start! The same link will be used for all subjects, so do stay logged on.
The Reading class mentioned in the timetable will have a separate link, since the students will be split into smaller groups as per their reading levels. (Applicable for KG to Std. 4 only)
Students will have to access this link for the Reading classes : (A customized link will be shared with you, based on the standard your child is studying in.)
All live classes will be recorded and the recordings will be stored in a folder. You will be notified of the Recordings folder link in the coming week!
Remember : You have to be logged in with your Walnut email ID to get access to any Walnut Material – the recordings, worksheets, presentations, classrooms, Walmiki quizzes, Walmiki videos etc. You will NOT be able to access it through your other personal email accounts or your parents' email accounts.
SOME QUESTIONS THAT YOU MIGHT HAVE
What happens if you miss a class or cannot log on at the time?
No problem. You can still access the material that is given to you which has all the instructions + after the session is over, you can access the recording of the whole live session. That way, even if you want a repeat of the teaching, you can have it whenever you want!
What if the call disconnects during a class?
This is most likely going to happen! Connections are not always good. Even when we are on the phone, calls drop so many times.
Again, don't worry. It's not a big deal. You can just use the same link and log back on. If you miss anything in the period between being disconnected logging back on, you can always check out the recorded class videos. All is well :)
What if my child prefers the offline method and doesn't really want these 'live' classes?
No problem. You can choose whichever way suits you. Independent and fast learners may prefer studying on their own, using the curricular material. That's absolutely fine. You may choose a mixture of methods to study too. For example, a student who has a good aptitude for mathematics may not need live teaching for that subject but may want it for Marathi. You can choose whatever combinations work for you. Just make sure that your parents know if you are opting out of a live class and are okay with it. And – you must be responsible and do your assignments properly and submit them in time.
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BLACK FLYER
WHITE FLYER
| Categories: Freestanding Microwave, Midea | Tags: Appliances, Grill, Microwave, Midea, Oven
Ventura, Ventura Malta,
Page: 1
Thank you for choosing Ventura Appliances Malta
MIDEA 28LTR MICROWAVE OVEN + GRILL + DEFROST
SPECIFICATION
– Microwave + Defrost + Grill
– Capacity 28lt
– Available in Black or White
– Dimensions (LxWxH): 513x425x305mm
– Digital Display
WARRANTY
Warranty 2 years on all working parts and labour
VARIATIONS
Page: 2
Thank you for choosing Ventura Appliances Malta
NOTES
Page: 3
Thank you for choosing Ventura Appliances Malta
GALLERY IMAGES
Page: 4
Thank you for choosing Ventura Appliances Malta
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Englist.me
Vocabulary Builder Reference from...
Cesar Harada: How I teach kids to love science | TED Talk https://www.ted.com/talks/cesar_harada_how_i_teac h_kids_to_love_science
IMPORTANT
This material is a commentary and does not contain any copyrighted material of the reference source. We strongly recommend accessing/buying the reference source at the same time.
Session 1: Word List
mess
n. a state of confusion, dirtiness, or untidiness; (verb) to fail to do something or to make something dirty or untidy synonym : disarray, confusion, predicament
(1) have a whole mess, (2) get into a mess He made a frightful mess in his room.
adj. answerable or accountable for something within one's power, control, or management
synonym: accountable, answerable, liable
(1) responsible action, (2) responsible for a customer service
She's a responsible pet owner who ensures her dog gets enough exercise and a healthy diet.
adj. existing only in someone's mind synonym : fictional, ideal, fantastical
(1) imaginary number, (2) imaginary pregnancy Little children tend to have imaginary friends.
n. a thin, round, and often transparent mass of gas that is surrounded by a thin layer of liquid; a state of economic or social prosperity that is unsustainable and eventually collapses
Page 1 / 57
responsible
imaginary
bubble
innocent
ignorance
ugly
invention
harbor
synonym : blob, balloon, mania
(1) bubble in the champagne glass, (2) economic bubble Many people worry that the current real estate market is a bubble that could burst soon.
adj. not guilty of a crime, offense, etc.; not having an evil mind or knowledge synonym
: blameless, honest, harmless
(1) an innocent child, (2) thousands of innocent people My husband was found innocent of any crime.
n. lack of knowledge or information about a particular subject or fact
synonym: unintelligence, inexperience, unawareness
(1) ignorance of the law, (2) ignorance is bliss His ignorance of the situation led him to make a poor decision.
adj. unattractive in appearance; unpleasant to look at synonym : unattractive, unsightly, repulsive
(1) an ugly sound, (2) ugly building The ugly truth was that he had been lying to her for months.
n. the creation of a new device or process resulting from study and experimentation; the act of inventing synonym : creation, design, innovation
(1) the invention of new techniques, (2) common invention Necessity is the mother of invention.
n. an area of water next to the coast where ships and boats are protected from rough water by piers, jetties, and other artificial structures; (verb) keep in one's possession
synonym: port, dock, pier
(1) a sheltered harbor
, (2)
harbor a resentment
The tsunami swamped every boat in the harbor.
Page 2 / 57
stumble
pile
trash
alcohol
horrify
microscope
v. to miss a step and fall or nearly fall; to walk unsteadily synonym : bumble, struggle, misstep
(1)
stumble financially, (2)
stumble through life
She stumbled
over the tree root.
n. a collection of objects positioned one on top of another; a large sum of something, such as money
synonym: accumulation, heap, stack
(1) a sand pile
, (2) the height of a pile
After the party, they had to clean up piles of dirty dishes.
n. discarded material, refuse, or waste synonym : garbage, waste, refuse
(1) trash bin, (2) trash disposal site
The city is taking measures to reduce the amount of trash
in the streets.
n. a clear liquid that can make people drunk and is used in medicines, cleaning products, etc.
synonym : booze, liquor, ethanol
(1) stop drinking alcohol, (2) diluted alcohol There is a clear association between alcohol consumption and cognitive decline.
v. to shock or disgust greatly synonym : shock, dismay, terrify
(1)
horrify audience, (2)
horrify victims
The series of terrorist attacks horrify the entire nation.
n. an instrument used to see objects or substances that are too small to be seen with the naked eye
synonym: lens, magnifier, eyepiece
(1)
microscope slide, (2) electron
microscope
I used an optical microscope to observe the small organisms in the water sample.
Page 3 / 57
risky
transform
workshop
workbench
participate
awesome
adj. involving the possibility of danger, failure, or loss synonym : dangerous, perilous, scary
(1) change risky behavior, (2) a risky enterprise It is extremely risky to sail in such a storm.
v. to change in outward structure or looks; synonym : alter, convert, change
(1) transform an education system, (2) transform heat into power
My father's death transformed my life completely.
n. a place where people work, especially one where they do manual or practical work; a brief intensive course for a small group
synonym: studio, laboratory, atelier
(1) workshop attendee, (2) carpentry workshop
The artist held a workshop to teach students how to paint with watercolors.
n. a sturdy table or bench designed for carrying out manual work, particularly in a workshop or garage context synonym : worktable, bench, desk
(1) workbench design, (2) wooden workbench I must organize my tools on the workbench before starting my project.
v. to take part in something synonym : take part, partake, enter
(1) participate fully in conversation, (2) participate in the program
The majority of students actively participated in the college's intramural sports program.
adj. inspiring fear, admiration, or respect; very good, nice, fun, etc.
synonym : miraculous, marvelous, astounding
Page 4 / 57
grind
combine
excite
prototype
hack
cam
(1) awesome mental faculty, (2) have an awesome birthday There is a lot of awesome nature and food in Hawaii.
v. to reduce something to small particles or powder by crushing or rubbing it; to work hard over a long period of time
synonym: mill, crush, grate
(1) grind away at my work, (2) grind your teeth She had to grind the coffee beans before making a fresh cup.
v. to join or merge to form a single thing or group synonym : coalesce, cohere, blend
(1) combine chemically with another substance,
(2) combine augmented reality
Hydrogen and oxygen combine to form water.
v. to make someone feel suddenly enthusiastic or eager synonym : thrill, exhilarate, animate
(1) excite the crowd, (2) excite rebellion The news of her promotion excited her.
n. a first or preliminary example of something such as a device or vehicle from which other forms are developed synonym : mock-up, precursor, model
(1) complete a prototype product, (2) early prototype The flying car is presently in the prototype stage.
v. to hit and cut somebody or something roughly and violently; to find a bug in a computer program and break into their systems or networks
synonym: cut, chop, crack
(1) hack through the jungle, (2) hack into the program This blog offers a variety of tips for hacking everyday life.
n. a device or mechanism that converts rotary motion to linear motion or vice versa; a revolving cylinder with an
Page 5 / 57
plumbing
fixture
assemble
process
irregular shape used in machinery to convert rotary motion into intermittent or reciprocating motion; an abbreviation for camera synonym : camera, device, gadget
(1) security cam, (2) cam lever
The mechanic adjusted the cam mechanism to improve the engine's performance.
n. the system of pipes, fittings, and fixtures that are used to distribute water and remove waste in a building or structure; the trade or profession of installing and maintaining such systems
synonym: pipefitting, piping
(1) plumbing problem, (2) plumbing service The plumbing in my house needs to be replaced because it keeps leaking.
n.
an object firmly installed in place, especially in a household, such as a bath or a toilet
synonym: fitting, appliance, equipment
(1) a light fixture
, (2) a fixture
in the life
He has become a fixture
of that restaurant.
v. to collect in one place as a single group synonym : gather, congregate, collect
(1) assemble your colleagues, (2) assemble a jigsaw puzzle
The president began to assemble an army.
n. a series of actions or operations performed to achieve a particular outcome or goal; a systematic procedure or approach used to accomplish a specific task or objective; a method of treating milk to make it suitable for consumption or use in other dairy products
synonym: procedure, method, system
(1)
process improvement, (2) decision-making
process
The process for applying for a visa can be lengthy and
Page 6 / 57
complicated.
Page 7 / 57
hyperconnected
spill
bare
mangrove
shock
synonym : examine, analyze, look into
(1) investigate the matter, (2) investigate a data leak The committee investigated several apparent inconsistencies.
adj.
having multiple, complex links or relationships between different people, objects, or systems
synonym: highly connected, fully connected
(1) hyperconnected network, (2) hyperconnected technology
The world has become increasingly hyperconnected, with the internet and social media playing a significant role in communication and information exchange.
v. to cause or allow liquid to run or flow over the edge of its container by accident
synonym: slop, drop, scatter
(1)
spill a bit of wine, (2)
spill my heart
He was determined to spill
everything.
adj. not covered or clothed; lacking embellishment or decoration; mere or basic; undisguised or open; empty or devoid of something
synonym: naked, exposed, uncovered
(1)
bare minimum, (2)
bare essentials
She wore a simple dress with a bare neckline
n. a tropical coastal tree or shrub that grows in saline soil and has prop roots that help to stabilize it
(1) mangrove forest, (2) mangrove swamp The mangrove trees are known for their ability to survive in
saltwater and sandy soil.
n. a strong feeling or physical reaction to a sudden and unexpected event or experience, especially something unpleasant
synonym: amazement, surprise, stunner
Page 8 / 57
mud
spectrometer
substance
spectrum
identify
(1) death from shock, (2) shock-resistant He got an electric shock at work.
n. a soft, wet, sticky earth or clay synonym : muck, sludge, ooze
(1) mud wall, (2) mud volcano
The mud of the swamp made it difficult to walk through the field.
n. a scientific device used to measure the properties of light or other radiation, often used in chemistry and physics to analyze the composition of materials synonym : spectroscope, analyzer, detector
(1) spectrometer measurement, (2) optical spectrometer The infrared spectrometer helped identify the chemical composition of the sample.
n. the real physical material of which a thing or person consist; the most important or main part of some idea or experience; an illegal drug
synonym: essence, core, material
(1) an explosive substance, (2) substance abuse problem The substance of the argument was well-presented.
n. an ordered array of colors into which a light beam can be split
synonym: range, scale, spread
(1) a broad spectrum of opinion, (2) infrared spectrum This device displayed the speech spectrum spectrographically.
v. to recognize someone or something and say or prove who or what they are
synonym: determine, specify, recognize
(1) identify handwriting, (2) identify gene sequences I will introduce you to how to identify the leading causes of
Page 9 / 57
empathy
creative
remotely
compel
experiment
massive
the malfunction.
n. the ability to share another person's feelings or experiences by imagining that person's situation synonym : compassion, sympathy, tenderness
(1) full of empathy, (2) empathy for patients Empathy is also necessary to understand history.
adj. relating to or involving the use of skill and original and unusual ideas to create something synonym : imaginative, innovative, inventive
(1)
creative writing, (2) barren of
creative spirit
All the supervisor has to do is assign tasks that make his subordinates more
creative.
adv. at a distance; not directly or easily accessible synonym : distantly, remotely, slightly
(1) remotely operate, (2) control remotely The company can remotely access its employees' computers for troubleshooting purposes.
v. to force or require someone to do something; to exert a strong, irresistible force or pressure that makes someone act in a certain way
synonym: force, oblige, coerce
(1) compel a person to submission, (2) compel attention The strict deadlines will compel the team to work efficiently.
n. the scientific test conducted to observe what happens and gain new knowledge
synonym: experimentation, investigation
(1) experiment design, (2) series of experiments His experiments showed highly positive results.
adj. enormous amount; very heavy and solid synonym : enormous, giant, immense
earthquake
violent
trigger
giant
tsunami
(1) massive amounts, (2) massive stars The recent economic downturn has resulted in massive
layoffs.
n. a sudden and violent shaking of the ground caused by the movement of rock beneath the earth's surface synonym : seismic activity, tremor, temblor
(1) an earthquake zone, (2) an earthquake-proof The violent earthquake caused widespread damage and
injuries throughout the region.
adj. involving or caused by physical force or aggression against someone or something
synonym: aggressive, intense, turbulent
(1) victim of a violent crime, (2) violent incident The protesters became violent when the police tried to disperse them.
v. to make something happen suddenly; to cause something such as a device, machine, etc. to function synonym : activate, spark, drive
(1) trigger a biochemical response, (2) trigger inflation The incident triggered a political controversy.
adj. enormous; much bigger or more important than similar items usually are
synonym: big, gigantic, huge
(1) giant trees, (2) giant tech company
The giant jets gradually dominate the world's airlines.
n. a huge ocean wave caused by an earthquake, volcano, or other disturbance
synonym: tidal wave, seismic sea wave
(1) tsunami warning, (2) tsunami relief
The earthquake- tsunami caused widespread destruction along the coast.
destroy
instant
dam
nuclear
leak
pacific
v. to ruin or damage severely or completely; to eradicate or eliminate completely
synonym: demolish, ruin, obliterate
(1) destroy the ecosystem, (2) destroyed evidence The building was destroyed in the fire and had to be rebuilt.
adj. happening immediately, with no delay synonym : immediate, urgent, moment
(1) get instant
access, (2) an instant
reply
His pleasant face turned cold in an instant.
n. a wall constructed over a river to block the flow of water,
mainly used to generate energy synonym : barricade, barrier, embankment
(1) dam-building program, (2) dam collapsing The break in the dam threatened the valley.
adj. of or relating to or constituting the nucleus of an atom; deriving destructive energy from the release of atomic energy
synonym: atomic
(1)
nuclear fusion, (2) use of
nuclear power
Many countries have now agreed to a treaty banning the use of nuclear weapons.
v. to allow liquid or gas to get in or out from a hole or crack in a pipe or container
synonym: outflow, divulge, disclose
(1) leak data, (2) leak a classified memo
He leaked serious accounting irregularities that only people in the company's executive could know.
adj. peaceful in character or intent; tending to lessen or avoid conflict; calm or soothing in manner or tone; (noun, as "Pacific") the largest and deepest of Earth's oceanic divisions
synonym : calm, peaceful, tranquil
trace
contamination
radioactive
complicated
accident
(1) pacific-natured disposition, (2) the Pacific Ocean They adopted a pacific approach to resolving their differences, emphasizing dialogue and understanding.
v. to find or discover someone or something that was lost synonym : seek, follow, depict
(1) trace a telephone call, (2) trace back to medieval times Let's trace the origins of some familiar foreign words.
n. the presence of something harmful or unwanted in a substance, material, or environment; the act of introducing harmful substances or materials into an environment or area
synonym: pollution, defilement, infection
(1) contamination levels, (2) soil contamination The contamination of the water supply led to widespread illness in the community.
adj. emitting powerful and dangerous energy when the nuclei (= central parts) of atoms are broken up synonym : dangerous, contaminated, emanating
(1) radioactive decay, (2) radioactive isotope
The radioactive material was carefully stored in a lead-lined container.
adj. involving a lot of different things or parts in a way that is difficult to understand or analyze
synonym: complex, convoluted, intricate
(1) a complicated process, (2) become increasingly complicated
He did complicated pen-and-ink drawings in just a few days.
n. an unfortunate event, especially one causing damage or injury:
synonym
(1) cause an accident, (2) injury in a car accident
calamity, casualty, chance
independence
mask
discuss
strategy
itinerary
The accident partially destroyed my vehicle.
n. freedom from another's or others' control or influence synonym : freedom, liberty, autonomy
(1) financial independence, (2) independence ceremony There is nothing more valuable than independence and freedom.
v. to conceal something; (noun) a covering that you wear over your face to hide it
synonym: disguise, camouflage, conceal
(1)
mask body odor, (2) an oxygen
mask
The politician tried to mask the corruption.
v. to talk about or examine in detail through conversation or debate; to exchange ideas, opinions, or information on a particular topic
synonym: talk about, converse, debate
(1)
discuss options, (2)
discuss solutions
We need to discuss the next steps for the project during our meeting tomorrow.
n. a detailed plan of action designed to achieve a long-term or overall goal.
synonym: approach, procedure, scenario
(1) military strategy
, (2) develop a strategy
Our plan includes a comprehensive marketing strategy.
n. a detailed plan or route of a journey or trip, including the sequence of destinations, the dates and times of travel, and any other pertinent information such as hotel reservations or transportation arrangements
synonym: agenda, schedule, plan
(1) itinerary planning, (2) detailed itinerary
I need to finalize my travel itinerary for the upcoming business trip.
topographical
elevation
sprinkler
represent
spray
adj. relating to the arrangement or physical features of a geographical area or terrain; relating to the detailed description or mapping of the physical features of a location
synonym: terrain, geographic, landform
(1) topographical data, (2) topographical survey The topographical map of the region revealed the rugged terrain we would face on the hike.
n. the height of something above sea level or above the ground; the event of something being raised upward synonym : height, altitude, rise
(1) at an elevation of 1000 feet, (2) elevation in rank The elevation of the mountain made it difficult to breathe.
n. a device that sprays water over a large area used especially for watering crops or gardens or for firefighting
synonym: sprayer, irrigation system
(1) road sprinkler, (2) sprinkler irrigation The sprinkler system kept the lawn green and healthy.
v. to speak, act, or be present on behalf of another person or group; to form or constitute synonym : depict, express, describe
(1) represent by a diagram, (2) the characters that represent numbers
We elected him to represent us at the international conference.
n. a fine mist of liquid that is dispersed into the air; flower arrangement consisting of a single branch or shoot bearing flowers and foliage
synonym: mist, aerosol, atomizer
(1) a spray of mist, (2) an insect spray
The artist used a spray paint can to create a graffiti mural on the wall.
rainfall
expedition
fishery
sediment
seabed
sampler
n. the amount of rain that falls in a specific location at a particular moment
synonym: downpour, drizzle, rain
(1) the mean annual rainfall, (2) heavy rainfall These plants thrive in hot climates with abundant rainfall
n. a journey or voyage for a specific purpose synonym : journey, trip, voyage
(1) expedition team, (2) a polar expedition
The expedition to the Amazon jungle was both exciting and challenging.
n. an area of water where fish are caught in large quantities for living; a business or practice of catching and selling fish
synonym: fishing, piscary, angling
(1) fishery management, (2) commercial fishery The majority of the people on the island are fishery folk.
n. the substance that forms a solid layer at the bottom of the liquid
synonym: deposition, residue
(1) sediment runoff, (2) gravel sediment
Heavy rain often washes away sediments of the river.
n. the bottom of a sea or ocean; the surface of the sea's bed, which can be rocky, sandy, muddy, or covered with coral or other organisms
synonym: ocean floor, sea bottom
(1) seabed mining, (2) seabed habitat
The dense coral reefs on the seabed provide a home for various marine life.
n. a piece of fabric or other material that has a variety of different stitches or designs worked into it, used as a reference or example of different embroidery techniques; a selection or collection of different samples
Page 16 / 57.
dispatch
estuary
reproduce
improvisation
or examples of something, such as music, food, or products
(1) sampler album, (2) electronic sampler
The artist made a sampler of different paint textures and colors to help her decide what to use for her next project.
v. to send someone or something somewhere for a particular purpose; to send a message or piece of information
synonym : send, release, kill
(1) dispatch soldiers, (2) dispatch a letter The ambulance was dispatched to the scene of the accident.
n. a place where a river meets the sea, typically where the fresh and saltwater mix
synonym: delta, mouth, inlet
(1) estuary port, (2) estuary delta
The mouth of the river formed an estuary where saltwater and freshwater met.
v. to make a copy of something such as a picture, piece of text, music, etc.; to produce offspring through a sexual or asexual process
synonym: duplicate, breed, imitate
(1) reproduce the painting, (2) reproduce by myself By dividing and creating copies of themselves, bacteria reproduce.
n. the act of making something up on the spot or creating
or performing something without preparation synonym : spontaneity, ad-lib, extemporization
(1) improvisation on stage, (2) jazz improvisation He created a beautiful piece of music using only improvisation.
sushi
progression
exciting
increasingly
frustrate
n. a Japanese dish consisting of vinegared rice, often combined with fish or vegetables and sometimes wrapped in seaweed
synonym : raw fish, sashimi, nigiri
(1) sushi bar, (2) sushi roll
I love going out for sushi with my friends on Friday nights.
n. the act or process of changing to the next stage or phase or moving forward
synonym : advancement, development, evolution
(1)
progression of civilization, (2)
progression of disease
The company has made great strides in its progression
toward sustainability.
adj. causing a lot of interest or excitement synonym : exhilarating, stimulating, thrilling
(1)
exciting football player, (2)
exciting news
The findings of the experiment were both exciting and unexpected.
adv. more and more synonym : more and more, progressively
(1) increasingly become common, (2) face increasingly complicated challenges
Our company found it increasingly difficult to keep up with the competition.
v. to hinder or prevent efforts, plans, or desires from doing, succeeding, or being fulfilled; to make someone feel upset or annoyed because they are unable to change or achieve something
synonym : hinder, thwart, dishearten
(1) frustrate the advancement, (2) frustrate other team members
The coach explained a strategy to frustrate the opponent's schemes to the players.
damage
leap
industrial
environment
chemistry
v. to harm or cause injury to something or someone, often resulting in decreased value or functionality; to impair or negatively affect something, such as a reputation or relationship; (noun) harm or injury that is caused to a person, thing, or entity
synonym: harm, impair, injure
(1) damage a relationship, (2) damage assessment During the surgery, the doctor had to be extremely cautious not to damage a blood vessel.
v. to jump or spring into the air, often with the feet leaving the ground or a surface below; to move quickly or suddenly, often forward or upward
synonym: jump, bound, hop
(1) leap to a conclusion, (2) leap of faith The athlete was able to leap over the hurdle with ease.
adj. of or relating to or resulting from industry synonym : manufacturing, mechanical
(1) beginning of the industrial revolution, (2) industrial alcohol
Industrial design has become more focused on human nature aspect than ever before.
n. the natural world such as air, water, and land in which humans, animals, and plants live
synonym: atmosphere, surroundings, climate
(1)
environment affairs, (2) chaotic
environment
Every human is responsible for taking care of the Earth's environment.
n. the branch of the natural sciences dealing with the composition of substances and their properties and reactions
(1) professor of chemistry, (2) the chemistry of soil He is familiar with chemistry and biology.
biology
optics
stud
acceleration
mobility
renewable
n. the scientific study of life and the natural processes of living things
(1) evolutionary biology, (2) cell and molecular biology In junior high school, we had to dissect a frog in biology class.
n. the academic study of vision and light
(1)
optics technology, (2) fiber
optics
Einstein's new optics theory transformed traditional scientific notions about light.
n. a small object with a head on one end and a sharp point on the other, used for fastening clothing, leather, or other materials; an animal used for breeding, typically a male horse or bull that is of superior breeding stock; (verb) to decorate or adorn with studs; to provide with studs for support
synonym : beam, scantling, framing
(1) horse stud, (2) wall stud
He bought a new stud to attach the strap to his watch.
n. a rate of increase in velocity; the rate of change of velocity with respect to time
synonym: speed up, quicken, hastening
(1) a unit of acceleration, (2) acceleration of an object The car's acceleration was impressive, going from 0 to 60 mph in just 5 seconds.
n. the ability to move or be moved freely or easily from one place, job, or social class to another
synonym: flexibility, maneuverability
(1) lack in mobility
, (2) improve social mobility
I have limited mobility
in my arms.
adj. capable of being renewed, extended, or replaced synonym : sustainable, replaceable
(1) renewable energy, (2) renewable subscriptions
wheelchair
horrible
afford
shield
The production of renewable fuels requires massive volumes of fresh water.
n. a chair fitted with large wheels for use as a means of transport by a person who is unable to walk
(1) electric-powered wheelchair, (2) wheelchair accessibility
This library rents out various types of folding wheelchairs for visitors.
adj. extremely unpleasant or bad; causing fear or disgust synonym : dreadful, terrible, awful
(1) horrible accident, (2) horrible smell
The experience was horrible and left a lasting impression.
v. to have enough money or time to be able to buy or do something
(1) afford to buy a new car, (2) afford a high travel cost He cannot afford a holiday.
n. a protective covering or structure, especially in the past, that soldiers held in front of their bodies to protect themselves
synonym : guard, protection, safeguard
(1) a heat shield, (2) a shield for protecting against a bullet Lead is an effective shield against X-rays, gamma rays, and other harmful radiation.
Session 2: Spelling
1. tr__e back to medieval times
2. d_m collapsing
3. b__m in sales
4. ind_____al alcohol
5. pr____s improvement
6. m_d wall
7. res______le for a customer service
8. control re____ly
v. to find or discover someone or something that was lost
n. a wall constructed over a river to block the flow of water, mainly used to generate energy
n. a sudden increase in economic activity, or a sudden happening that brings good fortune; a deep, loud, and prolonged sound
adj. of or relating to or resulting from industry
n. a series of actions or operations performed to achieve a particular outcome or goal; a systematic procedure or approach used to accomplish a specific task or objective; a method of treating milk to make it suitable for consumption or use in other dairy products
n. a soft, wet, sticky earth or clay
adj. answerable or accountable for something within one's power, control, or management
adv. at a distance; not directly or easily accessible
9. complete a pr_____pe product
n. a first or preliminary example of something such as a device or vehicle from which other forms are developed
ANSWERS: 1. trace, 2. dam, 3. boom, 4. industrial, 5. process, 6. mud, 7. responsible, 8. remotely, 9. prototype
10. tr____r inflation
v. to make something happen suddenly; to cause something such as a device, machine, etc. to function
11. the characters that re_____nt numbers
v. to speak, act, or be present on behalf of another person or group; to form or constitute
12. es____y port
n. a place where a river meets the sea, typically where the fresh and saltwater mix
13. re_____le subscriptions
adj. capable of being renewed, extended, or replaced
14. thousands of in____nt people
adj. not guilty of a crime, offense, etc.; not having an evil mind or knowledge
15. exp_____on team
n. a journey or voyage for a specific purpose
16. cause an ac____nt
n. an unfortunate event, especially one causing damage or injury
17. cr____ve writing
adj. relating to or involving the use of skill and original and unusual ideas to create something
18. lack in mo____ty
n. the ability to move or be moved freely or easily from one place, job, or social class to another
19. fi____y management
n. an area of water where fish are caught in large quantities for living; a business or practice of catching and selling fish
20. soil con_______ion
n. the presence of something harmful or unwanted in a substance, material, or environment; the act of introducing harmful substances or materials into an environment or area
ANSWERS: 10. trigger, 11. represent, 12. estuary, 13. renewable, 14. innocent, 15. expedition, 16. accident, 17. creative, 18. mobility, 19. fishery, 20. contamination
21. top_______cal data
adj. relating to the arrangement or physical features of a geographical area or terrain; relating to the detailed description or mapping of the physical features of a location
22. re_____ce by myself
v. to make a copy of something such as a picture, piece of text, music, etc.; to produce offspring through a sexual or asexual process
23. death from sh__k
n. a strong feeling or physical reaction to a sudden and unexpected event or experience, especially something unpleasant
24. di____s solutions
v. to talk about or examine in detail through conversation or debate; to exchange ideas, opinions, or information on a particular topic
25. an insect sp__y
n. a fine mist of liquid that is dispersed into the air; flower arrangement consisting of a single branch or shoot bearing flowers and foliage
26. barren of cr____ve spirit
adj. relating to or involving the use of skill and original and unusual ideas to create something
27. at an el_____on of 1000 feet
n. the height of something above sea level or above the ground; the event of something being raised upward
28. wo____op attendee
n. a place where people work, especially one where they do manual or practical work; a brief intensive course for a small group
ANSWERS: 21. topographical, 22. reproduce, 23. shock, 24. discuss, 25. spray, 26. creative, 27. elevation, 28. workshop
29. l__p to a conclusion
v. to jump or spring into the air, often with the feet leaving the ground or a surface below; to move quickly or suddenly, often forward or upward
30. ts____i warning
n. a huge ocean wave caused by an earthquake, volcano, or other disturbance
31. su__i roll
n. a Japanese dish consisting of vinegared rice, often combined with fish or vegetables and sometimes wrapped in seaweed
32. rad______ve isotope
adj. emitting powerful and dangerous energy when the nuclei (= central parts) of atoms are broken up
33. as____le a jigsaw puzzle
v. to collect in one place as a single group
34. wo_____ch design
n. a sturdy table or bench designed for carrying out manual work, particularly in a workshop or garage context
35. security c_m
n. a device or mechanism that converts rotary motion to linear motion or vice versa; a revolving cylinder with an irregular shape used in machinery to convert rotary motion into intermittent or reciprocating motion; an abbreviation for camera
36. pa____le energy
n. a small piece of something; a word or piece of a term with grammatical function but little or no significance
37. pa____c-natured disposition
adj. peaceful in character or intent; tending to lessen or avoid conflict; calm or soothing in manner or tone; (noun, as "Pacific") the largest and deepest of Earth's oceanic divisions
ANSWERS: 29. leap, 30. tsunami, 31. sushi, 32. radioactive, 33. assemble, 34. workbench, 35. cam, 36. particle, 37. pacific
38. co___l a person to submission
v. to force or require someone to do something; to exert a strong, irresistible force or pressure that makes someone act in a certain way
39. pl____ng problem
n. the system of pipes, fittings, and fixtures that are used to distribute water and remove waste in a building or structure; the trade or profession of installing and maintaining such systems
40. use of nu____r power
adj. of or relating to or constituting the nucleus of an atom; deriving destructive energy from the release of atomic energy
41. h__k into the program
v. to hit and cut somebody or something roughly and violently; to find a bug in a computer program and break into their systems or networks
42. hyp________ted network
adj. having multiple, complex links or relationships between different people, objects, or systems
43. heavy ra____ll
n. the amount of rain that falls in a specific location at a particular moment
44. es____te a fair value
v. to guess or calculate the cost, size, value, etc. of something
45. ho____le accident
adj. extremely unpleasant or bad; causing fear or disgust
46. an ear_____ke zone
n. a sudden and violent shaking of the ground caused by the movement of rock beneath the earth's surface
ANSWERS: 38. compel, 39. plumbing, 40. nuclear, 41. hack, 42. hyperconnected, 43. rainfall, 44. estimate, 45. horrible, 46. earthquake
47. get into a m__s
n. a state of confusion, dirtiness, or untidiness; (verb) to fail to do something or to make something dirty or untidy
48. spe______ter measurement
n. a scientific device used to measure the properties of light or other radiation, often used in chemistry and physics to analyze the composition of materials
49. ma____ve forest
n. a tropical coastal tree or shrub that grows in saline soil and has prop roots that help to stabilize it
50. par______te fully in conversation
v. to take part in something
51. rad______ve decay
adj. emitting powerful and dangerous energy when the nuclei (= central parts) of atoms are broken up
52. ig_____ce is bliss
n. lack of knowledge or information about a particular subject or fact
53. bu___e in the champagne glass
n. a thin, round, and often transparent mass of gas that is surrounded by a thin layer of liquid; a state of economic or social prosperity that is unsustainable and eventually collapses
54. re_____le energy
adj. capable of being renewed, extended, or replaced
55. a ri__y enterprise
adj. involving the possibility of danger, failure, or loss
56. a polar exp_____on
n. a journey or voyage for a specific purpose
57. an u__y sound
adj. unattractive in appearance; unpleasant to look at
ANSWERS: 47. mess, 48. spectrometer, 49. mangrove, 50. participate, 51. radioactive, 52. ignorance, 53. bubble, 54. renewable, 55. risky, 56. expedition, 57. ugly
58. el_____on in rank
n. the height of something above sea level or above the ground; the event of something being raised upward
59. write him an answer imm______ly
adv. now or without delay
60. the mean annual ra____ll
n. the amount of rain that falls in a specific location at a particular moment
61. m__k body odor
v. to conceal something; (noun) a covering that you wear over your face to hide it
62. ho____y victims
v. to shock or disgust greatly
63. become increasingly com______ed
adj. involving a lot of different things or parts in a way that is difficult to understand or analyze
64. road sp_____er
n. a device that sprays water over a large area used especially for watering crops or gardens or for firefighting
65. a heat sh___d
n. a protective covering or structure, especially in the past, that soldiers held in front of their bodies to protect themselves
66. ig_____ce of the law
n. lack of knowledge or information about a particular subject or fact
67. top_______cal survey
adj. relating to the arrangement or physical features of a geographical area or terrain; relating to the detailed description or mapping of the physical features of a location
68. tr__h bin
n. discarded material, refuse, or waste
69. ma____ve swamp
n. a tropical coastal tree or shrub that grows in saline soil and has prop roots that help to stabilize it
ANSWERS: 58. elevation, 59. immediately, 60. rainfall, 61. mask, 62. horrify, 63. complicated, 64. sprinkler, 65. shield, 66. ignorance, 67. topographical, 68. trash, 69. mangrove
70. se___d habitat
n. the bottom of a sea or ocean; the surface of the sea's bed, which can be rocky, sandy, muddy, or covered with coral or other organisms
71. inc______gly become common
adv.
more and more
72. vi____t incident
adj. involving or caused by physical force or aggression against someone or something
73. c_m lever
n. a device or mechanism that converts rotary motion to linear motion or vice versa; a revolving cylinder with an irregular shape used in machinery to convert rotary motion into intermittent or reciprocating motion; an abbreviation for camera
74. gi__t tech company
adj. enormous; much bigger or more important than similar items usually are
75. an in____t reply
adj. happening immediately, with no delay
76. an explosive su_____ce
n. the real physical material of which a thing or person consist; the most important or main part of some idea or experience; an illegal drug
77. charged pa____le
n. a small piece of something; a word or piece of a term with grammatical function but little or no significance
78. da___e assessment
v. to harm or cause injury to something or someone, often resulting in decreased value or functionality; to impair or negatively affect something, such as a reputation or relationship; (noun) harm or injury that is caused to a person, thing, or entity
ANSWERS: 70. seabed, 71. increasingly, 72. violent, 73. cam, 74. giant, 75. instant, 76. substance, 77. particle, 78. damage
79. it_____ry planning
n. a detailed plan or route of a journey or trip, including the sequence of destinations, the dates and times of travel, and any other pertinent information such as hotel reservations or transportation arrangements
80. electron mic_____pe
n. an instrument used to see objects or substances that are too small to be seen with the naked eye
81. improve social mo____ty
n. the ability to move or be moved freely or easily from one place, job, or social class to another
82. a fi____e in the life
n. an object firmly installed in place, especially in a household, such as a bath or a toilet
83. par______te in the program
v.
to take part in something
84. de____y the ecosystem
v. to ruin or damage severely or completely; to eradicate or eliminate completely
85. sp__l my heart
v. to cause or allow liquid to run or flow over the edge of its container by accident
86. di____s options
v. to talk about or examine in detail through conversation or debate; to exchange ideas, opinions, or information on a particular topic
87. h__k through the jungle
v. to hit and cut somebody or something roughly and violently; to find a bug in a computer program and break into their systems or networks
ANSWERS: 79. itinerary, 80. microscope, 81. mobility, 82. fixture, 83. participate, 84. destroy, 85. spill, 86. discuss, 87. hack
88. ex____ng news
adj. causing a lot of interest or excitement
89. a light fi____e
n. an object firmly installed in place, especially in a household, such as a bath or a toilet
90. ro__h estimation
adj. not quite exact or correct; having or caused by an irregular surface
91. im_____ry pregnancy
adj. existing only in someone's mind
92. se___d mining
n. the bottom of a sea or ocean; the surface of the sea's bed, which can be rocky, sandy, muddy, or covered with coral or other organisms
93. infrared sp____um
n. an ordered array of colors into which a light beam can be split
94. pro______on of disease
n. the act or process of changing to the next stage or phase or moving forward
95. a com______ed process
adj. involving a lot of different things or parts in a way that is difficult to understand or analyze
96. commercial fi____y
n. an area of water where fish are caught in large quantities for living; a business or practice of catching and selling fish
97. a sh___d for protecting against a bullet
n. a protective covering or structure, especially in the past, that soldiers held in front of their bodies to protect themselves
98. the height of a p__e
n. a collection of objects positioned one on top of another; a large sum of something, such as money
ANSWERS: 88. exciting, 89. fixture, 90. rough, 91. imaginary, 92. seabed, 93. spectrum, 94. progression, 95. complicated, 96. fishery, 97. shield, 98. pile
99. sh__k-resistant
n. a strong feeling or physical reaction to a sudden and unexpected event or experience, especially something unpleasant
100. gr__d away at my work
v. to reduce something to small particles or powder by crushing or rubbing it; to work hard over a long period of time
101. b__e minimum
adj. not covered or clothed; lacking embellishment or decoration; mere or basic; undisguised or open; empty or devoid of something
102. an in____nt child
adj. not guilty of a crime, offense, etc.; not having an evil mind or knowledge
103. have an aw____e birthday
adj. inspiring fear, admiration, or respect; very good, nice, fun, etc.
104. re____ly operate
adv. at a distance; not directly or easily accessible
105. da___e a relationship
v. to harm or cause injury to something or someone, often resulting in decreased value or functionality; to impair or negatively affect something, such as a reputation or relationship; (noun) harm or injury that is caused to a person, thing, or entity
106. ex___e rebellion
v. to make someone feel suddenly enthusiastic or eager
107. im_____ry number
adj. existing only in someone's mind
108. injury in a car ac____nt
n. an unfortunate event, especially one causing damage or injury
ANSWERS: 99. shock, 100. grind, 101. bare, 102. innocent, 103. awesome, 104. remotely, 105. damage, 106. excite, 107. imaginary, 108. accident
109. an ear_____ke-proof
n. a sudden and violent shaking of the ground caused by the movement of rock beneath the earth's surface
110. nu____r fusion
adj. of or relating to or constituting the nucleus of an atom; deriving destructive energy from the release of atomic energy
111. a sand p__e
n. a collection of objects positioned one on top of another; a large sum of something, such as money
112. co____e augmented reality
v. to join or merge to form a single thing or group
113. tr_____rm heat into power
v. to change in outward structure or looks;
114. es____te this chicken to weigh three pounds
v. to guess or calculate the cost, size, value, etc. of something
115. gravel se____nt
n. the substance that forms a solid layer at the bottom of the liquid
116. a sp__y of mist
n. a fine mist of liquid that is dispersed into the air; flower arrangement consisting of a single branch or shoot bearing flowers and foliage
117. st____e through life
v. to miss a step and fall or nearly fall; to walk unsteadily
118. chaotic env______nt
n. the natural world such as air, water, and land in which humans, animals, and plants live
119. re_____nt by a diagram
v. to speak, act, or be present on behalf of another person or group; to form or constitute
ANSWERS: 109. earthquake, 110. nuclear, 111. pile, 112. combine, 113. transform, 114. estimate, 115. sediment, 116. spray, 117. stumble, 118. environment, 119. represent
120. wooden wo_____ch
n. a sturdy table or bench designed for carrying out manual work, particularly in a workshop or garage context
121. carpentry wo____op
n. a place where people work, especially one where they do manual or practical work; a brief intensive course for a small group
122. whe_____ir accessibility
n. a chair fitted with large wheels for use as a means of transport by a person who is unable to walk
123. cell and molecular bi____y
n. the scientific study of life and the natural processes of living things
124. st____e financially
v. to miss a step and fall or nearly fall; to walk unsteadily
125. a broad sp____um of opinion
n. an ordered array of colors into which a light beam can be split
126. sp__l a bit of wine
v. to cause or allow liquid to run or flow over the edge of its container by accident
127. acc______ion of an object
n. a rate of increase in velocity; the rate of change of velocity with respect to time
128. ro__h and tough
adj. not quite exact or correct; having or caused by an irregular surface
129. ma____e stars
adj. enormous amount; very heavy and solid
130. stop drinking al____l
n. a clear liquid that can make people drunk and is used in medicines, cleaning products, etc.
131. economic bu___e
n. a thin, round, and often transparent mass of gas that is surrounded by a thin layer of liquid; a state of economic or social prosperity that is unsustainable and eventually collapses
ANSWERS: 120. workbench, 121. workshop, 122. wheelchair, 123. biology, 124. stumble, 125. spectrum, 126. spill, 127. acceleration, 128. rough, 129. massive, 130. alcohol, 131. bubble
132. imm______ly recall a product
adv. now or without delay
133. ind______nce ceremony
n. freedom from another's or others' control or influence
134. af___d to buy a new car
v. to have enough money or time to be able to buy or do something
135. res______le action
adj. answerable or accountable for something within one's power, control, or management
136. victim of a vi____t crime
adj. involving or caused by physical force or aggression against someone or something
137. get in____t access
adj. happening immediately, with no delay
138. hyp________ted technology
adj. having multiple, complex links or relationships between different people, objects, or systems
139. change ri__y behavior
adj. involving the possibility of danger, failure, or loss
140. af___d a high travel cost
v. to have enough money or time to be able to buy or do something
141. a sonic b__m
n. a sudden increase in economic activity, or a sudden happening that brings good fortune; a deep, loud, and prolonged sound
142. op___s technology
n. the academic study of vision and light
143. pro______on of civilization
n. the act or process of changing to the next stage or phase or moving forward
144. su_____ce abuse problem
n. the real physical material of which a thing or person consist; the most important or main part of some idea or experience; an illegal drug
ANSWERS: 132. immediately, 133. independence, 134. afford, 135. responsible, 136. violent, 137. instant, 138. hyperconnected, 139. risky, 140. afford, 141. boom, 142. optics, 143. progression, 144. substance
145. imp_______ion on stage
n. the act of making something up on the spot or creating or performing something without preparation
146. id____fy handwriting
v. to recognize someone or something and say or prove who or what they are
147. jazz imp_______ion
n. the act of making something up on the spot or creating or performing something without preparation
148. diluted al____l
n. a clear liquid that can make people drunk and is used in medicines, cleaning products, etc.
149. develop a st____gy
n. a detailed plan of action designed to achieve a long-term or overall goal.
150. id____fy gene sequences
v. to recognize someone or something and say or prove who or what they are
151. su__i bar
n. a Japanese dish consisting of vinegared rice, often combined with fish or vegetables and sometimes wrapped in seaweed
152. beginning of the ind_____al revolution
adj. of or relating to or resulting from industry
153. co___l attention
v. to force or require someone to do something; to exert a strong, irresistible force or pressure that makes someone act in a certain way
154. di____ch soldiers
v. to send someone or something somewhere for a particular purpose; to send a message or piece of information
155. ho____le smell
adj. extremely unpleasant or bad; causing fear or disgust
ANSWERS: 145. improvisation, 146. identify, 147. improvisation, 148. alcohol, 149. strategy, 150. identify, 151. sushi, 152. industrial, 153. compel, 154. dispatch, 155. horrible
156. exp_____nt design
n. the scientific test conducted to observe what happens and gain new knowledge
157. as____le your colleagues
v. to collect in one place as a single group
158. tr__h disposal site
n. discarded material, refuse, or waste
159. gi__t trees
adj. enormous; much bigger or more important than similar items usually are
160. fr_____te other team members
v. to hinder or prevent efforts, plans, or desires from doing, succeeding, or being fulfilled; to make someone feel upset or annoyed because they are unable to change or achieve something
161. a sheltered ha___r
n. an area of water next to the coast where ships and boats are protected from rough water by piers, jetties, and other artificial structures; (verb) keep in one's possession
162. env______nt affairs
n. the natural world such as air, water, and land in which humans, animals, and plants live
163. early pr_____pe
n. a first or preliminary example of something such as a device or vehicle from which other forms are developed
164. tr__e a telephone call
v. to find or discover someone or something that was lost
165. ho____y audience
v. to shock or disgust greatly
166. b__e essentials
adj. not covered or clothed; lacking embellishment or decoration; mere or basic; undisguised or open; empty or devoid of something
ANSWERS: 156. experiment, 157. assemble, 158. trash, 159. giant, 160. frustrate, 161. harbor, 162. environment, 163. prototype, 164. trace, 165. horrify, 166. bare
167. wall s__d
n. a small object with a head on one end and a sharp point on the other, used for fastening clothing, leather, or other materials; an animal used for breeding, typically a male horse or bull that is of superior breeding stock; (verb) to decorate or adorn with studs; to provide with studs for support
168. mic_____pe slide
n. an instrument used to see objects or substances that are too small to be seen with the naked eye
169. tr____r a biochemical response
v. to make something happen suddenly; to cause something such as a device, machine, etc. to function
170. re_____ce the painting
v. to make a copy of something such as a picture, piece of text, music, etc.; to produce offspring through a sexual or asexual process
171. face inc______gly complicated challenges
adv.
more and more
172. l__p of faith
v. to jump or spring into the air, often with the feet leaving the ground or a surface below; to move quickly or suddenly, often forward or upward
173. ts____i relief
n. a huge ocean wave caused by an earthquake, volcano, or other disturbance
174. fr_____te the advancement
v. to hinder or prevent efforts, plans, or desires from doing, succeeding, or being fulfilled; to make someone feel upset or annoyed because they are unable to change or achieve something
ANSWERS: 167. stud, 168. microscope, 169. trigger, 170. reproduce, 171. increasingly, 172. leap, 173. tsunami, 174. frustrate
175. series of exp_____nts
n. the scientific test conducted to observe what happens and gain new knowledge
176. co____e chemically with another substance
v. to join or merge to form a single thing or group
177. full of em____y
n. the ability to share another person's feelings or experiences by imagining that person's situation
178. u__y building
adj. unattractive in appearance; unpleasant to look at
179. de____yed evidence
v. to ruin or damage severely or completely; to eradicate or eliminate completely
180. tr_____rm an education system
v. to change in outward structure or looks;
181. ex____ng football player
adj. causing a lot of interest or excitement
182. l__k data
v. to allow liquid or gas to get in or out from a hole or crack in a pipe or container
183. military st____gy
n. a detailed plan of action designed to achieve a long-term or overall goal.
184. have a whole m__s
n. a state of confusion, dirtiness, or untidiness; (verb) to fail to do something or to make something dirty or untidy
185. fiber op___s
n. the academic study of vision and light
186. inv______te a data leak
v. to conduct a systematic or formal inquiry to identify and evaluate the facts of a crime, problem, statement, etc. to establish the truth
ANSWERS: 175. experiment, 176. combine, 177. empathy, 178. ugly, 179. destroy, 180. transform, 181. exciting, 182. leak, 183. strategy, 184. mess, 185. optics, 186. investigate
187. m_d volcano
n. a soft, wet, sticky earth or clay
188. the in_____on of new techniques
n. the creation of a new device or process resulting from study and experimentation; the act of inventing
189. evolutionary bi____y
n. the scientific study of life and the natural processes of living things
190. con_______ion levels
n. the presence of something harmful or unwanted in a substance, material, or environment; the act of introducing harmful substances or materials into an environment or area
191. financial ind______nce
n. freedom from another's or others' control or influence
192. the Pa____c Ocean
adj. peaceful in character or intent; tending to lessen or avoid conflict; calm or soothing in manner or tone; (noun, as "Pacific") the largest and deepest of Earth's oceanic divisions
193. aw____e mental faculty
adj. inspiring fear, admiration, or respect; very good, nice, fun, etc.
194. sa____r album
n. a piece of fabric or other material that has a variety of different stitches or designs worked into it, used as a reference or example of different embroidery techniques; a selection or collection of different samples or examples of something, such as music, food, or products
195. se____nt runoff
n. the substance that forms a solid layer at the bottom of the liquid
ANSWERS: 187. mud, 188. invention, 189. biology, 190. contamination, 191. independence, 192. pacific, 193. awesome, 194. sampler, 195. sediment
196. di____ch a letter
v. to send someone or something somewhere for a particular purpose; to send a message or piece of information
197. an oxygen m__k
v. to conceal something; (noun) a covering that you wear over your face to hide it
198. ma____e amounts
adj. enormous amount; very heavy and solid
199. gr__d your teeth
v. to reduce something to small particles or powder by crushing or rubbing it; to work hard over a long period of time
200. em____y for patients
n. the ability to share another person's feelings or experiences by imagining that person's situation
201. pl____ng service
n. the system of pipes, fittings, and fixtures that are used to distribute water and remove waste in a building or structure; the trade or profession of installing and maintaining such systems
202. decision-making pr____s
n. a series of actions or operations performed to achieve a particular outcome or goal; a systematic procedure or approach used to accomplish a specific task or objective; a method of treating milk to make it suitable for consumption or use in other dairy products
203. the ch_____ry of soil
n. the branch of the natural sciences dealing with the composition of substances and their properties and reactions
ANSWERS: 196. dispatch, 197. mask, 198. massive, 199. grind, 200. empathy, 201. plumbing, 202. process, 203. chemistry
204. es____y delta
n. a place where a river meets the sea, typically where the fresh and saltwater mix
205. optical spe______ter
n. a scientific device used to measure the properties of light or other radiation, often used in chemistry and physics to analyze the composition of materials
206. sp_____er irrigation
n. a device that sprays water over a large area used especially for watering crops or gardens or for firefighting
207. horse s__d
n. a small object with a head on one end and a sharp point on the other, used for fastening clothing, leather, or other materials; an animal used for breeding, typically a male horse or bull that is of superior breeding stock; (verb) to decorate or adorn with studs; to provide with studs for support
208. electronic sa____r
n. a piece of fabric or other material that has a variety of different stitches or designs worked into it, used as a reference or example of different embroidery techniques; a selection or collection of different samples or examples of something, such as music, food, or products
209. electric-powered whe_____ir
n. a chair fitted with large wheels for use as a means of transport by a person who is unable to walk
210. detailed it_____ry
n. a detailed plan or route of a journey or trip, including the sequence of destinations, the dates and times of travel, and any other pertinent information such as hotel reservations or transportation arrangements
ANSWERS: 204. estuary, 205. spectrometer, 206. sprinkler, 207. stud, 208. sampler, 209. wheelchair, 210. itinerary
211. inv______te the matter
v. to conduct a systematic or formal inquiry to identify and evaluate the facts of a crime, problem, statement, etc. to establish the truth
212. a unit of acc______ion
n. a rate of increase in velocity; the rate of change of velocity with respect to time
213. l__k a classified memo
v. to allow liquid or gas to get in or out from a hole or crack in a pipe or container
214. d_m-building program
n. a wall constructed over a river to block the flow of water, mainly used to generate energy
215. ha___r a resentment
n. an area of water next to the coast where ships and boats are protected from rough water by piers, jetties, and other artificial structures; (verb) keep in one's possession
216. professor of ch_____ry
n. the branch of the natural sciences dealing with the composition of substances and their properties and reactions
217. common in_____on
n. the creation of a new device or process resulting from study and experimentation; the act of inventing
218. ex___e the crowd
v. to make someone feel suddenly enthusiastic or eager
ANSWERS: 211. investigate, 212. acceleration, 213. leak, 214. dam, 215. harbor, 216. chemistry, 217. invention, 218. excite
Session 3: Fill in the Blanks
1. They adopted a _______ approach to resolving their differences, emphasizing dialogue and understanding.
adj. peaceful in character or intent; tending to lessen or avoid conflict; calm or soothing in manner or tone; (noun, as "Pacific") the largest and deepest of Earth's oceanic divisions
2. He bought a new ____ to attach the strap to his watch.
n. a small object with a head on one end and a sharp point on the other, used for fastening clothing, leather, or other materials; an animal used for breeding, typically a male horse or bull that is of superior breeding stock; (verb) to decorate or adorn with studs; to provide with studs for support
3. We elected him to _________ us at the international conference.
v. to speak, act, or be present on behalf of another person or group; to form or constitute
4. The violent __________ caused widespread damage and injuries throughout the region.
n. a sudden and violent shaking of the ground caused by the movement of rock beneath the earth's surface
5. The committee ____________ several apparent inconsistencies.
v. to conduct a systematic or formal inquiry to identify and evaluate the facts of a crime, problem, statement, etc. to establish the truth
6. This library rents out various types of folding ___________ for visitors.
n. a chair fitted with large wheels for use as a means of transport by a person who is unable to walk
ANSWERS: 1. pacific, 2. stud, 3. represent, 4. earthquake, 5. investigated, 6. wheelchairs
7. Every human is responsible for taking care of the Earth's ___________.
n. the natural world such as air, water, and land in which humans, animals, and plants live
8. He did ___________ pen-and-ink drawings in just a few days.
adj. involving a lot of different things or parts in a way that is difficult to understand or analyze
9. All the supervisor has to do is assign tasks that make his subordinates more ________.
adj. relating to or involving the use of skill and original and unusual ideas to create something
10. The tsunami swamped every boat in the ______.
n. an area of water next to the coast where ships and boats are protected from rough water by piers, jetties, and other artificial structures; (verb) keep in one's possession
11. He created a beautiful piece of music using only _____________.
n. the act of making something up on the spot or creating or performing something without preparation
12. Hydrogen and oxygen _______ to form water.
v. to join or merge to form a single thing or group
13. Necessity is the mother of _________.
n. the creation of a new device or process resulting from study and experimentation; the act of inventing
14. The ___________ material was carefully stored in a lead-lined container.
adj. emitting powerful and dangerous energy when the nuclei (= central parts) of atoms are broken up
ANSWERS: 7. environment, 8. complicated, 9. creative, 10. harbor, 11. improvisation, 12. combine, 13. invention, 14. radioactive
15. The ________ trees are known for their ability to survive in saltwater and sandy soil.
n. a tropical coastal tree or shrub that grows in saline soil and has prop roots that help to stabilize it
16. After the party, they had to clean up _____ of dirty dishes.
n. a collection of objects positioned one on top of another; a large sum of something, such as money
17. We can calculate the position of the _________ statistically.
n. a small piece of something; a word or piece of a term with grammatical function but little or no significance
18. The ambulance was __________ to the scene of the accident.
v. to send someone or something somewhere for a particular purpose; to send a message or piece of information
19. There is nothing more valuable than ____________ and freedom.
n. freedom from another's or others' control or influence
20. My husband was found ________ of any crime.
adj. not guilty of a crime, offense, etc.; not having an evil mind or knowledge
21. He was determined to _____ everything.
v. to cause or allow liquid to run or flow over the edge of its container by accident
22. I used an optical __________ to observe the small organisms in the water sample.
n. an instrument used to see objects or substances that are too small to be seen with the naked eye
ANSWERS: 15. mangrove, 16. piles, 17. particles, 18. dispatched, 19. independence, 20. innocent, 21. spill, 22. microscope
23. A suspension order from the court is effective ___________.
adv. now or without delay
24. The ________ in my house needs to be replaced because it keeps leaking.
n. the system of pipes, fittings, and fixtures that are used to distribute water and remove waste in a building or structure; the trade or profession of installing and maintaining such systems
25. The _________ of the mountain made it difficult to breathe.
n. the height of something above sea level or above the ground; the event of something being raised upward
26. The incident _________ a political controversy.
v. to make something happen suddenly; to cause something such as a device, machine, etc. to function
27. The company can ________ access its employees' computers for troubleshooting purposes.
adv. at a distance; not directly or easily accessible
28. The _____ jets gradually dominate the world's airlines.
adj. enormous; much bigger or more important than similar items usually are
29. She ________ over the tree root.
v. to miss a step and fall or nearly fall; to walk unsteadily
30. She wore a simple dress with a ____ neckline
adj. not covered or clothed; lacking embellishment or decoration; mere or basic; undisguised or open; empty or devoid of something
ANSWERS: 23. immediately, 24. plumbing, 25. elevation, 26. triggered, 27. remotely, 28. giant, 29. stumbled, 30. bare
31. Many countries have now agreed to a treaty banning the use of _______ weapons.
adj. of or relating to or constituting the nucleus of an atom; deriving destructive energy from the release of atomic energy
32. The athlete was able to ____ over the hurdle with ease.
v. to jump or spring into the air, often with the feet leaving the ground or a surface below; to move quickly or suddenly, often forward or upward
33. I will introduce you to how to ________ the leading causes of the malfunction.
v. to recognize someone or something and say or prove who or what they are
34. Let's _____ the origins of some familiar foreign words.
v. to find or discover someone or something that was lost
35. He ______ serious accounting irregularities that only people in the company's executive could know.
v. to allow liquid or gas to get in or out from a hole or crack in a pipe or container
36. The car's ____________ was impressive, going from 0 to 60 mph in just 5 seconds.
n. a rate of increase in velocity; the rate of change of velocity with respect to time
37. Little children tend to have _________ friends.
adj. existing only in someone's mind
38. This blog offers a variety of tips for _______ everyday life.
v. to hit and cut somebody or something roughly and violently; to find a bug in a computer program and break into their systems or networks
ANSWERS: 31. nuclear, 32. leap, 33. identify, 34. trace, 35. leaked, 36. acceleration, 37. imaginary, 38. hacking
39. I need to finalize my travel _________ for the upcoming business trip.
n. a detailed plan or route of a journey or trip, including the sequence of destinations, the dates and times of travel, and any other pertinent information such as hotel reservations or transportation arrangements
40. The city is taking measures to reduce the amount of _____ in the streets.
n. discarded material, refuse, or waste
41. She had to _____ the coffee beans before making a fresh cup.
v. to reduce something to small particles or powder by crushing or rubbing it; to work hard over a long period of time
42. The _______ for applying for a visa can be lengthy and complicated.
n. a series of actions or operations performed to achieve a particular outcome or goal; a systematic procedure or approach used to accomplish a specific task or objective; a method of treating milk to make it suitable for consumption or use in other dairy products
43. The _________ system kept the lawn green and healthy.
n. a device that sprays water over a large area used especially for watering crops or gardens or for firefighting
44. The ____ truth was that he had been lying to her for months.
adj. unattractive in appearance; unpleasant to look at
45. The _________ of the argument was well-presented.
n. the real physical material of which a thing or person consist; the most important or main part of some idea or experience; an illegal drug
46. The building was _________ in the fire and had to be rebuilt.
v. to ruin or damage severely or completely; to eradicate or eliminate completely
ANSWERS: 39. itinerary, 40. trash, 41. grind, 42. process, 43. sprinkler, 44. ugly, 45. substance, 46. destroyed
47. I love going out for _____ with my friends on Friday nights.
n. a Japanese dish consisting of vinegared rice, often combined with fish or vegetables and sometimes wrapped in seaweed
48. It is extremely _____ to sail in such a storm.
adj. involving the possibility of danger, failure, or loss
49. The mouth of the river formed an _______ where saltwater and freshwater met.
n. a place where a river meets the sea, typically where the fresh and saltwater mix
50. The high-technology industry is enjoying a ____.
n. a sudden increase in economic activity, or a sudden happening that brings good fortune; a deep, loud, and prolonged sound
51. During the surgery, the doctor had to be extremely cautious not to ______ a blood vessel.
v. to harm or cause injury to something or someone, often resulting in decreased value or functionality; to impair or negatively affect something, such as a reputation or relationship; (noun) harm or injury that is caused to a person, thing, or entity
52. The company has made great strides in its ___________ toward sustainability.
n. the act or process of changing to the next stage or phase or moving forward
53. There is a lot of _______ nature and food in Hawaii.
adj. inspiring fear, admiration, or respect; very good, nice, fun, etc.
54. In junior high school, we had to dissect a frog in _______ class.
n. the scientific study of life and the natural processes of living things
ANSWERS: 47. sushi, 48. risky, 49. estuary, 50. boom, 51. damage, 52. progression, 53. awesome, 54. biology
55. The mechanic adjusted the ___ mechanism to improve the engine's performance.
n. a device or mechanism that converts rotary motion to linear motion or vice versa; a revolving cylinder with an irregular shape used in machinery to convert rotary motion into intermittent or reciprocating motion; an abbreviation for camera
56. The series of terrorist attacks _______ the entire nation.
v. to shock or disgust greatly
57. He got an electric _____ at work.
n. a strong feeling or physical reaction to a sudden and unexpected event or experience, especially something unpleasant
58. We _________ the season's total trade deficit at $50 billion.
v. to guess or calculate the cost, size, value, etc. of something
59. The president began to ________ an army.
v. to collect in one place as a single group
60. I must organize my tools on the _________ before starting my project.
n. a sturdy table or bench designed for carrying out manual work, particularly in a workshop or garage context
61. Our company found it ____________ difficult to keep up with the competition.
adv. more and more
62. The experience was ________ and left a lasting impression.
adj. extremely unpleasant or bad; causing fear or disgust
ANSWERS: 55. cam, 56. horrify, 57. shock, 58. estimated, 59. assemble, 60. workbench, 61. increasingly, 62. horrible
63. The recent economic downturn has resulted in _______ layoffs.
adj. enormous amount; very heavy and solid
64. The coach explained a strategy to _________ the opponent's schemes to the players.
v. to hinder or prevent efforts, plans, or desires from doing, succeeding, or being fulfilled; to make someone feel upset or annoyed because they are unable to change or achieve something
65. The artist held a ________ to teach students how to paint with watercolors.
n. a place where people work, especially one where they do manual or practical work; a brief intensive course for a small group
66. My father's death ___________ my life completely.
v. to change in outward structure or looks;
67. The strict deadlines will ______ the team to work efficiently.
v. to force or require someone to do something; to exert a strong, irresistible force or pressure that makes someone act in a certain way
68. His pleasant face turned cold in an _______.
adj. happening immediately, with no delay
69. The majority of students actively ____________ in the college's intramural sports program.
v. to take part in something
70. The flying car is presently in the _________ stage.
n. a first or preliminary example of something such as a device or vehicle from which other forms are developed
ANSWERS: 63. massive, 64. frustrate, 65. workshop, 66. transformed, 67. compel, 68. instant, 69. participated, 70. prototype
71. His ___________ showed highly positive results.
n.
the scientific test conducted to observe what happens and gain new knowledge
72. He has become a _______ of that restaurant.
n. an object firmly installed in place, especially in a household, such as a bath or a toilet
73. The ___ of the swamp made it difficult to walk through the field.
n. a soft, wet, sticky earth or clay
74. The world has become increasingly _______________ with the internet and social media playing a significant role in communication and information exchange.
adj. having multiple, complex links or relationships between different people, objects, or systems
75. This device displayed the speech ________ spectrographically.
n. an ordered array of colors into which a light beam can be split
76. The artist used a _____ paint can to create a graffiti mural on the wall.
n. a fine mist of liquid that is dispersed into the air; flower arrangement consisting of a single branch or shoot bearing flowers and foliage
77. The infrared ____________ helped identify the chemical composition of the sample.
n. a scientific device used to measure the properties of light or other radiation, often used in chemistry and physics to analyze the composition of materials
78. He made a frightful ____ in his room.
n. a state of confusion, dirtiness, or untidiness; (verb) to fail to do something or to make something dirty or untidy
ANSWERS: 71. experiments, 72. fixture, 73. mud, 74. hyperconnected, 75. spectrum, 76. spray, 77. spectrometer, 78. mess
79. She's a ___________ pet owner who ensures her dog gets enough exercise and a healthy diet.
adj. answerable or accountable for something within one's power, control, or management
80. The artist made a _______ of different paint textures and colors to help her decide what to use for her next project.
n. a piece of fabric or other material that has a variety of different stitches or designs worked into it, used as a reference or example of different embroidery techniques; a selection or collection of different samples or examples of something, such as music, food, or products
81. The findings of the experiment were both ________ and unexpected. adj. causing a lot of interest or excitement
82. His _________ of the situation led him to make a poor decision.
n. lack of knowledge or information about a particular subject or fact
83. The break in the ___ threatened the valley.
n. a wall constructed over a river to block the flow of water, mainly used to generate energy
84. We need to _______ the next steps for the project during our meeting tomorrow.
v. to talk about or examine in detail through conversation or debate; to exchange ideas, opinions, or information on a particular topic
85. Our plan includes a comprehensive marketing ________.
n. a detailed plan of action designed to achieve a long-term or overall goal.
86. The politician tried to ____ the corruption.
v. to conceal something; (noun) a covering that you wear over your face to hide it
ANSWERS: 79. responsible, 80. sampler, 81. exciting, 82. ignorance, 83. dam, 84. discuss, 85. strategy, 86. mask
87. I have limited ________ in my arms.
n. the ability to move or be moved freely or easily from one place, job, or social class to another
88. There is a clear association between _______ consumption and cognitive decline.
n. a clear liquid that can make people drunk and is used in medicines, cleaning products, etc.
89. The _____________ of the water supply led to widespread illness in the community.
n. the presence of something harmful or unwanted in a substance, material, or environment; the act of introducing harmful substances or materials into an environment or area
90. The protesters became _______ when the police tried to disperse them.
adj. involving or caused by physical force or aggression against someone or something
91. Einstein's new ______ theory transformed traditional scientific notions about light.
n. the academic study of vision and light
92. He cannot ______ a holiday.
v. to have enough money or time to be able to buy or do something
93. The earthquake-_______ caused widespread destruction along the coast.
n. a huge ocean wave caused by an earthquake, volcano, or other disturbance
94. The majority of the people on the island are _______ folk.
n. an area of water where fish are caught in large quantities for living; a business or practice of catching and selling fish
ANSWERS: 87. mobility, 88. alcohol, 89. contamination, 90. violent, 91. optics, 92. afford, 93. tsunami, 94. fishery
95. The production of _________ fuels requires massive volumes of fresh water.
adj. capable of being renewed, extended, or replaced
96. Heavy rain often washes away _________ of the river.
n. the substance that forms a solid layer at the bottom of the liquid
97. Many people worry that the current real estate market is a ______ that could burst soon.
n. a thin, round, and often transparent mass of gas that is surrounded by a thin layer of liquid; a state of economic or social prosperity that is unsustainable and eventually collapses
98. __________ design has become more focused on human nature aspect than ever before.
adj. of or relating to or resulting from industry
99. By dividing and creating copies of themselves, bacteria _________.
v. to make a copy of something such as a picture, piece of text, music, etc.; to produce offspring through a sexual or asexual process
100. _______ is also necessary to understand history.
n. the ability to share another person's feelings or experiences by imagining that person's situation
101. Lead is an effective ______ against X-rays, gamma rays, and other harmful radiation.
n. a protective covering or structure, especially in the past, that soldiers held in front of their bodies to protect themselves
102. These plants thrive in hot climates with abundant ________.
n. the amount of rain that falls in a specific location at a particular moment
ANSWERS: 95. renewable, 96. sediments, 97. bubble, 98. Industrial, 99. reproduce, 100. Empathy, 101. shield, 102. rainfall
103. The dense coral reefs on the ______ provide a home for various marine life.
n. the bottom of a sea or ocean; the surface of the sea's bed, which can be rocky, sandy, muddy, or covered with coral or other organisms
104. The news of her promotion _______ her.
v. to make someone feel suddenly enthusiastic or eager
105. The __________ to the Amazon jungle was both exciting and challenging.
n. a journey or voyage for a specific purpose
106. He is familiar with _________ and biology.
n. the branch of the natural sciences dealing with the composition of substances and their properties and reactions
107. The vehicle bounced along the _____ mountain road.
adj. not quite exact or correct; having or caused by an irregular surface
108. The _____________ map of the region revealed the rugged terrain we would face on the hike.
adj. relating to the arrangement or physical features of a geographical area or terrain; relating to the detailed description or mapping of the physical features of a location
109. The ________ partially destroyed my vehicle.
n. an unfortunate event, especially one causing damage or injury
ANSWERS: 103. seabed, 104. excited, 105. expedition, 106. chemistry, 107. rough, 108. topographical, 109. accident
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The Health Education and Promotion has been reviewing major field assessment data but because our program is new (no graduates to this date), we do not have enough data to warrant any changes at this time. We anticipate having a number of students graduating in the next few semesters.
Completed by: Ralph Wood
Health Education and Promotion Program Coordinator
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The meeting was convened via conference call at 11:32 AM by Mr. Kogelschatz.
**APPROVAL OF MINUTES**
Minutes of the Dwelling Place RED & Asset Management Committee meeting of August 10, 2020 were approved by motion of George Larimore, seconded by Mike McDaniels and carried without objection.
**POTENTIAL JOINT VENTURE**
Mr. Lovelace and Mr. Ralston, with whom Dwelling Place has partnered for two joint ventures (Madison Lofts and Union Suites), have requested Dwelling Place’s involvement in a third joint venture: a 3-story, 52-unit development on Coit Ave. They have been working with neighborhood representatives to develop an area-specific plan that will acquire five parcels and score an estimated 134 points on its 9% LIHTC application. Orion would likely be the general contractor and KMG Prestige would manage the building. After some discussion, motion to proceed with this partnership, pending due diligence by Dwelling Place staff, was made by Mike McDaniels, seconded by Troy Zapolski, and carried without objection, George Larimore abstaining due to a conflict of interest.
**POTENTIAL CLT SITES**
Mr. de Velder discussed several potential sites for CLT in Grand Rapids, Newaygo, Holland, and Grand Haven.
**Grand Rapids**
- State land bank: five properties owned by the state land bank would be marketable with an estimated market value of $200,000-$250,000.
- 417 Fuller: the lot located behind Huntington Bank is already owned by Dwelling Place and could be re-zoned to create a single family home or a duplex.
**Newaygo**
- Vera Wilsie School: site of demolished elementary school owned by Newaygo Public Schools. The City of Newaygo supports developing the site for housing and may be open to negotiating a lower price, but there is still a need for further community engagement. The Fremont
Area Foundation is interested in supporting housing development in the area.
- Muskegon River: several properties along the river owned by a holding company or by the city. The properties furthest south would require inroads to the properties. Collaboration with the Fremont Area Foundation and use of brownfield TIF may make this site affordable.
- Industrial Park: four lots of interest owned by River Valley Developments located behind several retail lots. The ideal lots (21 and 22) have a combined acreage of 2.5 acres and a cost of $250,000.
**Holland**
- 24th and Waverly: a greenfield site with a large amount of site planning already completed by Housing Next that includes multi-family housing and retail space. The Holland Area Foundation and other local philanthropies may help reduce acquisition and development costs.
**Grand Haven**
- Southeast side: site near the airport would require an accessory road for 32 homes in a half-market-rate, half-CLT culdesac. Housing Next is in the acquisition phase with the City of Grand Haven; the city may donate the land if half the units built remain affordable in perpetuity.
As converting rental properties into CLT units will take some time, Mr. Larimore described how use of brownfield TIF could help fund the creation of new CLT homes. Working with the Michigan land bank, Dwelling Place could recapture taxes to use toward repositioning the property for CLT use; this could provide up to two-thirds of the gap between a CLT home’s appraised value and its sale price.
**PROJECT UPDATES**
**Harrison Park:** About 7 apartments are vacant, likely to be occupied within the next 2 months.
**Pine:** Hoping for 4 move-ins in both September and October; it has proven difficult to get income verification and other information on applicants during the pandemic.
**Plaza Roosevelt:** 55-60% complete; Wolverine informed staff of a minor delay on countertops for the development due to COVID-19 that should not significantly affect the scheduled time frame; negotiating a lease with Early Learning Collaborative for commercial space.
**Ferguson:** Proceeding as planned, with 6th floor community space underway and footbridge across Sheldon coming down this week; a meeting with GVSU regarding extension of their lease is scheduled for today.
**Madison Lofts:** closing today or tomorrow; recently began asbestos abatement in the building; construction will begin in earnest following the closing.
**OTHER BUSINESS**
**Rent Collection**
Total rent delinquency for the entire portfolio is $118,000 with about $54,000 for the month of August; without the Genesis properties included, the total is $99,000 with $41,000 for August. This is an increase of about $15,000 from July. Eligible residents have been asked to fill out applications for rental assistance or to complete necessary paperwork if they live in an income-based apartment and their income has been affected by the pandemic.
**ADJOURNMENT**
The meeting was adjourned at 12:43 PM by Mr. Kogelschatz.
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Retention and Classification Report
Agency:
Fairfield (Utah) (3254)
Fairfield Town 18053 West 1540 North Cedar Valley, UT 84013 801-766-3509
___________________________ Records Officer:
28775 Accounts payable
28776 Accounts receivable
30599 Legal counsel records
30586 Maps
30585 Planning Commission Minutes
28774 Town Council meeting minutes
Accounts payable
DATES: 2004-
ARRANGEMENT: DESCRIPTION:
Alphabetical and thereunder chronological.
These records support the agency's fiscal function to perform all municipal accounting services in accordance with the Uniform Accounting Manual for Utah Cities (Utah Code 10-6-107(1981)). Records document debits owed by the municipality and are used to ensure proper payment for services rendered to the municipality. Information includes billing organization, amount due, and date of payment.
RETENTION:
Retain for 4 year(s)
DISPOSITION:
Destroy.
RETENTION AND DISPOSITION AUTHORIZATION:
Retention and disposition for this series is proposed and has not yet been approved.
FORMAT MANAGEMENT:
Computer data files: Retain in Office for 4 years and then delete.
APPRAISAL:
These records have administrative, fiscal, and/or legal value(s).
Legal appraisal is based on Utah Code 70A-2-725 (1998).
PRIMARY DESIGNATION:
Public
REVIEW AND UPDATE STATUS:
This report was reviewed and updated on 12/2015.
Page:
1
Accounts receivable
DATES: 2004-
ARRANGEMENT: DESCRIPTION:
Alphabetical and thereunder chronological.
These records support the agency's fiscal function to perform all municipal accounting services in accordance with the Uniform Accounting Manual for Utah Cities (Utah Code 10-6-107(1981)). Records document credits owed to the municipality and are used to ensure proper receipt of payment for services rendered by the municipality. Information includes person or organization billed, amount due, and receipt of payment.
RETENTION:
Retain for 4 year(s)
DISPOSITION:
Destroy.
RETENTION AND DISPOSITION AUTHORIZATION:
Retention and disposition for this series is authorized by Archives general schedule Local government accounts payable and receivable records, GRS-106.
AUTHORIZED:
08-27-2018
FORMAT MANAGEMENT:
Computer data files: Retain in Office for 4 years and then delete.
Paper: Retain in Office until administrative need is met and then transfer to State Records Center. Retain in State Records Center for 4 years and then destroy.
APPRAISAL:
These records have administrative, fiscal, and/or legal value(s). Legal appraisal is based on Utah Code 70A-2-725(1998) .
Page:
2
AGENCY: Fairfield (Utah)
SERIES: 28776
TITLE:
Accounts receivable
(continued)
PRIMARY DESIGNATION:
Public
REVIEW AND UPDATE STATUS:
This report was reviewed and updated on 12/2015.
Utah State Archives
Page:
Legal counsel records
DATES: 2007-
ARRANGEMENT: DESCRIPTION:
Chronological by filing date.
This series contains various legal counsel records created by the city attorneys representing Fairfield town. Records may include legal interpretations given by attorneys at the request of governmental entities, legal filings and other related records.
RETENTION:
Retain until administrative need ends
DISPOSITION:
Destroy.
RETENTION AND DISPOSITION AUTHORIZATION:
Retention and disposition for this series is authorized by Archives general schedule Legal counsel records, GRS-1721.
AUTHORIZED:
06-01-2015
FORMAT MANAGEMENT:
Paper: Retain in Office until administrative need is met and then transfer to State Records Center. Retain in State Records Center for 30 years and then destroy.
Computer data files: Retain in Office until resolution of issue and then delete.
APPRAISAL:
These records have legal value(s).
Page:
3
AGENCY: Fairfield (Utah)
SERIES: 30599
TITLE:
Legal counsel records
(continued)
PRIMARY DESIGNATION:
Protected
Utah Code 63G-2-305(12)(2023).
Utah State Archives
Page:
Maps
DATES: 1950-
ARRANGEMENT: DESCRIPTION:
Numeric by map number.
These records are a collection of maps created by various city departments, collected by the City Recorder. Records document road dedications, town plats, map of residents, and proposed buildings sites.
RETENTION:
Retain permanently
DISPOSITION:
Transfer to Archives.
RETENTION AND DISPOSITION AUTHORIZATION:
Retention and disposition for this series is authorized by Archives general schedule Cartographic records, GRS-1747.
AUTHORIZED:
11-27-2018
FORMAT MANAGEMENT:
Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 10 years and then transfer to State Archives with authority to weed.
APPRAISAL:
These records have historical value(s).
Value of records is based on their usefulness for carrying out the agency's current business.
PRIMARY DESIGNATION:
Public
Utah Code 63G-2-201(2)(2023).
Page:
6
AGENCY: Fairfield (Utah)
SERIES: 30586
TITLE:
Maps
(continued)
SECONDARY DESIGNATION(S):
Protected.
Utah Code 63G-2-305(12)(2023).
Utah State Archives
Page:
Planning Commission Minutes
DATES: 2004-
ARRANGEMENT: DESCRIPTION:
Chronological by meeting date.
These records document the activities of the Fairfield Planning Commission; records include who was present at the meetings, where and when the meetings took place, substance of what was discussed and decisions of the commission.
RETENTION:
Retain permanently
DISPOSITION:
Transfer to Archives.
RETENTION AND DISPOSITION AUTHORIZATION:
Retention and disposition for this series is authorized by Archives general schedule Open meeting minutes & supplementary materials, GRS-1709.
AUTHORIZED:
10-28-2020
FORMAT MANAGEMENT:
Paper: Retain in Office for 1 year and then transfer to State Records Center. Retain in State Records Center for 25 years and then transfer to State Archives with authority to weed.
APPRAISAL:
These records have historical value(s).
These records document the decisions made by a public body as it relates to planning, zoning and development in Fairfield City.
PRIMARY DESIGNATION:
Public
Utah Code 63G-2-201(2)(2019).
Page:
3
Town Council meeting minutes
DATES: 2004-
ARRANGEMENT: DESCRIPTION:
Chronological by meeting date.
These records support the agency's function to establish city ordinances, approve board members of municipal commissions, and to execute all other assigned responsibilities in an open and efficient manner (Utah Code 52-4-201 (2006). Records are a summary of discussion and document all matters proposed, discussed, decided, and votes taken (Utah Code 52-4-203 (2014). Information includes parties present, agendas, notices, and any public materials distributed at the meeting. Approved minutes are the official record for each meeting. Approved minutes of an open meeting are the official record of the meeting of a public body. Contained in or with the minutes shall be the substance of all matters proposed, discussed or decided and votes taken (Utah Code 52-4-203(2014)). This includes the agenda, notices, and any public materials distributed at the meeting.
RETENTION:
Permanent. Retain for 4 year(s)
DISPOSITION:
Transfer to Archives.
RETENTION AND DISPOSITION AUTHORIZATION:
Retention and disposition for this series is authorized by Archives general schedule Open meeting minutes & supplementary materials, GRS-1709.
AUTHORIZED:
10-28-2020
FORMAT MANAGEMENT:
Error - Format Type is invalid.
Paper: Retain in Office until administrative need is met and then transfer to State Records Center. Retain in State Records Center for 4 years and then transfer to State Archives with authority to weed.
Computer data files: Retain in State Archives permanently.
Microfilm master: Retain in State Archives permanently with
Page:
3
AGENCY: Fairfield (Utah)
SERIES:
28774 Town Council meeting minutes
TITLE:
(continued)
authority to weed.
APPRAISAL:
These records have administrative, and/or historical value(s). These records are of historical interest as they document the decision and actions of a governing body.
PRIMARY DESIGNATION:
Public
REVIEW AND UPDATE STATUS:
This report was reviewed and updated on 12/2005.
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Beautiful Northern Lights Chalk Art
This is a simple yet so beautiful art project, that will make the art look like a glowing light on the paper! Once you start you may not want to stop! So, do not be afraid to explore and combine different methods. You may end up with messy fingers and a little bit of chalk dust, but its lots of fun! Let us get started!
Materials:
* Black Construction Paper
* White piece of paper
* Chalk Pastels (or sidewalk chalk works just as good)
* Cotton Balls
* Scissors
Instructions:
1. Start by cutting out a mountain shape from the white piece of paper.
2. Place the White Mountain shape cut out onto of the black construction paper. (To make it easy, simply tape the construction paper and the mountain together to keep things from slipping around.)
3. Then get your chalk and color over the mountain, directly onto the black construction paper. (Extending about 1.5 inches beyond the mountain.)
4. Continue coloring over the mountain with different chalk colors until you have reached the end. Do not move the White Mountain cut out just yet!
5. Use a cotton ball to rub the chalk and create the lights. Start with the cotton ball on the mountain and move it onto the black construction paper into the sky. (So the colors can stand out use different cotton balls for each chalk color)
Feel free to overlap the colors a little bit as you rub- it will help with the sense of moving lights.
6. When all the colors have been rubbed away from the mountain, carefully pull away the White Mountain cut out.
If you want to get even more creative, color in small dabs of white onto the sky to create stars. LOOK AT THAT GLOW! It is so easy to make a beautiful glowing sky.
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SPECIAL EVENTS SCHEDULING FORM
DATE:
EVENT INFORMATION
CONTACT INFORMATION
NAME(First, Last)
NAME OF EVENT
ADDRESS OF EVENT
PHONE
ORGANIZATION
EMAIL
OPEN TO THE PUBLIC?
INVITE/RSVP ONLY?
VIP ATTENDING?
DATE OF EVENT
START AND END TIME
ANTICIPATED NUMBER OF ATTENDEES
ANY KNOWN THREATS?
ADDITIONAL INFORMATION
WHO SHOULD BE INVOICED?
NAME:
ADDRESS:
PHONE:
EMAIL:
Please completely fill out this form and email it to [email protected] Special requests will not be processed until this form is completed.
Thank you!
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TUFLOW Build 2009-07-AA Release Notes
This document describes new features and commands for Build 2009-07-AA. This build is an initial release as some projects are in need of the new features. A final 2009 release will be made later this year upon completion and testing of other major new features such as recognition of ArcGIS .shp files and the XMDF output format.
The default settings have been left unchanged from the 2008 release, so the results from the 2008-08 and 2009-07 builds should be identical. There are a couple of known exceptions to this as discussed below for wide Z lines and possibly Z Shape TINs. It is always recommended that if using a new build with an established model that test runs are carried out and comparisons made between the old and new builds (using Data, Data Calculator… in SMS and subtracting two data sets is an easy way to do this).
There are some enhancements that are likely to become the default settings in the final 2009 release. It is recommended that these be adopted using the commands discussed further below and listed as follows:
* HQ Boundary Approach == Method B
* Link 2D2D Approach == Method B
* Rainfall Boundaries == Stepped
* Maximum Velocity Cutoff Depth == 0.1
1 New .tcf command "HQ Boundary Approach == [ {Method A} | Method B ]". Although Method B is not yet the default, it is that currently recommended for new or under-development models using HQ boundaries (or old models if a slight change in results is manageable). Method A uses the method applied in prior builds. For Method B:
(a) the top level in the HQ curve is not the top value plus 10 (as for Method A), but the highest level in the HQ curve;
(b) a WARNING is issued if the top of the curve is exceeded whilst running;
(c) the 2d_bc d attribute can be used to specify the maximum depth to be used for generating the curve – this will stop very shallow curves being produced as these have been known to cause problems (Note: if d is less than 1m it is set to 1m).
2 Available as an option in the latter 2008-08 builds, "Link 2D2D Approach == Method B" is recommended for any models using the 2D/2D link feature (ie. 2d_bc Type "2D" lines). Method A is still set as the default, however, Method B is planned to be the default for the final 2009 release.
3 New .tcf command "Rainfall Boundaries == [ STEPPED | {SMOOTHED} [ {TIME CENTRED} ] ]".
(a) SMOOTHED TIME CENTRED is as per the approach used in the 2008 builds and prior releases. If TIME CENTRED is omitted the rainfall is smoothed (converted into a "hydrograph" shape curve), but the timing is such that the first rainfall occurs at the time of the first rainfall but because of the smoothing the volume of rainfall is delayed in time.
(b) The STEPPED option holds the rainfall constant for the time interval (ie. the rainfall has a histogram stair-step shape). This means, for example, the second rainfall value in the time-series is applied as a constant rainfall from the first time value to the second time value. As with all rainfall boundaries, the first and last rainfall entries should be set to zero (otherwise these rainfall values are applied as a constant rainfall if the simulation starts before or extends beyond the first and last time values in the rainfall time-series).
(c) The STEPPED option is likely to be set as the default in future releases.
4 In rare instances TINs have not been correctly created for Z Shape or Create TIN polygons. This, after much anguish, has been identified as occurring as a result of the compiler code optimisation. As a consequence, this part of the code is now compiled without optimisation (is a little slower) and may produce very slightly different Zpt values. If so, there maybe on average very slight changes to model results (fractions of a mm).
5 The buffering of Wide Z Shape Lines has been much improved to handle more complex line shapes. This may result in a different shaped buffer polygon, Zpt values and therefore results. Use the 2d_zsh_obj_check layer to view the buffer polygons.
6 In addition to the bug fixes and enhancements up to Build 2008-08-AI as listed on http://www.tuflow.com/Release_Notes_2008_08.htm, the following bug fixes have been made:
(a) Fixed bug that didn't apply the ADD option correctly for Read MI Shape commands.
(b) Fixed bug that didn't apply dz attribute if NO MERGE specified and no points snapped to region perimeter.
(c) ERROR/WARNING 2049 (zero Z value) not issued if using the ADD option for a Read MI Shape.
7 New .tcf command "Maximum Velocity Cutoff Depth == [ <y> | {99999.} ] for setting the depth above which the maximum velocity is tracked as the maximum velocity, rather than the velocity at the peak water level. If set to the default 99999., the maximum velocity will be as in previous releases, ie. based on the velocity at the peak water level. If set to 0. (zero), the maximum velocity is tracked as the maximum velocity irrespective of the velocity at the peak water level. If <y> is set to a value greater than zero, the maximum velocity is based on the velocity at the peak water level for depths below <y>, while for depths above <y>, the maximum velocity is based on the maximum velocity. A small value of <y> (eg. 0.1m) is recommended as high velocities can occur at very shallow depths during the wetting and drying process that might be misleading.
8 The new _Times.dat file contains the time the maximum velocity value was recorded (this will appear under the time of 900,002 in decimal hours in the _Times.dat file, while the time of peak water level is under time 900,001). The time of peak water level is no longer written to the _h.dat file as time 99999.1.
9 New .tcf command "Time Output Cutoff Depths == [ {OFF} | <y1, y2…. ]". If one or more comma or space delimited depth values are specified, the _Times.dat file will contain the following time data for each depth:
(a) The time that a cell first experiences a depth greater than the depth(s) specified. These times are stored under the time of 100,000 + y in the .dat file, where y is y1, y2… This output is useful for mapping flood warning times for different depths of inundation.
(b) The duration of time that a cell is inundated above the depth(s) specified. These times are stored under the time of 200,000 + y in the .dat file, where y is y1, y2… This output is useful for mapping duration of inundation above specified depths.
(c) Note: For 1D WLL output, the above new _Times.dat output is not yet implemented. All 1D WLL output to the _Times.dat file is the time of maximum water level for all times in _Times.dat.
10 Hazard output extended to include up to 10 different hazard outputs per simulation, and 5 more hazard outputs have been added (Z5 to Z9) and are available for users to customise. Each hazard is tracked for its maximum if maximums output is on. The code used for calculating the hazard outputs is available from [email protected].
11 New .tcf command, "Rainfall Gauges == [ One per Cell | {Unlimited per Cell} ]". If each cell is only to be assigned one rainfall time-series use the "One per Cell" option. If One per Cell is set, an ERROR is issued if a 2D cell is assigned rainfall from more than one RF input (eg. from overlapping RF polygons) as it would cause a duplication of rainfall on that cell, and so is a good quality control check. Note that if the common boundary of adjoining polygons intersects exactly at a 2D cell's centre, this ERROR can be produced (slightly re-shape the polygons around the cell's centre to fix this). This option can also reduce the amount of RAM needed for direct rainfall models, as a separate grid is not needed for each RF input.
12 Two new options for "Map Output Data Types ==", BSS (Bed Shear Stress) and SP (Stream Power), are available for both 2D and 1D WLL map output. As a consequence Manning's n values are now assigned to B and W channels so that BSS and SP output can be produced (this does not affect the 1D hydraulic calculations). The equations for BSS and SP are given below where ρ is density of water (kg/m 3 – use Density of Water ==).
13 Commas now allowed within character strings when reading .csv formats. The character string must be enclosed with quotes.
14 Build 2009-07-AA incorporates licensing of TUFLOW via Halcrow Software dongles (interim builds issued for Halcrow dongles should be replaced by this build).
15 A full 64-bit build is available for testing – please contact [email protected] if interested. Presently it is only available for standalone dongles as we are yet to resolve 64-bit networking issues with the dongle suppliers.
16 Integer pointers for memory allocation have been increased from 4-bytes to 8-bytes, which was necessary for correct RAM allocation for HUGE models (these models would typically request a negative memory amount in previous builds). The 8-byte pointers allow models to have up to 9,223,372,036,854,775,807 real values rather than the 2,147,483,647 values previously using 4-byte integers. (When the pointers were first coded in 1989, it was never imagined that they would be exceeded!!!! The question now is will we ever exceed 9,223,372,036,854,775,807 values?).
17 Time varying wind stresses are now available. The undocumented .tcf "Apply Wind Stresses ==" has been disabled and should not be used. The 2d_bc "WT" (Wind vs Time) type is now available. If a 2d_bc WT type is found, wind stresses are turned on automatically. Only one WT field (digitise as a point anywhere in or out of the model) is currently recognised and is applied over the entire model. Spatially varying two or more WT time-series over a model is planned for a future release.
18 Fixed bug that did not correctly apply the background wind for a cyclone if the model was not orientated north-south/east-west (ie. Orientation Angle == 0.).
Cascade Reservoir Models (UK RIM Project):
A new option has been added to the .tbc "Read MI SA ==" command to allow the initiation of inflow hydrographs based on a flow or water level trigger so that, for example, reservoir failures can be initiated based on when the flood wave from an upstream failure reaches the reservoir so as to produce a worst case scenario. Details on the new feature are as follows:
1 An example of the new option is:
Read MI SA Trigger == mi\2d_satr_dambreaks.MIF
The 2d_satr layer is a 2d_sa layer (with one attribute, Name) to which three new attributes are added:
(a) Trigger_Type Char(40)
(b) Trigger_Location Char(40)
(c) Trigger_Value Float
2 The Trigger_Type attribute must be set to "Q_" or "Flow" for a trigger based on a flow rate, or "H_" or "Level" for a trigger based on a water level.
3 The Trigger_Location attribute is the PO Label in a 2d_po layer (see Section 4.8 in the 2008 manual). The 2d_po Type attribute must also be compatible with the Trigger_Type (ie. it must include Q_ or H_).
4 The Trigger_Value attribute is the flow or water level that triggers the start of the SA hydrograph (ie. a dambreak hydrograph).
5 Every timestep, the flow or water level of the 2d_po object is monitored and once Trigger_Value is exceeded the SA hydrograph commences.
6 When digitising the SA trigger polygon, this should probably be on the downstream side of the dam wall and covering the width of the dam wall and possibly several cells thick (in the direction of flow). If there are stability issues, enlarging the SA polygon would help, but on testing thus far it's performed well with the SA polygon a few cells thick.
7 The 2d_po line (flow) or point (water level) referred to by Trigger_Location can be located anywhere in the model, but for the cascade reservoir failure modelling would usually be located across the valley at the site of the dam for a 2d_po flow line, or for a 2d_po water level point located just upstream of the dam.
8 2d_po flow lines MUST be digitised from LEFT to RIGHT looking downstream (if not, the flow across the 2d_po line will be negative and the trigger value will never be reached).
New Evacuation Route Feature
New Z Shape .tgc file command for Evacuation Route modelling, to provide output on: the level of inundation of routes; and for helping define evacuation routes; warning times; risks; and duration that routes are cut off. Details are as follows:
1 The new .tgc command is:
(a) Read MI Z Shape Route == 2d_zshr…mif.
2 2d_zshr is the same as a 2d_zsh layer, but with the following three attributes added:
(a) Route_Name Char(40)
(b) Cut_Off_Type Char(40)
(c) Cut_Off_Values Char(80)
3 Route_Name is used to label the route. A route can be split into several polylines if required provided all the lines have the same Route_Name attribute. This can be useful where the route is more easily sourced or digitised as several polylines, or if using the BRIDGE option – see further below.
4 Cut_Off_Type at present can only be "Depth", but other options such as "VxD" or "Velocity" are planned to be added. If Cut_Off_Type is blank, the value from the latest "Set Route Cut Off Type ==" command (see below) is used.
5 Cut_Off_Values is a comma delimited list of one or more values (eg. depths) used to categorise the severity of the inundation along the routes. For example, if "0.1, 0.3, 0.7" is specified, then where the water depth exceeds 0.1m, these sections of the route are assigned a Category 1; above 0.3m deep Category 2; and above 0.7m Category 3. The values should be in ascending order. Elsewhere the route is assigned Category 0 (ie. no or minimal inundation). The Route Categories are output over time in the _ER.dat file, and summarised in the _RCP.mif layer. The reason that several cut off values are specified would be for different levels of risk (eg. shallow depths would be acceptable for most vehicles and people to safely negotiate, while deeper depths would only be acceptable for higher set vehicles).
6 Unless the BRIDGE Shape_Option is specified (see further below), the Z lines carry out the usual adjustment of the Zpts based on whether they are thin, thick or wide.
7 The following two commands can be used in the .tcf and .tgc files. If used in the .tcf file, this sets the default values for the 2d_zshr Cut_Off_Type and Cut_Off_Values attributes if these attributes are left blank. The default values can be changed between different "Read MI Z Shape Route" commands by repeat usage of the same commands in the .tgc file if the user so desires.
(a) "Set Route Cut Off Values" == 0.1, 0.3, 0.7
(b) "Set Route Cut Off Type" == [ {Depth} ]
8 The _RCP.mif output layer is a layer of points showing where a route's cut off value(s) were first exceeded (eg. first point of closure). The layer contains the following attributes:
(a) Route_Name Char(40) (Name of the Route)
(b) Cut_Off_Value Float (Cut Off Value)
(c) First_Cut_Off_Time Float
(Simulation time in hours when the cut off value was first exceeded)
(d) Last_Cut_Off_Time Float
(Simulation time in hours when the cut off value last first exceeded)
(e) Duration_Cut_Off Float
(Duration in hours that the cut off value was exceeded – not necessarily the difference between the first and last cut off times if the route reopened during this time)
9 The _RC.dat output file contains the Route Categories over time. This file can be used to view and animate the route category values.
10 If a Z Shape Route line is given a Shape_Option of "BRIDGE", the elevations along the Z Shape line are NOT used to adjust the Zpts, but are only used for assigning the evacuation route categories, therefore, the Z Shape Line can cross a river without blocking it! Because a route can be comprised of as many lines as you like as long as each line is given the same Route_Name they will all be regarded as being part of the same route. Therefore for a bridge, split this line from the lines either side and give all three lines the same Route Name, with the line crossing the river given a Shape_Option of "BRIDGE".
Manning's n vs Depth Curves
1 Curves of Manning's n versus depth are specified via the new Materials File .csv format.
2 Reading of materials files has been reworked, as follows.
(a) More than one materials file may now be specified using any number of "Read Materials File ==" commands.
(b) Both .tmf and the new .csv formats are supported.
(c) Any combination of .tmf and .csv files can be used.
(d) Up to 100 materials in total are allowed.
3 To use the new .csv format, manage the database of materials and curves in a .xls file in a similar manner to BC databases, and use the TUFLOW Tools.xls macros to export to .csv. If a material has an n vs depth curve, it must be in the .csv format.
4 By default, when the n vs depth values are read they are assumed to be in the first two columns of the .csv file containing the data. However, you can specify the columns to be used by placing the column label after the .csv filename. If only one column label is given, this is assumed to be the depth column and the next column along must be the n column. As for boundary data, TUFLOW searches down the rows until it finds the first numeric values and will start reading from this row until a row is found with no more numeric values.
5 Integer numbers must still be used for Material IDs, although work has commenced to handle non-numeric Material IDs
6 Use the "n" option for "Map Output Data Type ==" to see how the n values vary over time.
7 The third column of the .csv format is reserved for the infiltration parameters. At present, only the initial loss/continuing loss option is available and is entered as two comma delimited numbers.
8 The fourth column is reserved for a new feature being developed that allows the user to allocate a Landuse Hazard ID that can be used in deriving the Z1, Z2, Z3… Hazard output. This will allow the user to generate hazard categories not only on velocity and depth, but also land-use. Different hazard formulae will be able to be used for different materials, for example urban areas may have a different formula to rural areas. Note, this feature is not yet fully implemented.
9 To give a description of the material, this must be done after all inputs for that material, and must be preceded by a "!" or "#". Whilst Build 2009-07-AA only reads the first four columns, future releases may read more columns, hence the necessity to use a "!" or "#" to preserve backward compatibility.
In the example below:
* Material 1 would have a constant n value of 0.03 and no infiltration parameters.
* Material 5 would vary n with depth using the four y1, n1, y2, n2 values (as per .tmf format approach) and no infiltration parameters.
* Materials 11 and 12 will source n vs y curves from Grass.csv. As only one column label has been specified, the y values must occur under that label and the n values must occur in the next adjoining column (see image of sheet further below). An IL of 10mm and CL of 2mm/h for both materials will be used for any direct rainfall.
* Materials 21 and 22 will source n vs y curves from Trees.csv. As two column labels have been specified, the y and n values must occur under the specified labels (see image of sheet further below). An IL of 20mm and CL of 2mm/h for Material 21, and 25 and 2 for Material 22, will be used.
* Material 31 will extract n vs y values using Column A of Pavement.csv for y values and Column B for n values. IL = 0 and CL = 0.
M Channels (User Defined Flow Matrix)
This new feature allows the modeller to define the flow through a channel based on a flow matrix specified by the user. To set up user-defined flow matrix 1D channels in TUFLOW follow the steps below.
1 In the 1d_nwk layer, the following attributes are required:
(a) ID = ID of the channel
(b) Type = "M" (M stands for Matrix)
(c) US_Invert = Invert level of channel
(d) DS_Invert (optional) - Invert level of channel is taken as the maximum of US_Invert and DS_Invert
(e) Inlet_Type (formerly Branch) = relative path to flow matrix file (must be a .csv file), and optionally flow area matrix file
(f) pBlockage = Percentage blockage of channel (only used if no flow area matrix is provided)
(g) Width = Width of channel (only used if no flow area matrix is provided)
(h) Number_of = Number of channels (flow and area matrices are multiplied by this value). If zero is set to one.
2 Create the flow matrix along the lines of the image below and export the file to .csv using Save csv tool. The .csv file is that referenced in the 1d_nwk Inlet_Type attribute above. Notes using the example in the image further below are:
(a) TUFLOW searches through the sheet until more than 3 numbers are found at the beginning of a row (Row 3 in the example).
(b) This first row contains a multiplication factor (in A3) then upstream depth values (in the direction the channel is digitised). The depth values are added to the channel invert to set the water level.
(c) The next rows have the downstream depth in Column A and then the flows.
(d) Note that at present the matrix must be square and that the u/s and d/s depths must be the same values. The flows along the diagonal must be zero, and to the left of the diagonal negative (or zero) and to the right positive (or zero).
3 Optionally create a flow area matrix of the same dimensions and depth values as for the flow matrix. Note:
(a) The path to the area.csv file is specified after the flow .csv file in the Inlet_Type attribute (separate the two filenames using a "|"; eg. "..\UD_Q.csv | ..\UD_A.csv").
(b) The factor value in the A3 cell is not used (but the one from the flow matrix is used to factor the areas).
(c) The area values are only used for outputting the channel velocity (they are not used for the hydraulic computations other than when the channel velocity is used for other channels, eg. adjusting structure losses).
(d) If an area matrix is not provided, the area used is the Width times the pBlockage times the average of the upstream and downstream depths.
WV Channels (Variable Geometry Weir)
The new V option for W (weir) channels allows the modeller to vary the cross-section geometry of a weir using a trapezoidal shape. To set up a WV channel in TUFLOW follow the steps below.
1 In the 1d_nwk layer, the following attributes are required:
(a) ID = ID of the channel
(b) Type = "WV"
(c) Len_or_ANA = Nominal length in m (only used for calculating nodal storage if UCS is on)
(d) US_Invert = -99999 (the invert level is specified in the .csv file discussed below)
(e) DS_Invert = -99999 (the invert level is specified in the .csv file discussed below)
(f) Inlet_Type (formerly Branch) = relative path to a .csv file containing information on how the weir geometry varies.
(g) Height_Cont = Trigger Value (the upstream water level to trigger the start of the failure; upstream water level is determined as the higher water level of the upstream and downstream nodes).
2 The .csv file must be structured as follows (also see example below):
(a) TUFLOW searches through the sheet until more than 4 numbers are found at the beginning of a row (Row 2 in the example below).
(b) Each row of values is read until the end of the file or a row with no or less than four numbers is found. There is no limit on the number of rows of data.
(c) The four columns must be as follows and in this order. The labels for the columns are optional.
(i) Time from start of breach in hours.
(ii) Weir bed level in metres.
(iii) Weir bed width in metres.
(iv) Side slope (enter as the vertical distance in metres for one metre horizontal). For example, a value of 0.5 means a slope of two horizontal to one vertical.
3 In the example below, the weir once triggered will erode from a bed level of 270m to 254m, widen from a bed width of 0 to 20m and the side slope will remain constant at 0.5. The period of time for the erosion is 0.5hours.
4 Although in most cases the weir is eroded, the weir can also be raised/accreted as well or a combination of the two. Simply enter the change over time using as many rows as needed.
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XMAS REPORT 2021
I extend a very warm Christmas welcome to all our members and supporters of this ancient club.
I joined the Club in 2003, three years later we celebrated our 75 th anniversary and here we are now celebrating our 90 th year. You may ask where the last 15 years have gone.
I have had the privilege to be your president from 2006 except for four of those years when John Ford was president and I must say I have been fortunate to have had a very supportive committee to assist me.
We, as committee, have enjoyed a great deal of support from members new and old. Some, who are still here today, have been in the club before I joined. I did say old and with that we have maintained a strong participation rate except for the Junior membership which is hard to hold.
I would like to thank those people in the club for nominating me for the Community Volunteering Award that I received this year. Unfortunately, I was not able to collect it as I was fishing on the reef, but Elaine accepted it on my behalf.
The club has been able to conduct most of our competitions this year, even with the interruptions of Covid. Some comps that were fished got a bit hard to find a catch, especially the last shore comp; we can only hope to improve in 2022. We did not get the opportunity to fish our 2 nd comp against the RSL which was a pity as we look forward to this event each year.
Quite a few of our members have been dining out at the Anglers Arms Hotel on a regular basis on the third Wednesday night of each month. It is a great opportunity for members and friends to enjoy each others company. The Anglers Arms have given the club food vouchers for raffles and sponsored the feature comp weigh-in with prizes. A big thank you to Dave and his staff at the Anglers, and John who does the booking each month.
The Club welcomed 13 new members this year and may I congratulate all our present members for their friendly attitude in welcoming these members when they come to our monthly meetings.
We have enjoyed the presentations of guest speakers at our monthly meetings, where they have passed on their knowledge about fishing and helped us to understand more about tackle, baits and habitat.
At our October Meeting we arranged a guest speaker, Bruce Alvey, who came down from Brisbane on the night. Unfortunately he suffered a health issue that needed assistance from an ambulance. He spent the night in hospital and has still been receiving on going treatment; we wish him well.
I look forward to next year and I hope we can carry on enjoying what the club has to offer.
Bernie
CAPTAINS
REPORT
As a club we had 10 comps this year, 8 GAYP and 2 Shore only, with a total catch of 730 fish for 244kg
Bream
376
Comp 5 had a couple of close calls with Col Smith and John Fox both catching 10 Bream, but Col won with more weight. Also, a close call in B grade with Monica's 3 fish including a nice Flathead. Another close call in comp 7 with Elaine Gaven 19 fish (4.31kg) getting piped by Steve Merritt.
Not a lot of fish around in comp 10 with B Grade shinning through catching some fish while A grade was not so lucky. John Fox missed the weigh-in by twenty minutes with 1 Bream thinking the weigh in was at 11:00am. He would have won A grade
Peter Rafton might have learnt his lesson this year, receiving the "Wobbly Thong" award for gutting his fish before the weigh-in.
It was good to see a few extra people having a go at the offshore this year
Offshore Stats
We were able to get in 4 comps this year.
Comp1
12 fish for 8.28kg
Comp2 18 fish for 34.96kg
Comp3
25 fish for 29.47kg
Comp4
19 fish for 46.51kg
Total
74 fish for 120kg
Good Luck next year.
Kevin Burns.
2021 TOP TEN
IMPORTANT DATES
WEDNESDAY 1st DECEMBER LAST MEETING OF THE YEAR PLUS XMAS BREAK UP
2022 Ist GAYP COMP SATURDAY 29TH JANUARY 4pm till Midnight
( NO meeting before Comp)
AGM WEDNESDAY 2nd FEBRUARY 2022
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1. Reception
2. Boules
3. Children Games
4. Swimming pool
5. Bathroom
6. Bar
7. Gym
8. Dancefloor
9. Apartments
10. Beach access
- Plots
- Small plots
- Trigano
- Bungalow
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Altex Coatings Ltd
Version No: 4.8
Safety Data Sheet according to the Health and Safety at Work (Hazardous Substances) Regulations 2017
Chemwatch Hazard Alert Code: 4
Issue Date: 09/03/2023
Print Date: 09/03/2023
S.GHS.NZL.EN
SECTION 1 Identification of the substance / mixture and of the company / undertaking
Once connected and if the message is not in your preferred language then please dial 01
SECTION 2 Hazards identification
Classification of the substance or mixture
Considered a Hazardous Substance according to the criteria of the New Zealand Hazardous Substances New Organisms legislation. Not regulated for transport of Dangerous Goods.
Classification
[1]
Serious Eye Damage/Eye Irritation Category 1, Specific Target Organ Toxicity - Single Exposure (Respiratory Tract Irritation) Category 3, Carcinogenicity Category 1, Skin Corrosion/Irritation Category 2, Sensitisation (Skin) Category 1, Specific Target Organ Toxicity - Repeated Exposure Category 1, Hazardous to the Aquatic Environment Long-Term Hazard Category 3
Legend:
Label elements
Hazard pictogram(s)
Signal word
1. Classified by Chemwatch; 2. Classification drawn from CCID EPA NZ; 3. Classification drawn from Regulation (EU) No 1272/2008 - Annex VI
Danger
Hazard statement(s)
Page 1 continued...
Precautionary statement(s) Response
Precautionary statement(s) Storage
P405
Store locked up.
P403+P233
Store in a well-ventilated place. Keep container tightly closed.
Precautionary statement(s) Disposal
P501
Dispose of contents/container to authorised hazardous or special waste collection point in accordance with any local regulation.
SECTION 3 Composition / information on ingredients
Substances
See section below for composition of Mixtures
Mixtures
SECTION 4 First aid measures
SECTION 5 Firefighting measures
Extinguishing media
There is no restriction on the type of extinguisher which may be used.
Use extinguishing media suitable for surrounding area.
Special hazards arising from the substrate or mixture
Fire Incompatibility
None known.
Advice for firefighters
Fire Fighting
Fire/Explosion Hazard
Alert Fire Brigade and tell them location and nature of hazard.
Prevent, by any means available, spillage from entering drains or water courses.
Wear breathing apparatus plus protective gloves in the event of a fire.
Use fire fighting procedures suitable for surrounding area.
Cool fire exposed containers with water spray from a protected location.
DO NOT approach containers suspected to be hot.
If safe to do so, remove containers from path of fire.
Equipment should be thoroughly decontaminated after use.
Decomposition may produce toxic fumes of:
metal oxides silicon dioxide (SiO2)
When aluminium oxide dust is dispersed in air, firefighters should wear protection against inhalation of dust particles, which can also contain
May emit poisonous fumes.
hazardous substances from the fire absorbed on the alumina particles.
May emit corrosive fumes.
SECTION 6 Accidental release measures
Personal precautions, protective equipment and emergency procedures
See section 8
Environmental precautions
See section 12
Methods and material for containment and cleaning up
Clean up waste regularly and abnormal spills immediately.
Wear protective clothing, gloves, safety glasses and dust respirator.
Avoid breathing dust and contact with skin and eyes.
Use dry clean up procedures and avoid generating dust.
Dampen with water to prevent dusting before sweeping.
Vacuum up or sweep up. NOTE: Vacuum cleaner must be fitted with an exhaust micro filter (H-Class HEPA type) (consider explosion-proof machines designed to be grounded during storage and use). H-Class HEPA filtered industrial vacuum cleaners should NOT be used on wet materials or surfaces.
Place in suitable containers for disposal.
Environmental hazard - contain spillage.
Clear area of personnel and move upwind.
Wear full body protective clothing with breathing apparatus.
Alert Fire Brigade and tell them location and nature of hazard.
Prevent, by all means available, spillage from entering drains or water courses.
No smoking, naked lights or ignition sources.
Consider evacuation (or protect in place).
Increase ventilation.
Water spray or fog may be used to disperse / absorb vapour.
Stop leak if safe to do so.
Contain or absorb spill with sand, earth or vermiculite.
Collect solid residues and seal in labelled drums for disposal.
Collect recoverable product into labelled containers for recycling.
Wash area and prevent runoff into drains.
If contamination of drains or waterways occurs, advise emergency services.
After clean up operations, decontaminate and launder all protective clothing and equipment before storing and re-using.
Environmental hazard - contain spillage.
Personal Protective Equipment advice is contained in Section 8 of the SDS.
SECTION 7 Handling and storage
Precautions for safe handling
Avoid all personal contact, including inhalation.
Use in a well-ventilated area.
Wear protective clothing when risk of exposure occurs.
Prevent concentration in hollows and sumps.
DO NOT allow material to contact humans, exposed food or food utensils.
DO NOT enter confined spaces until atmosphere has been checked.
Avoid contact with incompatible materials. When handling, DO NOT eat, drink or smoke.
Minor Spills
Major Spills
Safe handling
Carboline Pyrocrete 40
Other information
Carboline Pyrocrete 40
Keep containers securely sealed when not in use.
Always wash hands with soap and water after handling.
Avoid physical damage to containers.
Work clothes should be laundered separately. Launder contaminated clothing before re-use.
Observe manufacturer's storage and handling recommendations contained within this SDS.
Use good occupational work practice.
Atmosphere should be regularly checked against established exposure standards to ensure safe working conditions are maintained.
Store in original containers.
Store in a cool, dry area protected from environmental extremes.
Protect containers against physical damage and check regularly for leaks.
Keep containers securely sealed.
Store away from incompatible materials and foodstuff containers.
Observe manufacturer's storage and handling recommendations contained within this SDS.
Conditions for safe storage, including any incompatibilities
Suitable container
Polyethylene or polypropylene container.
Check all containers are clearly labelled and free from leaks.
Storage incompatibility
Avoid strong acids, acid chlorides, acid anhydrides and chloroformates.
Avoid contact with copper, aluminium and their alloys.
+
x
o
x
X — Must not be stored together
+ — May be stored together
+
+
+
0 — May be stored together with specific preventions
Note: Depending on other risk factors, compatibility assessment based on the table above may not be relevant to storage situations, particularly where large volumes of dangerous goods are stored and handled. Reference should be made to the Safety Data Sheets for each substance or article and risks assessed accordingly.
SECTION 8 Exposure controls / personal protection
Control parameters
Occupational Exposure Limits (OEL)
INGREDIENT DATA
Exposure controls
Engineering controls are used to remove a hazard or place a barrier between the worker and the hazard. Well-designed engineering controls can be highly effective in protecting workers and will typically be independent of worker interactions to provide this high level of protection.
Process controls which involve changing the way a job activity or process is done to reduce the risk.
The basic types of engineering controls are:
Enclosure and/or isolation of emission source which keeps a selected hazard 'physically' away from the worker and ventilation that strategically 'adds' and 'removes' air in the work environment. Ventilation can remove or dilute an air contaminant if designed properly. The design of a ventilation system must match the particular process and chemical or contaminant in use. Employers may need to use multiple types of controls to prevent employee overexposure.
Employees exposed to confirmed human carcinogens should be authorized to do so by the employer, and work in a regulated area.
the assigned task and before engaging in other activities not associated with the isolated system. Within regulated areas, the carcinogen should be stored in sealed containers, or enclosed in a closed system, including piping systems, with
Work should be undertaken in an isolated system such as a 'glove-box' . Employees should wash their hands and arms upon completion of
Continued...
Appropriate engineering controls
Individual protection measures, such as personal protective equipment
Eye and face protection
Skin protection
Hands/feet protection
Body protection
Carboline Pyrocrete 40
any sample ports or openings closed while the carcinogens are contained within.
Each operation should be provided with continuous local exhaust ventilation so that air movement is always from ordinary work areas to the operation.
Open-vessel systems are prohibited.
Exhaust air should not be discharged to regulated areas, non-regulated areas or the external environment unless decontaminated. Clean make-up air should be introduced in sufficient volume to maintain correct operation of the local exhaust system.
Except for outdoor systems, regulated areas should be maintained under negative pressure (with respect to non-regulated areas).
For maintenance and decontamination activities, authorized employees entering the area should be provided with and required to wear clean, impervious garments, including gloves, boots and continuous-air supplied hood. Prior to removing protective garments the employee should undergo decontamination and be required to shower upon removal of the garments and hood.
Local exhaust ventilation requires make-up air be supplied in equal volumes to replaced air.
Laboratory hoods must be designed and maintained so as to draw air inward at an average linear face velocity of 0.76 m/sec with a minimum of 0.64 m/sec. Design and construction of the fume hood requires that insertion of any portion of the employees body, other than hands and arms, be disallowed.
Safety glasses with side shields.
Contact lenses may pose a special hazard; soft contact lenses may absorb and concentrate irritants. A written policy document, describing the wearing of lenses or restrictions on use, should be created for each workplace or task. This should include a review of lens absorption and adsorption for the class of chemicals in use and an account of injury experience. Medical and first-aid personnel should be trained in their removal and suitable equipment should be readily available. In the event of chemical exposure, begin eye irrigation immediately and remove contact lens as soon as practicable. Lens should be removed at the first signs of eye redness or irritation - lens should be removed in a clean environment only after workers have washed hands thoroughly. [CDC NIOSH Current Intelligence Bulletin 59], [AS/NZS 1336 or national equivalent]
Chemical goggles.
See Hand protection below
NOTE:
Contaminated leather items, such as shoes, belts and watch-bands should be removed and destroyed.
The material may produce skin sensitisation in predisposed individuals. Care must be taken, when removing gloves and other protective equipment, to avoid all possible skin contact.
The selection of suitable gloves does not only depend on the material, but also on further marks of quality which vary from manufacturer to manufacturer. Where the chemical is a preparation of several substances, the resistance of the glove material can not be calculated in advance and has therefore to be checked prior to the application.
Personal hygiene is a key element of effective hand care. Gloves must only be worn on clean hands. After using gloves, hands should be washed and dried thoroughly. Application of a non-perfumed moisturiser is recommended.
The exact break through time for substances has to be obtained from the manufacturer of the protective gloves and has to be observed when making a final choice.
Suitability and durability of glove type is dependent on usage. Important factors in the selection of gloves include:
* chemical resistance of glove material,
* frequency and duration of contact,
* glove thickness and
Select gloves tested to a relevant standard (e.g. Europe EN 374, US F739, AS/NZS 2161.1 or national equivalent).
* dexterity
* When prolonged or frequently repeated contact may occur, a glove with a protection class of 5 or higher (breakthrough time greater than 240 minutes according to EN 374, AS/NZS 2161.10.1 or national equivalent) is recommended.
* Some glove polymer types are less affected by movement and this should be taken into account when considering gloves for long-term use. · Contaminated gloves should be replaced.
* When only brief contact is expected, a glove with a protection class of 3 or higher (breakthrough time greater than 60 minutes according to EN 374, AS/NZS 2161.10.1 or national equivalent) is recommended.
As defined in ASTM F-739-96 in any application, gloves are rated as:
* Good when breakthrough time > 20 min
* Excellent when breakthrough time > 480 min
* Fair when breakthrough time < 20 min
For general applications, gloves with a thickness typically greater than 0.35 mm, are recommended.
* Poor when glove material degrades
It should be emphasised that glove thickness is not necessarily a good predictor of glove resistance to a specific chemical, as the permeation efficiency of the glove will be dependent on the exact composition of the glove material. Therefore, glove selection should also be based on consideration of the task requirements and knowledge of breakthrough times.
Note: Depending on the activity being conducted, gloves of varying thickness may be required for specific tasks. For example:
Glove thickness may also vary depending on the glove manufacturer, the glove type and the glove model. Therefore, the manufacturers technical data should always be taken into account to ensure selection of the most appropriate glove for the task.
* Thinner gloves (down to 0.1 mm or less) may be required where a high degree of manual dexterity is needed. However, these gloves are only likely to give short duration protection and would normally be just for single use applications, then disposed of. · Thicker gloves (up to 3 mm or more) may be required where there is a mechanical (as well as a chemical) risk i.e. where there is abrasion or
Gloves must only be worn on clean hands. After using gloves, hands should be washed and dried thoroughly. Application of a non-perfumed moisturiser is recommended.
puncture potential
Neoprene rubber gloves
polychloroprene.
Experience indicates that the following polymers are suitable as glove materials for protection against undissolved, dry solids, where abrasive particles are not present.
nitrile rubber.
fluorocaoutchouc.
butyl rubber.
polyvinyl chloride.
Gloves should be examined for wear and/ or degradation constantly.
See Other protection below
Other protection
Carboline Pyrocrete 40
Employees working with confirmed human carcinogens should be provided with, and be required to wear, clean, full body protective clothing (smocks, coveralls, or long-sleeved shirt and pants), shoe covers and gloves prior to entering the regulated area. [AS/NZS ISO 6529:2006 or national equivalent]
Emergency deluge showers and eyewash fountains, supplied with potable water, should be located near, within sight of, and on the same level with locations where direct exposure is likely.
Employees engaged in handling operations involving carcinogens should be provided with, and required to wear and use half-face filter-type respirators with filters for dusts, mists and fumes, or air purifying canisters or cartridges. A respirator affording higher levels of protection may be substituted. [AS/NZS 1715 or national equivalent]
Prior to each exit from an area containing confirmed human carcinogens, employees should be required to remove and leave protective clothing and equipment at the point of exit and at the last exit of the day, to place used clothing and equipment in impervious containers at the point of exit for purposes of decontamination or disposal. The contents of such impervious containers must be identified with suitable labels. For maintenance and decontamination activities, authorized employees entering the area should be provided with and required to wear clean, impervious garments, including gloves, boots and continuous-air supplied hood.
Overalls.
Prior to removing protective garments the employee should undergo decontamination and be required to shower upon removal of the garments and hood.
P.V.C apron.
Skin cleansing cream.
Barrier cream.
Eye wash unit.
Respiratory protection
Type -P Filter of sufficient capacity. (AS/NZS 1716 & 1715, EN 143:2000 & 149:2001, ANSI Z88 or national equivalent)
* - Negative pressure demand ** - Continuous flow
A(All classes) = Organic vapours, B AUS or B1 = Acid gasses, B2 = Acid gas or hydrogen cyanide(HCN), B3 = Acid gas or hydrogen cyanide(HCN), E = Sulfur dioxide(SO2), G = Agricultural chemicals, K = Ammonia(NH3), Hg = Mercury, NO = Oxides of nitrogen, MB = Methyl bromide, AX = Low boiling point organic compounds(below 65 degC)
* Respirators may be necessary when engineering and administrative controls do not adequately prevent exposures.
* Published occupational exposure limits, where they exist, will assist in determining the adequacy of the selected respiratory protection. These may be government mandated or vendor recommended.
* The decision to use respiratory protection should be based on professional judgment that takes into account toxicity information, exposure measurement data, and frequency and likelihood of the worker's exposure - ensure users are not subject to high thermal loads which may result in heat stress or distress due to personal protective equipment (powered, positive flow, full face apparatus may be an option).
* Certified respirators will be useful for protecting workers from inhalation of particulates when properly selected and fit tested as part of a complete respiratory protection program.
appropriate government standards such as NIOSH (US) or CEN (EU)
* Where protection from nuisance levels of dusts are desired, use type N95 (US) or type P1 (EN143) dust masks. Use respirators and components tested and approved under
* Use approved positive flow mask if significant quantities of dust becomes airborne.
Where significant concentrations of the material are likely to enter the breathing zone, a Class P3 respirator may be required.
* Try to avoid creating dust conditions.
Class P3 particulate filters are used for protection against highly toxic or highly irritant particulates.
Suitable for:
Filtration rate: Filters at least 99.95% of airborne particles
* Relatively small particles generated by mechanical processes eg. grinding, cutting, sanding, drilling, sawing.
* Biologically active airborne particles under specified infection control applications e.g. viruses, bacteria, COVID-19, SARS
* Sub-micron thermally generated particles e.g. welding fumes, fertilizer and bushfire smoke.
* Highly toxic particles e.g. Organophosphate Insecticides, Radionuclides, Asbestos
Note: P3 Rating can only be achieved when used with a Full Face Respirator or Powered Air-Purifying Respirator (PAPR). If used with any other respirator, it will only provide filtration protection up to a P2 rating.
SECTION 9 Physical and chemical properties
SECTION 10 Stability and reactivity
SECTION 11 Toxicological information
SECTION 12 Ecological information
chlorothalonil
Carboline Pyrocrete 40
Legend:
Extracted from 1. IUCLID Toxicity Data 2. Europe ECHA Registered Substances - Ecotoxicological Information - Aquatic Toxicity 4. US EPA, Ecotox database - Aquatic Toxicity Data 5. ECETOC Aquatic Hazard Assessment Data 6. NITE (Japan) - Bioconcentration Data 7. METI (Japan) - Bioconcentration Data 8. Vendor Data
Harmful to aquatic organisms, may cause long-term adverse effects in the aquatic environment. DO NOT discharge into sewer or waterways.
Persistence and degradability
SECTION 13 Disposal considerations
Waste treatment methods
Containers may still present a chemical hazard/ danger when empty.
Otherwise:
Return to supplier for reuse/ recycling if possible.
If container can not be cleaned sufficiently well to ensure that residuals do not remain or if the container cannot be used to store the same product, then puncture containers, to prevent re-use, and bury at an authorised landfill.
Legislation addressing waste disposal requirements may differ by country, state and/ or territory. Each user must refer to laws operating in their area. In some areas, certain wastes must be tracked. A Hierarchy of Controls seems to be common - the user should investigate:
Where possible retain label warnings and SDS and observe all notices pertaining to the product.
Reduction
Recycling
Reuse
Disposal (if all else fails)
DO NOT allow wash water from cleaning or process equipment to enter drains.
This material may be recycled if unused, or if it has not been contaminated so as to make it unsuitable for its intended use. Shelf life considerations should also be applied in making decisions of this type. Note that properties of a material may change in use, and recycling or reuse may not always be appropriate. In most instances the supplier of the material should be consulted.
It may be necessary to collect all wash water for treatment before disposal.
Where in doubt contact the responsible authority.
In all cases disposal to sewer may be subject to local laws and regulations and these should be considered first.
Recycle wherever possible or consult manufacturer for recycling options.
Bury residue in an authorised landfill.
Consult State Land Waste Management Authority for disposal.
Recycle containers if possible, or dispose of in an authorised landfill.
Ensure that the hazardous substance is disposed in accordance with the Hazardous Substances (Disposal) Notice 2017
Disposal Requirements
Packages that have been in direct contact with the hazardous substance must be only disposed if the hazardous substance was appropriately removed and cleaned out from the package. The package must be disposed according to the manufacturer's directions taking into account the material it is made of. Packages which hazardous content have been appropriately treated and removed may be recycled.
Only deposit the hazardous substance into or onto a landfill or sewage facility or incinerator, where the hazardous substance can be handled and treated appropriately.
The hazardous substance must only be disposed if it has been treated by a method that changed the characteristics or composition of the substance and it is no longer hazardous. Only dispose to the environment if a tolerable exposure limit has been set for the substance.
SECTION 14 Transport information
Continued...
Product / Packaging disposal
Print Date: 09/03/2023
Land transport (UN): NOT REGULATED FOR TRANSPORT OF DANGEROUS GOODS
Air transport (ICAO-IATA / DGR): NOT REGULATED FOR TRANSPORT OF DANGEROUS GOODS
Sea transport (IMDG-Code / GGVSee): NOT REGULATED FOR TRANSPORT OF DANGEROUS GOODS
Transport in bulk according to Annex II of MARPOL and the IBC code
Not Applicable
SECTION 15 Regulatory information
Safety, health and environmental regulations / legislation specific for the substance or mixture
This substance is to be managed using the conditions specified in an applicable Group Standard
Please refer to Section 8 of the SDS for any applicable tolerable exposure limit or Section 12 for environmental exposure limit.
Hazardous Substance Location
Subject to the Health and Safety at Work (Hazardous Substances) Regulations 2017.
Certified Handler
Subject to Part 4 of the Health and Safety at Work (Hazardous Substances) Regulations 2017.
Refer Group Standards for further information
Maximum quantities of certain hazardous substances permitted on passenger service vehicles
Subject to Regulation 13.14 of the Health and Safety at Work (Hazardous Substances) Regulations 2017.
Tracking Requirements
Not Applicable
National Inventory Status
SECTION 16 Other information
SDS Version Summary
Other information
Classification of the preparation and its individual components has drawn on official and authoritative sources as well as independent review by the Chemwatch Classification committee using available literature references.
The SDS is a Hazard Communication tool and should be used to assist in the Risk Assessment. Many factors determine whether the reported Hazards are Risks in the workplace or other settings. Risks may be determined by reference to Exposures Scenarios. Scale of use, frequency of use and current or available engineering controls must be considered.
Definitions and abbreviations
PC-TWA: Permissible Concentration-Time Weighted Average
IARC: International Agency for Research on Cancer
PC-STEL: Permissible Concentration-Short Term Exposure Limit
ACGIH: American Conference of Governmental Industrial Hygienists
TEEL: Temporary Emergency Exposure Limit。
STEL: Short Term Exposure Limit
IDLH: Immediately Dangerous to Life or Health Concentrations
OSF: Odour Safety Factor
ES: Exposure Standard
NOAEL :No Observed Adverse Effect Level
TLV: Threshold Limit Value
LOAEL: Lowest Observed Adverse Effect Level
LOD: Limit Of Detection
BCF: BioConcentration Factors
OTV: Odour Threshold Value
BEI: Biological Exposure Index
DSL: Domestic Substances List
AIIC: Australian Inventory of Industrial Chemicals
NDSL: Non-Domestic Substances List
EINECS: European INventory of Existing Commercial chemical Substances
IECSC: Inventory of Existing Chemical Substance in China
ELINCS: European List of Notified Chemical Substances
ENCS: Existing and New Chemical Substances Inventory
NLP: No-Longer Polymers
KECI: Korea Existing Chemicals Inventory
PICCS: Philippine Inventory of Chemicals and Chemical Substances
NZIoC: New Zealand Inventory of Chemicals
TSCA: Toxic Substances Control Act
INSQ: Inventario Nacional de Sustancias Químicas
TCSI: Taiwan Chemical Substance Inventory
NCI: National Chemical Inventory
FBEPH: Russian Register of Potentially Hazardous Chemical and Biological Substances
Powered by AuthorITe, from Chemwatch.
end of SDS
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THE DRAWING ABOVE SHOWS A TYPICAL METER CROCK THAT WILL BE INSTALLED BY DEL-CO WATER ON THE CUSTOMER'S PROPERTY. TYPICALLY THIS METER PIT IS INSTALLED 5 FEET BEHIND THE ROAD RIGHT OF WAY LINE UNLESS YOUR PROPERTY IS LOCATED IN A PLATTED SUBDIVISION, IN THAT CASE THE CUSTOMER SHOULD CONTACT DEL-CO TO DETERMINE WHERE THE METER CROCK SHOULD BE LOCATED. DEL-CO WILL MAINTAIN RESPONSIBILITY FOR THE METER, CROCK, AND THE SERVICE LINE FROM THE CROCK TO THE WATER MAIN. CONSTRUCTION AND MAINTENANCE OF THE SERVICE LINE FROM THE CROCK TO THE HOUSE, INCLUDING THE CONNECTION TO THE SETTER, IS THE CUSTOMER'S RESPONSIBILITY.
DEL-CO DOES NOT REGULATE THE MATERIAL USED FOR THE CUSTOMER'S PORTION OF THE SERVICE LINE. HOWEVER, WE DO OFFER MINIMUM MATERIAL AND CONSTRUCTION RECOMMENDATIONS FOR TYPICAL 5/8" X 3/4" RESIDENTIAL METER SERVICES.
1. USE 1-INCH IRON PIPE SIZE (I.P.S.) SDR 7 POLYETHYLENE PIPE WITH A MINIMUM WORKING PRESSURE OF 200 P.S.I. FOR SERVICE LINES LESS THAN 500 FEET LONG.
2. USE 2-INCH SDR 21 PVC PIPE WITH A WORKING PRESSURE OF 200 P.S.I. FOR SERVICE LINES OVER 500 FEET.
3. USE STAINLESS STEEL INSERTS AND BRASS COMPRESSION COUPLINGS FOR ALL POLYETHYLENE PIPE CONNECTIONS.
4. BURY SERVICE LINES A MINIMUM OF 36 INCHES DEEP.
CONNECTION OF THE CUSTOMER'S SERVICE LINE TO THE METER IS THE CUSTOMER'S RESPONSIBILITY. HOWEVER, IF THE CUSTOMER CONSTRUCTS THE SERVICE LINE PRIOR TO THE CROCK BEING SET AND USES THE PIPE SPECIFIED ABOVE, DEL-CO WILL MAKE THE CONNECTION AS A COURTESY WHEN THE CROCK IS INSTALLED. IF OTHER PIPE MATERIALS ARE USED, DEL-CO MAY MAKE THE CONNECTION TO THE CUSTOMER'S SERVICE LINE IF THE CUSTOMER PROVIDES THE PROPER ADAPTER FITTING AND PRIOR ARRANGEMENTS ARE MADE WITH OUR DISTRIBUTION DEPARTMENT. IF DEL-CO IS UNABLE TO CONNECT YOUR SERVICE LINE TO THE METER SETTER, DEL-CO WILL NOT RETURN TO YOUR PROPERTY TO MAKE THAT CONNECTION.
IF THE METER IS INSTALLED PRIOR TO THE INSTALLATION OF THE CUSTOMER'S SERVICE LINE, DEL-CO WILL PROVIDE A 4 FOOT LONG 1-INCH IRON PIPE SIZE(I.P.S.) SDR 7 POLYETHYLENE PIGTAIL FOR THE CUSTOMER TO CONNECT TO THEIR SERVICE LINE. IF THE CUSTOMER DESIRES THE METER CROCK TO BE INSTALLED PRIOR TO THE INSTALLATION OF THEIR SERVICE LINE, THE CUSTOMER SHOULD MARK THE DESIRED LOCATION OF THE CROCK WITH A WOOD STAKE LABELED "DEL-CO".
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Civic Employees Legacy Tower (CELT) – NorQuest College by ROBIN BRUNET
with PCL, "led us to the realization that a construction management delivery would better accommodate the flexibility required to renovate an occupied facility with a deconstruction/reconstruction strategy driven by the decant limitations and expanding functional program enrolment."
F or many staff, faculty, and students, it's as if it has been standing tall forever, but the Civic Employees Legacy Tower (CELT) is really a renewal to NorQuest College in Edmonton; and together with the new Singhmar Centre for Learning (SCFL) forms a welcoming entry to this fastgrowing institute of higher learning.
Careful attention was paid to material selection. "We used lots of textured fabric, large wood tiles, white walls to offset colours, and a repetition of the herringbone pattern in frostings and screenings to create lively spaces that would be sophisticated – rather than the kitschy ambiance seen in many college buildings," says Pearn.
The original building that would become CELT had gained a reputation for being outdated in its delivery of education, with closed off and inefficient spaces evident in each of its eight levels. But instead of demolishing and beginning anew, NorQuest College determined that only a thorough renovation of the interior was required.
Didluck adds that the development of SCFL, although completed on time and on budget under a fixed price contract when they stepped off the elevators. The wall tiles would be arranged in a herringbone pattern, with different coloured accent tiles for each level acting as a subtle form of wayfinding."
In fact, both SCFL and CELT were critically important projects, the former (which opened late last year) being the first expansion of the college in nearly five decades. As Jodi L. Abbott, NorQuest's president and CEO, explained to media in early 2018, "From 2013 to 2017, we have become a first choice institution, increasing our student population by 72 percent from 10,220 learners to the 17,592 we have today."
After extensive preparation, the college and GEC decided to break the project into two phases, with the first phase consisting of stripping floors four, five, six, and seven down to the concrete structure. "Since CELT was government funded we were obliged to commit to a fairly tight schedule," says GEC partner Peter Osborne. "Essentially, we spent a great deal of effort finding extra space in the floor plans, ways to activate the stairs, and strategies to take pressure off the elevators, while at the same time opening them up."
Addison adds that BIM modelling was used to avoid clashes during construction, "and this combined with other systems has enabled us to work consistently. Downtime on this project simply isn't an option."
Lighting played an important role in helping create a sense of space. "We installed LED uplighting on top of the lockers in the corridors, aimed at the ceiling, and this helped enhance the perception of volume," adds Pearn.
Tracey Didluck, project manager for the University of Alberta/NorQuest College, explains, "The building was a typical 1970s Edmonton tower in that it was an extremely well built concrete structure, but it had received a series of renovations that closed off a lot of floors, contributed to a confining atmosphere, and resulted in inefficient spaces. Our goal was to open everything up, make everything brighter, improve flow, and maximize occupancy." The renovated interior would accommodate multiple classrooms, laboratories, and an innovation studio, as well as staff and faculty offices.
|
Originally, each level had two completely enclosed corridors, and this, along with scissor stairs made things very disorienting for people, says Osborne. "By comparison, our design featured student lounges with access to exterior windows and active corridors, which helped bring natural light deep into the facility."
GEC associate Lacey Pearn adds, "One restriction was that we couldn't change the eight-foot ceiling heights of each level to any great degree, because it was determined early on that the mechanical systems would remain intact."
Not all the design choices would require massive demolition and reconstruction. "We kept the scissor stairs and colour coded them for better wayfinding," says Pearn, to which Osborne adds, "Colour was an important part of our design approach. For example, each student floor has a feature tile wall 35-feet long and nine-feet tall, this being the first thing people would see
Derek Ciezki, partner, SMP Engineering, was charged with upgrading and replacing as well as developing all the electrical and technical systems. "We brought in a cost consultant to preside over everything we did," he says. "The challenges are numerous in part because all the mechanics and electrical tie in with the Singhmar Centre; plus, systems such as fire safety haven't been substantially upgraded for decades."
Chandos Construction began the first phase demolition in 2017 following an elaborate and meticulously planned decant of students to the lower levels. "A lot of the work was done at night to minimize disruption, and we used a loading dock as a staging area, with three to four bins at a time taking the debris from the upper levels," says Didluck.
As of October of 2018, work crews had commenced phase two and were demolishing a portion of the basement. "Thanks to careful planning and great communication between all parties, we remain on schedule and have not run into any major roadblocks," says Didluck. "Looking ahead, we're very excited about the role the completed project will play in enhancing the profile of NorQuest College." A
LOCATION
10215 108 Street NW, Edmonton, Alberta
OWNER/DEVELOPER
NorQuest College
ARCHITECT
GEC Architecture
GENERAL CONTRACTOR
Chandos Construction
STRUCTURAL CONSULTANT
Entuitive
MECHANICAL CONSULTANT AME Consulting Group
ELECTRICAL CONSULTANT SMP Engineering
TOTAL SIZE
236,698 square feet
TOTAL COST
$40 million (projected budget)
Didluck notes that the construction of SCFL had included a grand entrance that would eventually connect both buildings at the main and second levels (the latter achieved by a walkway). This inspired GEC to create a main interior common space for CELT as a physical connection to the new entrance.
David Addison, project director, Chandos Construction, says among the many challenges facing his crew was "the replacement of all the windows – 700 in total – in their existing frames with clearer, high-performance glazing. This had to be completed by April of 2018, and thanks to careful preplanning we were able to go in and replace each one in about an hour's time."
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MEIOR Conference
Judicial scrutiny in EIO proceedings
25—26 March 2024, Leuven
Judicial oversight in EIO procedures for the transfer of communication data: assessing legality and proportionality of the exchange of information in the digital era
The problem of transnational exchange of intercepted decrypted communications in the Italian case-law: Cass., sez. un., 29 th February 2024.
One of the main issues addressed by the Court of cassation precisely concerns the need and the features of ex ante/ex post judicial scrutiny in EIO procedures.
Not a brand-new topic of transnational judicial cooperation, but in this case undoubtedly influenced by the particular nature of the evidence at stake.
Mutual trust and fundamental rights
As it usually happens when it comes to transnational judicial cooperation, the starting point of the analysis is represented by the inherent tension between the principle of mutual trust and the protection of fundamental rights.
Let alone purely national provisions, I will try to higlight some key and critical passages regarding the procedure for the transnational acquisition of digital personal data already collected abroad by foreign investigative authorities.
The issuing authority of the EIO
The discussion in the recent Sky ECC/Enrochat cases was mainly focused on the problem of determining the authority empowered to issue the EIO for the collection of intercepted digital comunications judge or public prosecutor?
It might be acceptable that the public prosecutor shall have the power to issue such EIO, provided that the original measure was duly authorised in the foreign State by an indipendent authority according to the findings of the ECtHR's and CoJ case law.
H.K. Prokuratur, C-746/18, § 51: «it is essential that access of the competent national authorities to retained data be subject to a prior review carried out either by a court or by an independent administrative body».
Judicial oversight and proportionality (I)
The transfer of evidences obtained in breach of the right to respect for private life because collected without prior judicial authorisation would determine a violation of artt. 8 ECHR, 7 and 8 CFREU.
ECtHR, Big brother watch and others v. U.K., 25° May 2021, §497: «the protection afforded by the Convention would be rendered nugatory if States could circumvent their Convention obligations by requesting either the interception of communications by, or the conveyance of intercepted communications from, non-Contracting States», or from Contracting States which did not respect the minimum safeguards imposed by art. 8 of the Convention.
Actually, one may say that even when the original measure has been authorised by a judge in the executing State the EIO shall be issued by a judge (or by an independent authority): the transnational exchange of personal data itself amount to a new and autonomous interference.
Judicial oversight and proportionality (II)
In the lack of judicial authorisation, the issuing State should of course refrain from requesting the transfer in view of art. 6 of the EIO directive, since the EIO must always be «necessary and proportionate».
At least in theory, the executing State itself might refuse the execution according to art. 11 lett. f) of the EIO directive: «Article 11(1)(f) of that directive permits [to refuse the execution of the EIO] where there are substantial grounds to believe that the execution of an EIO would be incompatible with the fundamental rights guaranteed, in particular, by the Charter» (C-852/19, Gazanov II).
Judicial oversight and proportionality (III)
According to the principle of mutual trust, the legitimacy of the original measure ordered by the authority of the issuing State might be presumed; however this does not mean that the issuing authority should not control the respect of fundamental rights considering the procedure adopted by foreign authorities.
With specific reference to Sky ECC cases, the measures were authorised by the juge d'instruction according to art. 706-95-12 of the French code of criminal procedure. Is the juge d'instruction sufficiently autonomous and indipendent in the light of the latest development of European case law?
In the Prokurator case cited above the CoJ stressed that the public prosecutor might not in principle authorise intrusive investigative measures since, although formally indipendent, it is the authority «which directs the investigation procedure».
Judicial oversight and proportionality (IV)
Judicial review might be ensured at a later stage, tipically in the phase of admission of the evidence collected abroad «the ex ante authorisation of such a measure is not an absolute requirement per se, because where there is extensive post factum judicial oversight, this may counterbalance the shortcomings of the authorisation» (Szabò and Vissy v. Hungary, 12 th January 2016).
However:
a) At the moment of the admission of the evidence the judge shall carefully examine the procedure through which the original investigative measure was ordered;
b) Such a scrutiny is only potential since the transferred material might not be subject to any decision on its ammissibility as evidence (e.g. if the accused pleads guilty).
The elephant in the room: rule of law and investigative intrusions in private life
Should the authorities of the issuing/executing States also assess the respect of the rule of law for EIOs aimed at collecting personal data stored abroad? Yes, since every interference in the right of respect for private life must be prescribed by law (art. 8 § 2 ECHR, art. 52 CFREU)
This is of course true for the executing State where the activities are materially performed, but also considering the lex fori art. 6 lett. b) EIO directive: «the investigative measure(s) indicated in the EIO could have been ordered under the same conditions in a similar domestic case».
Such requisite recalls not only proportionality but even before legality: if there is no national law permitting intrusion in private life the measure could not be ordered in a domestic case.
With specific reference to Sky ECC and Encrochat cases similar measured were not possibile in Italy, since malware hacking is only permitted for the interception of in real time dialogues.
Conclusions
Any different solution would raise problem of «investigative forum shopping»: if domestic provisions do not authorise the collection of digital personal data authorities might simply ask to perform the measure to foreign investigative bodies this is what the «theory of hypotethical recollection» by the BVerGE wants to avoid.
According to art. 10 of the EIO directive the executing State might not refuse the execution of the EIO regarding the obtaining of information or evidence which is already in its possession however, art. 10 itself states that art. 11 regarding grounds for non execution still applies. This means that where the exchange of evidence determines a breach of fundamental rights (as it happens when the limitation of the right of respect for private life is not in accordance with the law) the EIO shall not be executed.
Digital data are often accessible from eveywhere in the AFSJ: the lack of procedural harmonisation might impair the efficiency of judicial cooperation but the principle of the rule of law must always be observed.
Thanks for your attention!
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OPEN SESSION MINUTES OREGON STATE BAR PROFESSIONAL LIABILITY FUND BOARD OF DIRECTORS
February 23, 2018 Tigard, Oregon
The regular meeting of the Board of Directors and the PPMAC meeting was called to order at 9:00 a.m. at the Professional Liability Fund in Tigard, Oregon by Chair, Dennis Black. Present in addition to Mr. Black were Directors Tim Martinez, Saville Easley, Rob Raschio (via telephone), Molly Jo Mullen, Tom Newhouse, Holly Mitchell, Megan Livermore, and Susan Marmaduke. Also, present were PLF staff members Carol Bernick, Barbara Fishleder, Madeleine Campbell, Betty Lou Morrow, Cindy Hill, Jeff Crawford, Emilee Preble, Pam Stendahl, Amy Hoven, John Berge, Sharnel Mesirow, Rachel Edwards, Bryan Welch, and Karen Neri.
These meetings were noticed and conducted in compliance with the Oregon Public Meetings Law, ORS 192.610, et seq.
1. OPEN SESSION
(A) Determination of Quorum and Compliance with Public Meetings Notice Statute Requirements:
Mr. Black verified a quorum and confirmed that the public meetings notices were done as required by statute.
(B) Open Session Minutes (12/08/17):
Megan Livermore moved and Rob Raschio seconded that the open session minutes of December 8, 2017 be approved as written. Motion passed unanimously.
(C) Committee Minutes: 02/05/18 (Finance and Investments)
:
There were no comments regarding the minutes and no action was required.
Mr. Black welcomed new board member, Susan Marmaduke, and asked people to introduce themselves.
2. PLF REPORT
(A) General Report:
Carol Bernick thanked Madeleine Campbell for taking on the Director of Claims position. She reported that Ms. Campbell hit the ground running in January with a much higher claim count than over the last several months. Ms. Campbell has done a great job with a seamless transition. We are not replacing Madeleine's claims attorney position at this time.
Carol Bernick reminded the Board that the annual dinner will be less formal. We are looking at venues and it appears we have more options if we hold the dinner on Thursday, as opposed to Friday. She asked if anyone had thoughts on this. Rob Raschio commented that he would prefer Thursday. There were no further comments.
(B) Outside Activities on Behalf of the PLF:
Carol Bernick presented to the Washington State Bar Association's Task Force on Mandatory Malpractice. The Executive Director of the Idaho Bar presented on the implementation of Idaho's new requirement to maintain minimum malpractice insurance.
(C) Lodging Poll - 2018:
Ms. Bernick asked board members and staff to return their lodging polls to Cindy Hill, if they have not already done so.
(D) PLF Policy 5.100 (Banking):
Carol Bernick reported that notice to the Board is required when adding a check signer and, therefore, was notifying the Board that Madeleine Campbell has been added as a check signer. Ms. Campbell has no authority to sign checks relating to claims.
(E) OSB 2017 Economic Survey:
Carol Bernick referred the Board to the latest OSB Economic Survey. She noted the below market rates most of our defense panel members charge us. Our defense panel members view their PLF work as a service to the Bar. They are committed to keeping their rates low. Dennis Black noted that in talking with defense panel members, they enjoy being on our panel.
3. CLAIMS REPORT
(A) General Claims Report (Open Session):
Madeleine Campbell gave the claims report.
Ms. Campbell reported a very busy January. We received 80 new claims and closed 81. February has slowed down a bit. As of February 22, 2018, the PLF opened 123 new claims and
60 new suspense files. It is too early to predict for the year but extrapolating the numbers out for the rest of the year would suggest 847 new claims and 413 new suspense files in 2018. This number is similar to last year.
(B) 2017 Claims Attorney and Defense Counsel Evaluations:
Ms. Campbell referred the Board to the materials on page 26 and noted that the evaluations were very good. 93.05% of the covered parties responding were "very satisfied" with the handling of their claims by assigned Defense Counsel; the remainder were "satisfied." 95.37% of the respondents were "very satisfied" with the handling of their claims by the assigned Claims Attorney and 4.63% were "satisfied." Ms. Campbell stated this is a testament to the fine work of her colleagues and the PLF Defense Panel.
Madeleine Campbell noted that the PLF has been trying to analyze the diversity of our defense panel. Currently, 28% of panel members are women and about 28% of our annual spend is to women defense panel members. Carol Bernick noted that the Board asked the PLF to look into this issue. We are still analyzing the data. Ms. Bernick reported that she believes there is a perception that women are not on our defense panel. We need to keep bar members informed of the facts. That said, we want to always consider ways to improve and ensure equality in case assignments, looking at both frequency and severity in assignments. Tim Martinez said he is curious what the numbers are, based on age. Megan Livermore suggested that we look at other diversity issues, other than gender.
4. FINANCIAL REPORTS
(A) December 31, 2017 Financial Analysis:
Ms. Morrow referred the Board to the materials beginning on page 31 and noted that she will move straight to the financial statements.
(B) December 31, 2017 Financial Statements:
Betty Lou Morrow reported that assessment income was down due to the slow erosion of full-pay attorneys. We had 7373 covered parties in 2017 versus 7366 in 2016.
We budgeted 847 claims for 2017; actual was 827 claims. We released an unprecedented $3.9 million in liabilities from claims reserves as a result of decreases in both frequency and severity of claims.
The year-to-date actual for operating costs were essentially as budgeted. Expenses have been reviewed with the Finance Committee. The Finance Committee will recommend that we approve these statements. The Net Position is currently $20 million.
Mr. Morrow pointed out that the accounting department has done a great job of preventing adjustments on the audited financial statements throughout the years.
5. PLF PERSONAL AND PRACTICE MANAGEMENT ASSISTANCE COMMITTEE REPORT:
(A) 2017 4 th Quarter Report and Loss Prevention Update
Barbara Fishleder noted there are two reports beginning on page 44 of the materials (the 4 th quarter report and year-end report). Ms. Fishleder briefly reviewed each report.
Ms. Fishleder noted that the PMA office visits are up in 2017 because they were down in 2016 due to the loss of an experienced Practice Management Advisor. The OAAP numbers in 2017 are down due to less staff.
Ms. Fishleder introduced Karen Neri (the newest OAAP attorney counselor) and turned this portion of the meeting over to her.
Ms. Neri reported that she is enjoying the new work. Everyone is helping her onboarding with support, encouragement and training. She is co-facilitating with Shari Gregory a Meaningful Work group and a Creating Healthy Habits group with Doug Querin. She is scheduled to speak at PCC's paralegal program in March. Ms. Neri noted that her favorite part of her job is meeting with people in person. They are very grateful to have a safe space to talk.
Dennis Black explained to Ms. Neri that there was a discussion last year about the safety of client confidentiality at the OAAP. He asked if Ms. Neri had dealt with any concerns regarding this issue and, if so, was she able to address it successfully? Ms. Neri stated that she has not dealt with any of those concerns. She also noted that she makes sure to reiterate that our services are confidential when speaking with clients.
Barbara Fishleder thanked Emilee Preble and Bryan Welch for their hard work on redesigning the OAAP website. The OAAP is also redesigning its logo.
Ms. Fishleder reported that shred days would be scheduled in 2018.
Barbara Fishleder is working with the MCLE Committee to develop an MCLE rule amendment that mirrors the newly adopted ABA Model Rule for mandatory education on substance use and mental health issues. The Model Rule was adopted to make sure everyone was educated on the issues and to reduce the stigma of people seeking help. The MCLE Committee Chair is very supportive of the proposal to change the Oregon rule. Many states are adopting the ABA Model Rule requiring education on substance use and mental health issues. Some states adopted the rule as a stand-alone credit requirement; others, as a qualifying ethics credit. It is an important shift in thinking. For the OAAP, the rule change will be a wonderful opportunity to present directly on these important topics.
Barbara Fishleder noted that the PLF will continue with video replays; however, times are changing and they are less popular. Ms. Fishleder pointed out that Julie Weber's name was mentioned in her report because of her hard work during MCLE reporting time.
Ms. Fishleder stated that Karen Neri is doing an excellent job. Following her leave, Kyra Hazilla has agreed to facilitate some groups for the OAAP.
The PMAs are going around the state with their technology show. We have received very good feedback on this.
Access to the lawyer conference room at the OAAP has increased 28%.
Rachel Edwards stated that she is heading to Chicago for the Tech Show this year. The PMAs plan to roll out a Nano podcast (short how-to videos that PMAs will be creating). Recording begins in April.
Bryan Welch discussed the task force regarding attorney wellness, including law students. There is a shift in the culture and the thinking that lawyer health needs should start with law students. The new logo and new website will help the OAAP be more accessible. Mr. Welch began a support group for lawyers with ADHD. It is an interactive workshop. Interest has been very high.
Dennis Black commented that it is truly impressive, the deep rich body of information the two programs have generated over the years of their existence. They are a tremendous body of knowledge and resources available for Oregon lawyers. On behalf of Oregon lawyers, Mr. Black thanks the PLF and the OAAP.
(B) 2017 Year-End Report:
See above and see materials for specific information.
6. COMMITTEE REPORTS AND ASSIGNMENTS
(A) Claims Committee:
Dennis Black noted that the annual meeting scheduled for February 23 had been moved to April because of a conflict in the BOG schedule.
(B) Coverage Committee:
Holly Mitchell stated that there is nothing to report.
(C) Excess Program Committee:
Saville Easley stated that the committee has nothing to report and turned this portion of the meeting over to Jeff Crawford.
Jeff Crawford reported that the excess renewal cycle is winding down. The program has gone completely digital except for a couple of holdouts. It has been very well received and firms appreciate the convenience.
Mr. Crawford discussed some highlights of the Excess Program. We continue to evaluate securities risks. Overall, premiums have increased. Switching to electronic processing has resulted in administrative efficiencies (eliminating the data entry from the past, etc.). This has saved a lot of money. We are working on evaluating how much money we have saved.
Emilee Preble reported that the renewal rate was 91.5%. Last year it was 93%. We have a ten-day turn around goal for reviewing applications and the digital system has helped maintain a steady flow rather than big groups all at once. The application was revised and we received better information because of the revisions. About 90% of applications came in via the portal. We saw an increase in applications for additional cyber coverage. 37 firms requested higher limits than what is automatically included. ERCs are also up in the last two years.
(D) Finance:
Tom Newhouse reported that the Finance Committee met. Betty Lou Morrow reviewed the year-end report above.
Betty Lou Morrow reported that the accounting department went paperless for the 2018 Primary renewal and she was happy to say she did not receive one complaint. The process was seamless.
1. Review December 31, 2017 actuarial review of claim liabilities.
Ms. Morrow reported that our development of claims is less than the actuaries predicted (in frequency and severity). Carol Bernick noted that she feels there may be an uptick in severity within the last six weeks or so.
2. BOD to adopt the following (see materials beginning on page 104):
(a) The amount of December 31, 2017 claim liabilities - $25.2 million ($12.3 million Indemnity and $12.9 million Expense).
(b) The value of the average cost of new claims made during the first six months of 2018 - $20,000 ($9,000 Indemnity and $11,000 Expense). Ms. Morrow noted that the expense component has remained the same while the indemnity portion has decreased by $1,000.
(c) December 31, 2017 values for liability for Extended Reporting Coverage (ERC) - $2.9 million (this is a decrease of $300,000).
(d) December 31, 2017 values for liability for Suspense Files - $1.5 million (this is a decrease of $100,000).
(e) December 31, 2017 values for liability for Adjusting and Other Expense (AOE) - $2.3 million (this is a decrease of $300,000 [9.13% of claims reserve – recommended between 5-10%]).
Dennis Black asked the Board to adopt the above recommended actions.
Rob Raschio moved and Tom Newhouse seconded that the Board adopt the liabilities listed above. Motion passed unanimously 9-0.
(E) Investments:
Mark Higgins of RVK introduced himself and Cole Bixenman. RVK has worked with the PLF for quite some time.
Mr. Higgins referred the Board to the 2017 year-end report in the materials.
2017 was a phenomenal year. The PLF had an average return of 12.85%. U.S. equities were up around 20%; international markets did even better; emerging markets were up almost 40%; and developing markets were up about 25%. The current portfolio allocation works for the PLF's long term financial goals.
(F) Long Range Planning/Communications:
Molly Jo Mullen reported that the committee would meet immediately following today's board meeting.
(G) Special Issues:
Susan Marmaduke commented that this committee's role is to take on issues as reported by the Board. No such issues exist at this time.
7. LIAISONS' REPORT (BOG): Draft BOG Minutes: January 5, 2018
Carol Bernick reported that the BOG liaisons and Helen Hierschbiel were unable to attend the meeting due to a conflict with the BOG meeting held at the same time.
Ms. Bernick referred the BOD to the BOG materials beginning on page 156.
Ms. Bernick noted that Vanessa Nordyke is the current Bar President and her focus is on new lawyers and the Bar's programs aimed at new lawyers. Ms. Hierschbiel asked Carol to look at the number of claims filed against new lawyers and whether the numbers dropped after the mentoring program was initiated. We provided the information.
8. CHAIR REPORT
(A) Updates:
Dennis Black stated that he has nothing to report.
Rachel Edwards commented that the PMAs are planning a demo day with numerous software programs and vendors from around the country on September 26.
9. EXECUTIVE SESSION
Dennis Black called the meeting into executive session pursuant to ORS 192.660(2)(f) and (h) to discuss claim matters and other executive session issues. See separate executive session minutes.
The meeting was called back into open session to approve the executive session minutes and other executive session issues.
10. OPEN SESSION
(A) Approval of Closed Session Minutes in Open Session: December 8, 2017 and January 26, 2018:
Molly Jo Mullen moved and Megan Livermore seconded that the executive session minutes of December 8, 2017 and January 26, 2018 be approved as written. Motion passed unanimously 9-0.
Rob Raschio thanked Patricia Nation and John Berge for their assistance in the trial he was in until late yesterday. He was happy to have people of their caliber and speed assist him.
11. ADJOURNMENT
The meetings adjourned at approximately 11:52 a.m.
These minutes were approved by the PLF Board of Directors at its April 20, 2018 board meeting.
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SLYSA Soccer Forum - St Louis Youth Soccer Association
Generated: 10 December, 2013, 15:32
NORCO U13 (in fall) Boys- Bodden
Posted by NORCOadmin - 2012/05/27 20:50 _____________________________________
Coach Bodden will be conducting tryouts on:
Saturday AND Sunday June 16th and 17th from 10:30am-12:00pm at Mueller Fields.
Contact Info:
314-606-7297 or [email protected]
============================================================================
1 / 1
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The Clay County School Board does hereby announce that the millage rate will be set at a meeting to be held at the School Board Office on Thursday, September 7, 2017 at 6:00 p.m. and pursuant to the requirements of O.C.G.A. Section 48-5-32 does hereby publish the following presentation of the current year's tax digest and levy, along with the history of the tax digest and levy for the past five years.
### CURRENT 2017 TAX DIGEST AND 5 YEAR HISTORY OF LEVY
| COUNTY SCHOOL | 2012 | 2013 | 2014 | 2015 | 2016 | 2017 |
|-------------------------------|---------------|---------------|---------------|---------------|---------------|---------------|
| Real & Personal | 142,102,724 | 117,499,505 | 118,669,051 | 118,906,908 | 119,082,444 | 119,803,907 |
| Motor Vehicles | 5,887,400 | 5,989,240 | 6,388,480 | 4,386,740 | 3,481,340 | 2,638,650 |
| Mobile Homes | 1,037,160 | 933,427 | 958,795 | 979,963 | 996,512 | 1,038,280 |
| Timber - 100% | 2,690,802 | 1,773,805 | 1,946,976 | 2,388,725 | 1,773,450 | 2,657,828 |
| Heavy Duty Equipment | 0 | 0 | 0 | 0 | 0 | 0 |
| Gross Digest | 151,718,086 | 126,195,977 | 126,963,302 | 126,662,336 | 125,333,746 | 126,138,665 |
| Less M&O Exemptions | 45,888,276 | 28,483,019 | 29,282,366 | 30,201,115 | 30,127,599 | 30,542,192 |
| Net M & O Digest | 105,829,810 | 97,712,958 | 97,680,936 | 96,461,221 | 95,206,147 | 95,596,473 |
| State Forest Land Assistance | | | | | | |
| Grant Value | 1,552,291 | 2,477,483 | 3,106,127 | 3,207,929 | 3,440,872 | 3,472,405 |
| Adjusted Net M&O Digest | 107,382,101 | 100,190,441 | 100,787,063 | 99,669,150 | 98,647,019 | 99,068,878 |
| Gross M&O Millage | 12.021 | 12.657 | 12.669 | 13.181 | 13.181 | 13.181 |
| Less Rollbacks ( | | | | | | |
| Net M&O Millage | 12.021 | 12.657 | 12.669 | 13.181 | 13.181 | 13.181 |
| Total School Taxes Levied | $1,280,840 | $1,268,110 | $1,276,871 | $1,313,739 | $1,300,266 | $1,305,827 |
| Net Taxes $ Increase | | -$22,730 | $9,761 | $38,888 | -$13,473 | $5,561 |
| Net Taxes % Increase | | -1.76% | 0.69% | 2.89% | -1.03% | 0.43% |
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BURGESS
CREOLE
**CREOLE**
Prix par semaine en été (basse saison / haute saison)
EUR 189 000 / EUR 210 000
**Navigation en été**
**Méditerranée occidentale**
**Chantier**
*1927 (rénové en 2007), Camper & Nicholsons, United Kingdom*
| Longueur | 65,3m |
|----------|-------|
| Tirant d’eau min / max | 5,4m |
| Vitesse max | 16 Nœuds |
| Largeur | 9,5m |
|---------|------|
| De type déplacement | 680 tonnes |
| Vitesse de croisière | 11 Nœuds |
**Navigation en hiver**
**Veuillez nous consulter**
| Invités | 11 |
|---------|----|
| Équipage | 15 |
| Nb de cabines invités | 6 cabins (4 × double, 1 × twin, 1 × simple) |
|-----------------------|---------------------------------------------|
| Moteurs | 2 × MTU |
|---------|---------|
| Consommation de carburant en vitesse de croisière | 400 litres par heure |
**Notes**
*View yacht on website*
À propos de CREOLE
The world’s largest wooden sailing yacht, and indeed one of the most beautiful classic sailing yachts of all time, the three-masted schooner CREOLE was a masterpiece when launched in 1927, and remains so today. An example of magnificent craftsmanship combined with meticulous design, she has led a colourful life. Designed with a towering rig, she was launched with a stumpy rig due to her owner’s demands and was not restored to her original design until a decade later when under new ownership. She then had her rig removed and deck works changed during her service in the Second World War, which left her unrecognisable. She was returned to the beautifully appointed and fast CREOLE that her designer had intended with a major restoration in the mid 20th Century.
Today, CREOLE accommodates 11 guests in six cabins including a master suite, two double cabins and two twin cabins. Timeless styling and beautiful furnishings in warm, rich tones create an elegant and comfortable atmosphere, surrounding her guests in all manner of comfort with luxurious facilities. Her aft deck is perfect for both daytime and evening entertainment, while her formal dining salon and vast main salon are perfect interior spaces for formal occasions.
With all the pleasures of being under sail, she is perfect for the peerless charterer.
Principales caractéristiques
One of the most iconic vessels in the world
Unique maintenance record
Extremely refined cabins accommodating up to 11 guests
Sumptuous dining on the exterior deck, offering a terrace on the sea
1,080 sqm sailing area
Sailing up to 16 knots
Children friendly vessel with all gates and other safety equipment
Once in a lifetime sailing experience
Annexes et jeux nautiques
- 2 x Annexes
- Piscine anti-méduses
- 5 x Kayaks
- 3 x Stand up paddles
- Wakeboard
- Kneeboard
- Skis nautiques
- Jeux gonflables tractables
- Équipement de plongée et de surface
Fitness equipment
Please contact your Burgess broker for details.
Wellness
Please contact your Burgess broker for details.
Please note that facilities and equipment are subject to regular upgrades and changes. Contact a Burgess broker for the latest information.
CREOLE
Deck
Terrace on the water
Main lounge
Lower deck dining
CREOLE
Lounge
Master cabin
Master bathroom en suite
VIP cabin
Double cabin
Double cabin
Twin cabin
Twin shower room
CREOLE
Single cabin
Detail
CREOLE
Sailing
Sailing in style
| Location | Phone Number |
|-------------|-----------------------|
| Londres | +44 20 7766 4300 |
| Monaco | +377 97 97 81 21 |
| New York | +1 212 223 0410 |
| Miami | +1 305 672 0150 |
| Dubaï | +971 4 425 5874 |
| Hong Kong | +852 6496 2094 |
| Beverly Hills| +1 310 424 5112 |
| Palma | +34 971 495 413 |
| Athènes | +30 210 967 1661 |
| Singapour | +65 9665 8990 |
| Phuket | +66 7623 9739 |
| Tokyo | +81 46 738 8612 |
| Sydney | +61 499 945 557 |
| Mumbai | +91 98211 67253 |
Advertising of these vessel(s) in printed publications, on the internet or in any other medium is not permitted without prior written permission from Burgess. All particulars are given in good faith and are believed correct but they cannot be guaranteed.
Last updated: 14 novembre 2023
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Florida A&M University Assessment & Care Team (ACT)
Mission
Florida A&M University's (FAMU) Assessment and Care Team (ACT) is a group of qualified and dedicated college professionals with a shared mission that includes:
Balancing the individual needs of the student with those of the greater campus community
Providing a structured method for addressing student behaviors that impact the college community and may involve mental health and/or safety issues
Managing each case individually
Initiating appropriate interventions without resorting to punitive measures
Eliminating "fragmented care"
Overview
FAMU is concerned about the safety, health, and well-being of all of its students, faculty, and staff. ACT was created to identify, investigate, assess, refer, monitor and take action in response to behaviors exhibited by FAMU students that may pose a threat to the college community. Many times students do not ask for help when they need it. As a result it is imperative that college employees and students learn to identify and refer students in mental distress.
When a referral is submitted to ACT, the team will assess the situation and make recommendations for action. Such actions may range from a counseling or academic support referral to removing the student from the college community in accordance with Florida A&M University regulations. ACT will try to work with students, who are deemed not high risk, to refer them to campus resources that will allow them to remain in good standing at FAMU.
If you have any questions or concerns regarding a student of concern or ACT, please email [email protected] or call the Office of the Dean of Students at 850-599-3541.
Reportable Behaviors
There are three categories of student behavior that ACT addresses:
Behaviors of self-harm, suicidal thoughts, ideations or attempts
Erratic behavior (including online activities) that disrupt the mission and/or normal proceedings of students, faculty, or staff
Behavior that may compromise the health and safety of students, staff, faculty, or the general college community
The following are examples of behaviors that should be reported:
Emotional outbursts (yelling, screaming or anger management issues)
Verbal or written threats of any nature
Intimidating or harassing others including disturbing or threatening phone calls, text messages, emails, social network posting, etc…
Disruptive behavior on campus (including in classrooms)
Concerns of physical abuse including self-mutilation and harm
Concerns of intimate relationship violence, family violence and/or spousal abuse
Transportation to the hospital for alcohol and drug use/abuse
Written or verbal expressions of suicidal thoughts, ideations or actions
Material, written or spoken, in coursework suggesting possibly self-harm or harm to others
Tips for Recognizing Students in Distress
The "D" scale is a way to measure and assess mental health related risks.
Distress- A student in distress is characterized by the following traits:
Emotionally troubled (e.g. depressed, agitated, unstable).
Individuals impacted by actual/perceived situation stressors and traumatic events.
You may observe these behaviors:
Changes in academic performances in the classroom
Scores for examinations significantly drop
Changes in pattern of interaction
Changes in physical appearance
Problems concentrating, remembering things or making decisions
Disturbance- The student has increasingly disruptive behaviors
You may observe these behaviors:
Repeating requests for special consideration
New or regularly occurring behavior, which pushes the limit and may interfere with class management or be disruptive to other students or college employers
Unusual or exaggerated emotional responses (ex: venting, screaming, swearing)
Persistent sadness or unexplained crying
High levels of irritability or inappropriate excitement
Any substance misuse and abuse
Dysregulation- The student is deficient in skills that regulate emotion, cognition, self, behavior, and relationships.
You may observe these behaviors:
Statements related to death, dying or feelings of hopelessness
Threats of harming self or others
Behavior that is highly disturbed
Outbursts of anger
Inability to communicate easily
Irrational conversation or speech that seems disconnected
Loss of contact with reality; such as seeing or hearing things that are not there, beliefs or actions at odds with reality
Suspiciousness, irrational feelings or persecution
Intimidation through verbal or nonverbal threatening behavior
Destructive, harmful or threatening behaviors/attitudes towards others
Warning Signs of Suicidal Behavior
Expression to kill self or wishing to be dead Presence of a plan to harm self Means are available to harm self High stress due to academic difficulty, grief, illness Depressive symptoms present (e.g. severe hopelessness, loss of interest, changes in hygiene)
What You Can Do To Help
Responses to Distressed and Disturbed Behaviors
Observe: Pay close attention to direct communication as well as implied feelings
Initiate contact: If possible, talk to the student privately, be specific and speak in a non-judgmental tone. Openly acknowledge to the student that you are aware of their distress, that you are concerned and are willing to help them explore their alternatives.
Clarify your role: A student may see you as a figure of authority and this perception may influence how helpful you can be.
Listen objectively and carefully: Try to avoid imposing your own point of view, to withhold advice unless it is requested, and to concentrate on the feelings and thoughts of the person you are trying to help, and not on your own.
Know your limits: Only go as far as your expertise, training, and resources allow and trust your feelings when you think an individual's problem is more than you can handle. If you are unsure how to respond to a specific student, consult with the Office of Counseling Services or a member of ACT.
Responses to Dysregulation Behaviors
In the event of an emergency, stay calm. If possible, talk to the student in a private place, do not leave the student alone, especially if the student presents a threat to self or others.
Examples of emergency situations include:
A suicide attempt, gesture, threat or stated intention
A homicidal attempt, gesture, threat or stated intention
Behavior posing threat to others
Loss of contact with reality
If there is an immediate risk of harm to self or others, please call 850-599-3256.
If at any time you do not feel safe, please contact the FAMU Department of Campus Safety & Security immediately!
If no immediate risk of harm to self or others is present, please fill out the online ACT Incident Reporting form.
How to Make a Referral to ACT
Online Incident Reporting Form: www.famu.edu/studentaffairs
Contact the Office of the Dean of Students at 850-599-3541
ACT exists to assist students and will handle all referrals professionally in an effort to meet the needs of students and employees.
ACT Committee Members
The following offices are representative on the ACT committee:
Office of the Vice President for Students Affairs
Office of the Provost
Office of the Dean of Students
Department of Campus Safety & Security
Office of Counseling
Student Health Services
Office of Student Conduct and Conflict Resolution
Office of University Housing
Office of Equal Opportunity Programs
Other departments as needed
Resources
Florida A&M University Resources
Campus Safety & Security: 850-599-3256
Office of the Vice President of Student Affairs: 850-599-3183
Office of the Dean of Students: 850-599-3541
Title IX Coordinator: 850-599-3076
Office of Student Conduct and Conflict Resolution: 850-599-3541
Office of Counseling Services: 850-599-3145
Student Health Services: 850-599-3777
Center for Disability Access and Resources (CeDAR): 850-599-3180
University Ombudsman: 850-412-7907
Department of Military and Veteran Affairs: 850-412-5843
Off Campus Resources
National Suicide Prevention Lifeline: 1-800-273-TALK
(8255)/
http://www.suicidepreventionlifeline.org/
The JED Foundation (Suicide Prevention of College Students): Text START to 741-741 or call 1-800-273-TALK (8255)/ www.jedfoundation.org
Veterans Crisis Line: 1-800-273-TALK (8255)/ https://www.veteranscrisisline.net/
Refuge House: 24 Hour Hotline: Leon County 850-681-2111/Madison/Taylor 850-5848808/Toll-Free 1-800-500-1119/Sexual Assault 1-888-956-7273/ http://www.refugehouse.com
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06 February 2022
Fifth Sunday in Ordinary Time
Isaiah recounts his glorious vision of the Lord and his commissioning. Paul reminds the Corinthians of the Gospel he preached to them and lists the resurrected Jesus' appearances, culminating in his own call and conversion. In the Gospel, after preaching from Simon's fishing boat, Jesus tells him to put out into deep water. They catch a great number of fish and this leads Peter, James, and John to follow Jesus. In all of today's readings, people hear the Lord calling them to service, and all of them change course to follow their vocation. Young or old, we all have the responsibility to listen for the Lord's direction and answer with enthusiasm, as did Isaiah, Paul, Peter, James, and John.
Our Parish Mission Statement
We, the members of the Pro-Cathedral of the Assumption community, believe that we have been called through Baptism to live the Good News of Jesus Christ under the patronage of Mary, our Mother.
We accomplish this by proclaiming the Word, celebrating the Sacraments, & reaching out to others.
Most Rev. Thomas Dowd,D.D.
Bishop of the Diocese of Sault Ste. Marie
Rev. Larry Rymes
Pastor of the Pro-Cathedral Parish
PERMANENT MINISTERS
Deacons
Diocesan Order of Women
Rev. Mr. Albert Falconi
Mrs. Shirley Falconi
Rev. Mr. Donald Shago
Mrs. Norma Milligan
Rev. Mr. Rick Hamelin
Miss Ruth Godon
Rev. Mr. Gary Westenenk
Our faith community dates back to 1886 when we were originally located on Main Street West and called St. Mary's of the Lake. The cornerstone of the existing Cathedral was laid in 1904. The history of our parish is recorded in the memories of thousands of people who built our community.
Marriage: Please pick up a Marriage Information Booklet in the Church Vestibule to review prior to contacting the parish office.
Anointing the Sick: Please call the parish office for more information.
Reconciliation: Saturdays from 3:00 until 3:45 PM.
Eucharist: Please see mass schedule published in this bulletin. Call the parish office to arrange for a Eucharistic Minister to visit the sick and shut-in who are unable to attend Mass.
Adoration of the Blessed Sacrament: Each Friday from 11:00 am until 12:00 noon.
Baptism: Please pick up a Baptism Information Booklet in the
The Pro-Cathedral is wheel chair accessible
. The
Please enter the vestibule and ring the bell for an entrance to the elevator is on Algonquin Avenue.
attendant. Service available at all weekend masses.
12:45 PM. A Hearing Aid System is available for use by the hearing impaired. Please ask an Usher or Sacristan to assist you upon entering the church.
Monday - Thursday 8:30 AM to 4:30 PM
8:30 AM to 12:00 NOON
(705) 472-3970
(705) 494-8222
[email protected] www.procathedral.ca
facebook.com/procathedral
| Monday | 1 Kings 8. 1-7, 9-13; Mark 6. 53-56 |
|---|---|
| Tuesday | 1 Kings 8. 22-23, 27-30; Mark 7. 1-13 |
| Wednesday | 1 Kings 10. 1-10; Mark 7. 14-23 |
| Thursday | 1 Kings 11. 4-13; Mark 7. 24-30 |
| | 1 Kings 11. 29-32; 12. 19; Mark 7. 31-37 |
| Saturday | 1 Kings 12. 26-32, 13. 33-34; Mark 8. 1-10 |
Weekday masses service available 11:30 AM to
Monday, 07 February - Weekday in Ordinary Time COMMUNION SERVICE
Our next Baptismal Preparation Meeting will be held in the Parish Hall on TUESDAY, FEBRUARY 15 beginning at 7:00 PM. Those who wish to register for this meeting to have their child baptized are asked to call the parish office by Monday, February 14.
Tuesday, 08 February - Weekday in Ordinary Time Jean Paquette - Lisa Demarco and Norman Paquette Glenna McAuley - Jean and June McAuley
Baptism Preparation is mandatory Diocesan Policy.
Wednesday, 09 February - Weekday in Ordinary Time Devotion to Our Lady of Perpetual Help Prior to Mass by
Frank Toth - Aurelia Toth Frances Ripepi - Estelle Scappatura
The Pro-Cathedral Prayer Line consists of a group of parishioners who pray for the needs of others.
Concerns great and small are presented to the Lord on your behalf.
If you have a prayer request or would like to join the group call Sister Shirley McNamara at 474-3800, Ext. 295 or Lorraine Atchison at 474-0613
Thursday, 10 February - Memorial of St. Scholastica, Virgin
Saverio Silveri - Maria Miscio
Jim Hamilton - Ray Hamilton
Intention of June Leduc - Divine Will Prayer Group
Friday, 11 February - Weekday in Ordinary Time
Adoration of the Blessed Sacrament from 11 am to 12 Noon Alice Hopkinson - Vivian Molnar Intention of Karen Anne McArthur - A Close Friend
Sunday, 13 February - Sixth Sunday in Ordinary Time
AM 9:00 Mike Rossi - The Family
11:00 Did you know? According to the latest "Statistical Yearbook of the Church", the Catholic Church operates 532 institutions for lepers worldwide. Yes, even today, leprosy is still a disease that affects many people. These institutions consist of 201 in Africa, 41 in America, 269 in Asia, 19 in Europe and 2 in Oceania.
Bertha Yzereef - Helena Potter
AM Intention of the Parishioners - Rev. Larry Rymes
Offering Mass intentions is a tradition of prayer, support, and community. You may request a mass for someone who is deceased or for the intentions of someone who is living.
The Catholic Church has a long tradition of supporting lepers, who are often abandoned even by their own families, and has always offered them not only medical care and spiritual support, but also concrete opportunities for recovery and reintegration into society.
You can offer a mass for those who are sick and suffering who need prayers. A mass can also be offered in celebration of an anniversary, sacrament, or birthday. Contact the parish office if you would like to book a mass.
Today, leprosy is on the World Health Organization list of neglected tropical diseases and to this day remains a public health problem in several countries. In the Bible, leprosy has always been associated with injustice. Leprosy patients are still severely discriminated against because of the alleged incurability of the disease and the horrific mutilations it causes.
Belgian Saint Jozef Daamian De Veuster, SSCC, universally known as the Apostle of the lepers of the island of Molokai spent 16 years in charity work among the lepers.
MEMORIAL FUND
The following name has been received at the request of donors in memory of our deceased friends and relatives:
FRANCES RIPEPI
If you have moved or now use a cell phone number please call or email the parish office so we can change this information on our parish data system
YOU ARE INVITED TO ATTEND THE
CATHOLIC CONVERSATION SERIES
The Evangelization Committee of North Bay & Area have organized Catholic Conversation Series of presentations on the Catholic faith. Each month there will be a new topic and speaker. Your are invited! And bring a friend too!
These presentations are free to attend - All are Welcome!
Come out to learn more, explore and grow in faith, and leave feeling fulfilled and inspired. Ready to take part in the action, ask questions? Come join us!
ALL EVENINGS HELD AT ST. PETER THE APOSTLE PARISH ~ 299 AIRPORT ROAD
To Find our more and to register, visit: https://www.catholicconversation.net/ Also on LINKS at our website at procathedral.ca
Come back to the Catholic Church
Missing your Missal?
We will Welcome You! Have Questions?
Call us: 705 - 472 - 3970
Or Email: [email protected]
Parish Donations
St. Peter's Church has extra Missals ($4 each) for sale. Office hours are Monday from 9 am to 12 noon and Tuesday to Friday from 9 am to noon
and 1 pm to 4 pm. Drop in and pick one up!
Catholic Women's League
If you need any information on our donation options, please do not hesitate to call or email the parish office.
MEMBERSHIPS
If you are currently not contributing financially we ask that you prayerfully consider making a financial commitment to the parish.
Ways You can Help Support our Parish
* Parish Envelopes
* Pre-authorized donations from your bank account.
* Credit card donations
* E-transfer [email protected]
* Use our "Donate Today" button on our website at procathedral.ca
Only if it does not cause financial hardship—we appreciate your financial support!
Join the CWL! $25 Membership Fee for 2022 is due now. Drop off with your name and address through the parish office mail slot or into the collection clearly addressed "CWL MEMBERSHIP CHAIR"
Call Brenda Passmore if you have questions—474-0447
All women are welcome to be members of The Catholic Women's League of Canada. You are encouraged to renew your membership soon. Feel free to sponsor a member who may not be able to do this for themselves. We have fully active members, partially active members, financially supportive members and prayer partners who take part spiritually or help when needed. Come join us!
The CWL will be starting their first-ever monthly newsletter very soon! Make sure you are signed up here: http://eepurl.com/hRWo19
Development and Peace Stamp Collection
Don't forget that your stamps affixed to the right corner of your envelopes can help fund Development and Peace projects as they
REGIONAL NEWS
Looking for a Catholic Podcast? The Catholic Buzz Podcast is a weekly Catholic podcast recorded in our own Diocese of Sault Ste.
sell them to stamp collectors. Please support this initiative by simply cutting off the stamps from your envelopes without damaging the perforations. Save them in baggies/ envelopes & drop them into the collection or into the office mail slot.
Marie! Hosted by Fr. Daniele Muscolino, Josh Sullivan and Mat VanMilligen, these three tackle all sorts of Catholic topics, news and answer your questions too. You can watch the podcast on YouTube, or listen on Apple Podcasts, Google Podcasts, Spotify, Amazon Music and more! Visit https://linktr.ee/thecatholicbuzz for all the links, or follow on Facebook (@thecatholicbuzz) or on Instagram (@thecatholicbuzzpodcast).
Fourth Sunday in Ordinary Time
North Bay Right to Life works to deepen respect for human life and heighten public opposition to abortion and euthanasia and other threats against human life both in the Christian Community and among the general public.
North Bay Pregnancy Help & Resource Centre: Appointments can be made to see clients/visitors by calling 475-9270. Along with guidance and support, did you know that we provide layettes to new moms and also have a baby clothes closet? Donations of diapers, wipes, baby wash, etc. & much more are appreciated. Please call to see what our requirements are. If you would like to volunteer, or be part of our prayer ministry, email [email protected]
The Good Samaritan Corner
The Compassionate Committee for the Homeless in North Bay recognize that the homeless have urgent needs.
the
Please consider providing help to homeless in the cold weather. Here 's how you can make a difference:
We put off all kinds of things for all kinds of reasons. I'll take that trip with my family once my schedule clears up. Someday I'll read that book collecting dust on my shelf. I'll volunteer at church once I get my own act together. Today's readings remind us that God will take us as we are: We need only say "yes." In each of the readings, the protagonists – Isaiah, Paul, and Peter – initially resist God's call, fearing their sinfulness disqualifies them. We may feel that way, too. However, in each case, God forgives their sins and gives them the grace to say, like Isaiah, "Here I am. Send me!" Their assent can be a challenge to those of us who hold back from becoming more involved in our parish or sharing our faith with others, fearing we aren't good enough or aren't an expert in theology. Jesus reminds us that it is ultimately not about us, but him. We don't have to be perfect, just willing to push past our fears and trust him to make disciples of us.
1) Contact Emergency Homeless Services –
life. Hypothermia is a genuine concern for those on the streets. Contact the 24-hours crisis line at 705-474-1031.
helping the homeless in the cold can save a
2) Volunteer your time – you can make a big difference in the life of a brother or sister. If you are looking for ways to volunteer consider The Gathering Place, the North Bay Food Bank, or our very own Compassionate Committee for the Homeless in North Bay!
In today's readings, we hear descriptions of Isaiah's lips touched by a burning ember, Paul being transformed from persecutor to preacher, and the fishermen dropping their nets to follow Jesus. In each case, that turning point led to a life of witness. We may not have such a dramatic story to share, but most of us can look back and see turning points: That influential teacher, the aunt who saw the best in us, a priest, sister, or retreat leader who spoke to our hearts. Today's readings can encourage us to be that person for others – the one who shows them the love of Christ and what a difference it can make. Buoyed by God's grace, we can share the Good News with others and accompany one another as we seek to follow Jesus in our day-to-day lives.
Carve out time to do something spiritual you've been putting off – whether it's a retreat, morning prayer, or perhaps volunteering in a parish ministry or other organization.
Soles for Souls: Sponsor a pair of boots for $50 (in the way of cash and cheque donations) and help fill a trunk with donations of NEW thermal socks and mitts.
For more information, please contact Rebecca at: 705-471-2473.
For more information about the Compassionate Committee https://www.facebook.com/compassionatecommitteeofnorthbay
Leah Pierce at 472-5687 or at [email protected]
Pope Francis Prayer Intention February—Religious Sisters and Consecrated Women
We pray for religious sisters and consecrated women; thanking them for their mission and their courage; may they continue to find new responses to the challenges of our times.
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DESCALING a Vibriemme Domobar Super
This operation should be performed by an authorized espresso machine technician. However, should you feel technically competent to descale your espresso machine; these instructions can be used in conjunction with your user’s manual and the descaler manufacturer’s instructions to help you complete the process correctly. Please read them thoroughly before attempting to complete the cleaning process. If you do not feel comfortable with any step of the process, please hire a professional to complete this process. Stefano’s Espresso Care is not responsible for any damage to your equipment, your property, or your person during this cleaning process.
Descaling is preventative maintenance that will prolong the life of your espresso machine. As boiling water turns to steam, mineral content leaves behind hard water deposits which can cause multiple problems in your espresso machine, such as:
- Water sensor malfunction and failure
- Heating element failure
- Clogging of the thermosyphon pipes
- Low brewing volume
- Poor pressurestat response
- Low-temperature grouphead
- Drips and leaks from the grouphead
- Inability to form pressure in the boiler due to vacuum breaker failure
Depending on the mineral content of your water and frequency of use, your machine should be descaled approximately four times a year.
**Warning:** Descaling involves pumping a chemical solution through the machine. These special chemicals usually contain a food-grade acid that can be hazardous. Carefully follow the manufacturer’s recommendations and use safety precautions. Even when working carefully, some solution may splash in your work area. **Eye protection and gloves are required when handling and using these chemicals.** Do not allow bystanders in the area unless they are properly protected. You must also protect the work area both under and around your espresso machine. Immediately wash off any splashes, particularly on painted surfaces. Do not touch your skin or eyes during this process as descaler can cause serious irritation and burns to sensitive tissues.
**Warning:** Descaling involves opening the case of the machine and exposing internal components. Electrical components and their wiring can present a shock hazard and many parts inside the machine can get very hot.
Warning: Only use products manufactured explicitly for scale removal in espresso machine boilers. Other products, such as those made for cleaning coffee pots or removing hard water scale from bathrooms must never be used. Never use vinegar or any other chemicals for this purpose. Never add any other cleaning agent to your water tank. Always follow the manufacturer’s recommendation and instructions when descaling an espresso machine. Use of improper cleaners or improperly using the correct cleaner can void the warranty, damage your espresso machine, and be harmful to your health.
WARNING: Do not leave the machine unattended during this all process with an exception of when the machine is unplugged.
THE DESCALING PROCESS
1. Turn the machine on and bring the boiler up to operating pressure. Once the machine is up to pressure, turn the power switch to 0 (off) and UNPLUG the unit. Place a suitable container under the hot water spout, open the valve and let the water flow until it stops. Caution: water and spout will be boiling hot. Close the valve.
2. If the machine is so equipped, remove the water softener device from the water tank and install the screen that fits the end of the hose. The descaling agent will permanently damage the water softener if it is left in place during this process, so do not reinstall it until this entire procedure is completed. The original filter will stop any foreign matter from entering the boiler or heat exchanger.
3. Confirm that the power switch is in position 0 and UNPLUG the machine.
4. Pull the hoses out of the reservoir and remove the reservoir and its platform from the machine.
5. Remove the drip tray and its cover.
6. Tip the machine on its back and remove the two small Phillips head screws on the bottom of the machine along the back edge. Stand the machine on its feet.
7. Remove the 6 screws on the outer case (three on each side). Slide the outer case off the machine.
8. Replace the water reservoir’s platform and the reservoir and replace the hoses back into the reservoir.
9. Following the descaling agent’s manufacturer’s instructions, make approximately 3 liters of solution. The powder will dissolve better in hot water, but the solution must cool to room temperature when you add it to your reservoir. To expedite this process, start by dissolving the powder in approximately one liter of hot water, and then add
enough cold water to reach the proper ratio. Once the solution is cool, use it to fill the water reservoir at least ½ full.
10. Plug the machine in and **only** turn the power switch to Position I. Allow the boiler to fill. Do not continue to the next step until the pump stops. **Please note:** Some of the earlier versions had a time-out function which will disengage power to the autofill box after 1 minute. If that is the case in your unit, and the autofill shuts off on its own after 1 minute, turn the power switch to 0 and the back to I and it will reactivate the autofill. This safety function will continue engaging throughout the whole process, so keep in mind that you’ll have to reactivate the autofill when necessary.
**WARNING:** In many of the following steps, such as when pumping descaler through the grouphead and removing the hoses from the water tank, splashing acid can create a safety hazard. Gloves, eye protection, and work-area protection are required.
11. Place a suitable container under the grouphead, turn on the brew function, and run about 8 ounces of descaling solution through the grouphead. This also ensures that the thermosyphon pipes, the heat exchanger, and the internal components of the grouphead will be descaled.
12. Snap the blind filter into the portafilter handle and simulate backflushing the machine. Turn on the brew function and allow it to run for about 10 seconds after the pressure reaches its peak. This will force descaler through the over-pressure relief valve. You will see the liquid flowing back into the reservoir through the secondary hose. When that takes place, turn the machine to 0 and **UNPLUG** the power cord. Leave the hoses in place and move the reservoir off to the side of the machine and lift off the reservoir platform.
13. Remove the two Phillips head screws holding the top of the divider panel and swing it back and off the machine. Take care not to stress the wires attached to the water-level microswitch which is attached to the panel.
14. Remove the water level sensor wire by loosening the screw inside the plastic housing shown in the picture. Leave it disconnected for now. This will fool the boiler into thinking that it is low on water and needs to be refilled. Set the wire off to the side where it cannot accidentally connect with any metal parts.
15. **Note:** once the water reaches the top of the boiler, some water will leak from the anti-vacuum valve (figure 1 below). You can address this issue by wrapping a twist tie around the nipple of the anti-vacuum valve (figure 2 below) in a way that the nipple will stick up mimicking the closed position of the anti-vacuum valve.
 
16. Replace the divider. Reinstall the reservoir platform and reservoir and insert the hoses once again. If needed, add more descaling solution to the reservoir.
17. With the autofill wire still disconnected, plug the machine back in, remove the tip and O-ring from the steam wand and place them off to the side. Place a suitable container under the steam wand and open the steam valve.
18. Turn the power switch only to position I. The autofill is defeated and therefore the machine will overfill (completely fill) the boiler. As soon as a solid stream comes out of the steam wand, turn the power switch to Position 0 and close the steam valve.
19. Place a suitable container under the hot water spout. Open the hot water valve and turn the power switch to Position I. Pump about 16 ounces of solution through the spout. Turn the power switch to Position 0 and then close the hot water valve and UNPLUG the machine.
20. At this point, descaler has been pushed through all possible avenues where water can pass. Leave the machine off, UNPLUG the power cord, and allow the machine to sit for a few hours while the descaling solution works on buildup inside the boiler. Refer to the instructions on the descaling agent’s container for a better idea of how long this should take. The amount of soaking time is also a matter of the mineral content of your water, how often you use your machine, and how long it has been since the last descaling.
21. After the requisite time has passed, place a suitable vessel under the hot water spout, plug in the machine, open the hot water valve, and turn the power switch to position I. Pump about 8 ounces of solution through the spout. Turn the power switch to position 0 and then close the hot water spout and UNPLUG the machine. If the liquid you drained looks quite fouled with scale, refill the reservoir with descaling agent and pump another 16
ounces of cleaner through the hot water spout (repeating the process back at step 17). Excessive scale in the drained water indicates that you need to descale more often. If the water does not look very polluted with hard water deposits that have been dissolved, continue with step 22.
22. Empty and thoroughly wash and rinse the water reservoir, fill it with the water you normally use in the machine, and replace the hose with the particle filter on the end back into the reservoir. (Do not replace the water softener yet.)
23. Place the bypass hose in a suitable container. Removing this hose from the reservoir will keep the water in the reservoir free from the descaler which is still in the pressure-relief system.
24. Temporarily reconnect the autofill level sensor wire. Place a container under the grouphead, plug in the machine, turn the power switch to position I and turn on the brew cycle for 15 seconds or more to flush out the grouphead and thermosyphon pipes. Turn off the brew cycle and turn the power switch to position 0.
25. Lock the portafilter with the blind filter basket in place on the grouphead. Turn the power switch to position I and run the brew cycle for 10 seconds after the brew pressure gauge reaches about 9 BAR to flush the over-pressure relief valve. Turn off the brew cycle and turn the power switch to 0.
26. Remove, rinse, and replace the blind portafilter. Turn the power switch to position I and turn the brew cycle on and off a few times as when you are backflushing to clear the rest of the grouphead. Turn the power switch to position 0, then turn the brew cycle off.
27. Disconnect again the autofill level sensor wire, place a suitable container under the steam wand and open the steam valve. Turn the power switch to position I. The autofill is defeated and so the machine will pump a stream of water through the steam wand. Continue pumping until the water is clean and is free of descaling agent. Set the power switch to position 0, and then close the valve. Remember to check the reservoir level during this process.
28. Once again, place a suitable vessel under the hot water tap, open the hot water tap and turn the power switch to position I. Allow water to flow from the spout until it is clean and free of descaling agent. Set the power switch to position 0, and then close the valve.
29. Repeat steps 21 through 27 until the water you drain is tasteless (totally free from the taste of the cleaner). This might take as many as three or more rinses.
**WARNING:** Most proper descalers are a form of food-grade citric acid and are safe to consume when highly diluted. Sample only a very small amount (one drop on a clean fingertip) to be safe. Thoroughly wash your hands in hot, soapy water before and after performing this test.
29. When the drain water is clean and free from the acidic taste of the cleaner, turn the power switch to 0 and **UNPLUG** the machine.
30. Remove the reservoir, the reservoir platform, and the two screws holding the divider panel. Tip the panel back so you can reach the water sensor probe. After mentally noting the length of probe that extends up and out of the boiler, loosen the small nut that holds the probe, and pull the probe straight up and out of the boiler. Wipe it clean with a cloth. If necessary, light use of a scrubbing pad is okay. Replace the probe in the boiler making sure it sits at its original depth. Reconnect the autofill sensor wire on the boiler and remove the twist tie from the anti-vacuum valve.
**CAUTION:** Failure to reconnect the autofill wire will cause your machine to behave erratically and can cause damage not covered by the warranty.
31. Move the partition panel back into place and fasten with the two upper Phillips screws.
32. Tip the machine onto its back and install the two small Phillips screws in the bottom that hold the internal partition.
33. Place the machine upright and replace the outer cover and fasten the 6 Phillips screws that hold it in place. Take care not to pinch the reservoir hoses.
34. Replace the water reservoir platform, the water reservoir, reinstall the water softener if so equipped, wipe the two hoses clean, and replace them in their proper location in the reservoir. Refill the reservoir with the water normally used in the machine. If you removed heavy mineral deposits during the descaling process, think seriously about improving your water source or water treatment system. Also check the hardness of your water at more frequent intervals.
**CAUTION:** Exercise extreme caution during the following step. You will be dealing with boiling water gushing out of the hot water spout. Use necessary protection.
35. Plug the machine back in and turn the power switch to position I. The pump should not start. Place a suitable container under the hot water spout and open the hot water valve. Turn the switch to position II. As the machine heats up and pressure builds, some of the excess water in the boiler will be displaced by steam. When the pump begins to operate, signifying that the water has been lowered to about the correct level, close the hot water tap. The pump should stop shortly after closing the tap.
**WARNING:** Do not leave the machine unattended until the proper water level in the boiler has been verified!
36. When the machine reaches operating temperature, bleed steam off the boiler to assure that the water level is correct. If a lot of water comes out, then the water level is too high. Repeat step 35. If this problem continues, consult your retailer.
37. Now that the machine is up to temperature, make sure the components are clear of descaling agent by flushing a good amount of clean water through the hot water spout, bleeding some steam out of the steam wand, and using the brew cycle to run 4 to 6 ounces of water through the grouphead. Save a few ounces of water, and when it cools, taste it. If the water tastes like the acid used in the cleaning agent, repeat the flush process until the water is free from the acidic taste of the descaler.
38. Your machine is now descaled.
Any questions? Contact us at [email protected]
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IDENTIFYING AND VALIDATING NECROTROPHIC EFFECTORS IN THE POPULUS TRICHOCARPA-SPHAERULINA MUSIVA PATHOSYSTEM
Kelsey L. Søndreli 1 , Robert Brueggeman 2 , Jonathan Richards 2 Timothy Friesen 3 , and Jared M. LeBoldus 1,4,
Sphaerulina musiva causes stem cankers on Populus species in North America. The literature indicates that the use of resistance genotypes is the best approach to manage S. musiva, so it is imperative that we know more about the mechanisms that underlie resistance/susceptibility in the S. musiva–Populus pathosystem. RNA-seq was used to identify potential S. musiva necrotrophic effectors involved in stem canker formation at two and three weeks post-inoculation. Approximately 20 percent of the total reads were aligned to the S. musiva reference genome with the remaining reads aligning to the reference genome of Populus trichocarpa. There were 70 genes identified at two weeks post-inoculation and 110 genes identified at three weeks post-inoculation differentially expressed between the inoculated trees and the control. The candidate genes were selected for transformation into Pichia pastoris, subsequent protein expression, and infiltration of the proteins into P. trichocarpa leaves. This study provides the first evidence that low coverage RNA-seq can be used to identify putative necrotrophic effectors facilitating the study of host-pathogen interactions in the P. trichocarpa-S. musiva pathosystem.
1 Department of Botany and Plant Pathology, Oregon State University, Corvallis, OR 97331, ([email protected]).
3 Red River Valley Agricultural Research Center, Cereal Crops Research Unit, U.S. Department of Agriculture–Agricultural Research Service, Fargo, ND 58102.
2 Department of Plant Pathology, North Dakota State University, Fargo, ND 58102.
4 Forest Engineering Resources and Management Department, Oregon State University, Corvallis, OR 97331.
Citation for proceedings: Nelson, C. Dana; Koch, Jennifer L.; Sniezko, Richard A., eds. 2020. Proceedings of the Sixth International Workshop on the Genetics of Host-Parasite Interactions in Forestry—Tree Resistance to Insects and Diseases: Putting Promise into Practice. e-Gen. Tech. Rep. SRS–252. Asheville, NC: U.S. Department of Agriculture Forest Service, Southern Research Station. 170 p.
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Killarney
Saturday, July 6, 2019
Entry Fee - $250.00 (1) (includes Big Fish and Lucky Duck)
Make Cheque payable to:
Top50 Pike Series
175 Metcalf Avenue Garson, ON P3L 2L3
Tel. 705-665-4718
[email protected]
PLEASE PRINT AND FILL IN ALL INFORMATION
Angler 2
Address
City
Postal
Code
Phone email
Signatures
Angler 1____________________________________
Angler 2 ___________________________________
Notes
(1) No post dated cheques | Late entries are cash only .
DISCLAIMER CLAUSE:
The Top 50 Pike Series, the executive board members and host clubs will not be deemed responsible for injury, death, loss or damage incurred by any person either in traveling to the tournament location, before, during or after the tournament event, for any reason including negligence. Competitors should be present to move equipment and open all compartments for boat inspections. Tournament officials will exercise caution when conducting the boat inspections, however, the Top 50 Pike Series, its Executives and host club officials will not be responsible for any accidental damage during the inspection.
AGREEMENT CLAUSE:
We are familiar with all series rules. In signing this application, I hereby agree to be bound by and comply with all Tournament rules and regulations.
I agree to assume all risks while participating in any Top 50 Pike fishing tournaments or other events including traveling to and from the events. I agree to waive the Top 50 Pike executives and host clubs, of all responsibility and liability, including negligence, for any damages or injury of any description.
Any tournament angler(s) under the age of 19 should have a legal guardian signing (see below)
I am expected to follow standards of sportsmanship, courtesy, safety and conservation on and off the water. All contestants must adhere to all Provincial, Federal and local laws governing water activities. Any infraction of these fundamental sporting principles may be deemed cause for disqualification.
I hereby grant permission to the Top 50 Pike Series and host clubs to take pictures, videos that include me and boat for the purpose of advertising and marketing the series online, on paper and at Sportsman shows. I will receive no royalties whatsoever.
This form must be signed and initialed by each angler before he/she fishes this tournament
_____________ Date:
____________
(Initials)
Guardian & Signatures (If angler is under 18 years):
___________________________________________
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MARCHINGTON PARISH COUNCIL
MINUTES OF MEETING
Parish Clerk: Mrs Catherine Thompson
Tel: 07549164641
Email: [email protected]
Web: www.marchington.info
Held on:
Tuesday 10 th May
At:
Marchington Village Hall
Present:
Chairman Cllr. Andrew Mann Cllrs. Brian Darby, Reg. Husey, Paul Nixon, Ian Morgan, Darron Hayes, John Chubb, Julia Hayhurst and Richard Ford PCSO – Lucy Hadfield for Part Parish Clerk Mrs C Thompson
ACTION
6.c Neighbourhood Planning:
Cllr. Mann, Chairman of the Steering Group for the Neighbourhood Plan presented to the Cllrs. The Neighbourhood Plan was submitted to ESBC on 30 th March. Hard Copies are available to view at Village Halls, Marchington Community Shop and the Mobile and Uttoxeter Library until 20 th May. Our External Examiner Debra McCann has been appointed and she will review the document from the 20th May and her work should be completed within 28 days. After the 20 th June we will know what amendments are required. Potential referendum date early Autumn.
6d Councillor Questions
Cllr Chubb queried some of the language used in the last newsletter. It was agreed to stress importance that the Neighbourhood Plan will also be protecting the green spaces within the Forestside Area
7. Finance and Administration
7.a Precept: First half of payment received into the bank account. Cheques and letters ready to be sent out
7.b Payments List ‐ May 2016
Monies received:
Proposed: Cllr. Darby Seconded: Cllr. Nixon
7.c Councillor Questions
7.c.i Cllr Hayes asked if the council could help Marchington Woodlands Village Hall with reclaiming the VAT on purchases. As councillors were unsure what help could be given it was agreed that Cllrs Husey and Mann would help the Clerk write to our auditors Grant Thornton for advice.
Clerk Cllrs Mann & Husey Clerk
9.c Footpaths
9.c.i Clerk to chase repair of Stile on Footpath 51
9.d ESBC ‐ Nothing to report
9.e Enforcement
9.e.i Fly tipping in reported and removed by ESBC
10. Other Organisations – Updates and Reports
10.a Police– See PCSO Hadfields update
10.b HM Prison Dovegate– Awaiting confirmation of the new Director and next meeting date.
10.c Flooding Committee– Cllr Mann reported that a walk round the Village was planned for the 24 th May with SCC, ESBC and the Environment Agency. All Cllrs are welcome. Please meet at the Dog and Partridge at 11.am.
11. General
11.a Chairman, Councillors Reports
11.a.i Land at Marchington Woodlands – Cllr Nixon – Ongoing
11.a.ii Cricket Club Update – Tutbury have pulled out of using the Cricket club for this season. Henry Hall and Cllr Morgan have mowed the field and will continue to do so.
11.a.iii Memorial to Annaliese Davey – Stone chosen and placed. A vote of thanks was given to RANCO for donating the stone and delivering free of charge. Clerk to send a letter of appreciation to the quarry owners.
11.b Clerks Report
11.b.i Best Kept Village Competition Update – Successful litter picking day with 12 residents supporting us. Thank you
11.b.ii Light Pollution – Brit European and Dove View Solar Farm ‐ Brit European & Solar Farm have responded positively and situation is greatly improved. Clerk to send a letter of thanks to Brit European for the improvement.
11.b.iii Hedge on Church Road Junction – Clerk to check with SCC in regards to laws governing the cutting back of hedges during the bird nesting season. Once information received Clerk to write a letter to the resident confirming the verbal agreement he gave and setting a time scale for the work to be completed.
11.b.iv Forestside Footpaths ‐ Cllr Chubb and Clerk viewed the paths and garage areas. Letter of introduction for residents with Cllr Chubb for approval. Cllr Chubb to investigate costs involved in repairing the footpaths.
11.c New Items for Discussion
11.c.i Cllr Darby after a discussion with a resident raised the issue of lack of facilities for older children in the village. After a discussion all Cllrs were reminded that plans and grant bids are currently being sourced by Cllr Hayhurst. Clerk will draw up a poster to inform the residents that we are working on this and would gratefully accept their input and suggestions.
11.d Correspondence
11.d.i Councillor Training Available – 7
th
11.d.ii
11.d.iii
11.d.iv
June
Renewal of Community Council for Staffordshire Membership £25 – All Cllrs agreed
SLCC – Membership Renewal £103 – All Cllrs agreed
Community Benefit Grant – Circulated previously to councillors.
All Cllrs agreed that the beneficiary would be Marchington Parish Council. Clerk to ask for a timescale for the payment. Clerk to check if we have a similar agreement with Sun and Soil.
11.d.v Chairmanship Skills 31
st
May – Cllr Mann to attend
12. Any Other Business
12.i Cllr Hayes ‐ Marchington Woodlands Village Hall Precept Payment – See 7.c
Clerk
Clerk
Cllr
Chubb
Clerk
Signed ……………………………………………………………….…
Dated …………………………
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A Money View of Credit and Debt 1
November 4, 2012
Perry Mehrling
Barnard College, Columbia University
Institute for New Economic Thinking
"Capitalism is essentially a financial system, and the peculiar behavioral attributes of a capitalist economy center around the impact of finance upon system behavior" (Minsky, 1967, p.33, my emphasis).
Dirk Bezemer says, "Finance IS among the fundamentals." I agree. Further, "the omission of debt (in its many forms) is the major problem." Okay, but I think the devil is really in the details of those many forms, and that's where we need to focus discussion, because that is where we may differ. Following Dirk's lead, I too will try to state, as simply as I can, what I personally currently believe to be "the correct diagnosis and the helpful solutions". Even more, I will follow his suggested outline: Challenge, Journey, Work, Plans.
The Challenge
To begin with, and notwithstanding the abstractions of DSGE, I think it is not really correct to say that standard economics, and finance too, have omitted debt per se. What they have omitted is most of the reasons that debt is important. So far as I understand, under standard assumptions—intertemporal optimization with a transversality constraint and complete markets-- in a pure exchange economy current wealth is more or less a sufficient statistic to describe the state of an individual agent. The distribution of wealth across agents matters, but the way that it matters can be absorbed in the parameters used to characterize the "representative" agent. Wealth is discounted present value of income, and debt allows agents to allocate that wealth to a time path of consumption that is not constrained by the time path of income. There is debt, but its fundamental function is to substitute for the missing set of time and state contingent markets for goods.
When Ken Arrow first proposed this model in the 1950s, it was not at all supposed to be a positive model of the actual economy, rather a normative model of an ideal economy that we could use to
1 Paper prepared for the "Economics of Credit and Debt" session at the INET/CIGI 'False Dichotomies' conference, Waterloo, Ontario, Canada, 18 November 2012
calibrate policy intervention in the actual economy. That was the Old Keynesian (and Monetarist too) consensus. But in the 1970s, stimulated by the revolution in finance, Lucas and others began to explore the idea that the very same model, perhaps with a friction or two added, was actually a fairly close approximation to the actual economy. That is the New Keynesian (and New Classical) consensus.
Most critics today argue against the Lucas positive interpretation of the model. I would go farther, arguing against the Arrow normative interpretation of the model as well. In short, I think it is simply impossible for any real world market economy to achieve, hence an inappropriate benchmark for policy, and for theory as well. It is impossible because it fundamentally misconceives the role that markets, and specifically financial markets, play in our economy. Neither markets, nor the state, whether separately or in cooperation, can ever be expected to defeat the dark forces of time and ignorance. (Nor would we honestly want them too, since life is all about experience and discovery.) Fundamental uncertainty is a fundamental fact of our economic life, and abstraction from that fundamental fact is the major problem.
From this point of view, debt appears in a different light. It is not so much about achieving an impossible optimal intertemporal allocation, but rather about realizing a deviation between present income and present expenditure. Surplus agents can realize their surpluses only if they accept promises from deficit agents to pay in the future. In a world of fundamental uncertainty, such promises are always more or less rash, but what other choice do we have? All we can do is to form a view of a possible future, and bet on it. Deficit agents bet on their own future cash flows by issuing debt claims, and when surplus agents accept those debt claims they are betting as well.
From this point of view, the web of financial claims is no veil but rather the very fabric of economic life. At any moment of time the pattern of claims reflects bets made in the past, and the valuation of those claims reflects current views about how those bets are working out. Inevitably, not all bets will work out, and there will be default, with wealth consequences for the immediate debtor and creditor, and perhaps for larger society as well because of the interlocking character of the web.
"The whole web of interlocking commitments is like a bridge we spin collectively out into the unknown future toward shores not yet visible. Mere ideas about the future become realities as they become embedded in financial relations, but inevitably over time the reality embodied in the pattern of cash commitments diverges from the reality embodied in the pattern of cash flows. Inevitably our ideas about the future are wrong, even when we all agree, indeed especially when we all agree." (Mehrling 1999, 141)
That's the way the world is, and models that abstract from the way the world is (such as DSGE models) are not going to help us very much in our attempts to manage our individual and collective lives in that world. But what would help us? That is the challenge. What kind of analytical tools can we build that do not abstract from the fundamental facts, but nonetheless facilitate a scientific approach to the problem?
My Journey
Monetary economics has been my main intellectual focus for thirty years now. The reason I first got into the field may help to explain why my work has developed as it has.
I did not major in economics as an undergraduate, and as a consequence I never got properly socialized into the customs and norms of the field. Instead, I majored in something called Social Studies, which was a general social science major organized around a year-long sophomore tutorial in which we read foundational texts of social science. Smith's Wealth of Nations and Marx's Capital were the economics texts, plus Max Weber, John Stuart Mill, Durkheim, Freud, and Levi-Strauss, to cover political science, sociology, psychology, and anthropology, respectively. That intellectual formation is probably the reason why, when I decided to pursue graduate study in economics, my instinct was to begin by studying its foundational texts, starting with Keynes' General Theory where I found some very interesting ideas about liquidity and liquidity preference. That was spring semester of my senior year, in 1981, two years into the momentous events of the Volcker Fed, which background context was no doubt also important. In any event, I was bitten by the money bug, and have trying to deepen my understanding of money ever since.
One of the reasons I chose economics over other social sciences was that I thought my strong mathematics background would help me more in that field than in others, and that also explains my choice to begin my formal study of economics at the London School of Economics by doing their MSc in Econometrics and Mathematical Economics. I remember thinking that I wanted to get a strong foundation in the technical aspects of the subject so that when I did my PhD I could focus on the substantive issues at hand. But the choice turned out to be fateful in another way since it meant that I first learned formal modern monetary economics from Douglas Gale, at the very time he was writing the Cambridge Handbooks Money In Equilibrium and Money In Disequilibrium. Himself a student of Frank Hahn, Gale used the so-called Hahn Problem—the disturbing absence of money from the Arrow-Debreu model of general equilibrium—as the organizing principle for his story of formal development in the field; in his account it was all driven by attempts to get around the Hahn Problem. I remember being a bit puzzled by this. It seemed to me that the lesson of the Hahn Problem was that general equilibrium theory was simply a non-starter, at least for monetary economics. If you want to understand money, you have to start somewhere else. But where?
My PhD studies were all about trying out various different starting points. Like so many others before me, I found my way to Schumpeter's History of Economic Analysis, which led me to the incredibly rich literature in the history of monetary thought. Following Schumpeter, I read H.D. McLeod (possibly the origin of my later emphasis on accounting) and many others as well. Indeed, the title of my dissertation "Studies in the Credit Theory of Money" was homage to Schumpeter's hint about the possible superiority of a credit theory of money, rather than a monetary theory of credit. In the dissertation, I tried my hand at mathematical modeling, econometric modeling, and history of economic thought. I thought of these as three different ways to try to understand money.
When I started my academic career at Barnard College in 1987, I continued to pursue all three lines. In mathematical economics, I pursued the non-Walrasian path first opened up by Truman Bewley. In econometrics, I did a tremendous amount of work using the Compustat balance sheet data on liquidity positions of publicly traded firms. But when I got to the end of these papers, I realized that I didn't know much more about money than I had at the beginning. Instead, it was my study of the monetary economics of Allyn Young that set me on the course that led me to where I am today.
I found Young by asking when exactly monetary economics had gone off course—certainly with ArrowDebreu, but probably earlier than that with the monetary Walrasianism of Hicks—and then by looking around at what alternative paths were alive then that might provide a starting point for our own time. I thought, "Let's go back to when monetary economics seemed to be on a more viable path, and build from there." Probably it was Schumpeter who initially led me to Young, but Young was himself a student of Richard Ely, and one of the finest flowers of American Institutionalism. From the very first, there was something about his work that captivated me, and I wanted to read all of it, but first I had to find all of it since he had died suddenly, and without producing any treatise. That is when I became a serious historian of economic thought, toiling in the archives, reading Allyn Young's mail for clues to how he thought about money. 2
Ironically, it was tenure pressure more than anything else that led me to put aside my mathematical and econometric work and to focus for a while on history of thought. To put it baldly, my lack of enthusiasm for the output of these first two research lines was more or less shared by the profession, and I found publication difficult. But people loved the Young stuff--even non-historians loved it—and since I felt that I was learning a lot about money by doing it, I decided to do more of it and that led to my first book. Following the Young trail led me to Alvin Hansen, another American institutionalist who is better remembered as an early American Keynesian, and then to Ed Shaw whose book (with Gurley) Money in a Theory of Finance (1960) re-energized monetary economics in the post-war period. Entering the minds of these three men, and grappling with the monetary events of their times, I got an education of a kind and started to feel that I was coming to understand money, at least a little bit. Mirabile dictu, the resulting book The Money Interest and the Public Interest: American Monetary Thought, 1920-1970 (1997) was also enough for tenure.
Having achieved job security, I stopped writing for the tenure committee and started my own independent monetary researches in earnest. The whole point of finding these ancestors, so it had always seemed to me, was to find a way to build on them, and so to continue the line into the present. And that meant building also on Minsky, a student of Schumpeter who I came to understand as the fourth in the Young-Hansen-Shaw line. I did not do a full biographical treatment on Minsky, only an article, but I did spend a summer reading everything he had ever written, asking myself what kind of mind had produced it all, and asking what a mind like Minsky's would be grappling with today, were he as young as me.
2 To my mind, the best thing Young wrote on money was a set of unpublished Encyclopedia chapters, which I didn't find in time to include them in my published work on Young. But I use them today as the first reading whenever I teach Economics of Money and Banking.
It seemed obvious to me that developments in finance since 1970, in both theory and practice, were the most important things from a monetary point of view that needed to be understood, and integrated into the Young-Hansen-Shaw-Minsky line. So I decided to learn finance. When I found Fischer Black I knew I had my starting point, because he was also interested in money and as a critic of the economists. It took me seven years to write Fischer Black and the Revolutionary Idea of Finance (2005), but eventually I managed to get myself an education in finance.
All the while I was working on Fischer Black, I was also pursuing another line of self-education focused on understanding the operation of modern money markets. (As I recall, I was trying to find an intellectual analogue in my own life to Minsky's important engagement with the Mark Twain Bank.) This I did by creating a course, "Economics of Money and Banking", which used Marcia Stigum's The Money Market as its textbook. (While I was at it I also created another course, Topics in Money and Finance, organized around key articles in the history of monetary economics and finance, but mostly that was about filling in the gaps in my knowledge of that history. When you are department chair, you can assign yourself to teach anything you want!) The first year I taught the course, it was just Stigum, but over time I developed a set of lectures, and supplementary readings, and even problem sets. None of this was visible to the publish-or-perish academic world, which therefore continued to see me as a "nothing more than a historian of economic thought". But it was visible to my students, and most of all to me. I was finally getting to understand money. 3
And then the crisis happened. I took a leave of absence with the intention of turning my course into a book, but instead Princeton Press asked me to write a book that put the crisis in historical perspective, and that seemed an opportunity not to be missed. The New Lombard Street: How the Fed Became the Dealer of Last Resort (2011) brings together the history of money and history of finance, with my longgestating institutional study of money markets. The point to emphasize is that ground zero for the crisis, the place where the crisis was really a crisis, was the money market. An economics profession that had been spending 25 years refining the DSGE model to direct a policy program of inflation fine-tuning had essentially nothing to say about the crisis. But I had been doing something else entirely, and as a consequence I did have something to say.
My Work
Dirk Bezemer categorizes me as a proponent of the "accounting approach" to money, as opposed to stock-flow consistent, or agent-based modeling. I definitely see why he fits me there, but I have to say I don't agree with his sentence-long summary of New Lombard Street! So I guess I need to do more work to make my own position clearer than was possible in a book organized as a kind of intellectual biography of the Fed. In my Money and Banking course, I am much more programmatic and pedagogical, so let me just sketch the analysis I develop there, which has five key elements.
First, the "survival constraint" (Minsky 1957). In my mind, this is about the payments system, and about the necessity of meeting your obligations at the daily clearing. So far as I know, no one else gives such
3 It will soon be visible to the world since INET is filming the course this semester, and will be offering it free to all takers. See appendix for syllabus.
importance to understanding the payments system as I do, but I have come to think it is completely crucial. Once we abandon the idea of intertemporal equilibrium (much less the idea of an infinitehorizon transversality condition), the question immediately arises where the economy gets its coherence. I think the survival constraint is key to this. People get vital information about their position in the system as a whole from the cash flows in and out between themselves and that larger system. Not only that, they are forced to pay attention to that information, and the institution that does the forcing is the survival constraint.
In practice, of course, lots of mechanisms have been developed to mute the force of the survival constraint, to enable people to put off the day of reckoning to another later day. Those mechanisms are the money markets. The state of the money markets therefore gives information about the coherence of the system as a whole. Are people in general able to meet their cash commitments with the cash flows that are coming in to them, or are they in general trying to put off the day of reckoning to another later day? The money market is a sensitive barometer, telling everyone the current state of the system to which they are trying to adapt their own behavior.
As an example, consider the balance sheets below which show how two banks, one with a deficit and one with a surplus, settle at the end of the day by using the Fed Funds market to push the day of reckoning off to the next day.
Bank A—deficit
Clearinghouse
Bank B—surplus
The settlement constraint organizes bank behavior, both individually and as a system, but its impact is by no means limited to banks. Indeed, when you view the economy as a payments system, everyone is a bank (cash in, cash out), and that brings us to the second element.
Second, the "money flow economy" (Copeland 1952). Copeland was an American Institutionalist, a student and admirer of Wesley Clair Mitchell (who was a contemporary and friend of Young). He developed what became known as the flow of funds accounts as an explicit alternative to both the NIPA accounting on which Keynes built, and the equation of exchange on which the monetarists built. Flow of funds simply follows the money and does not make invidious distinctions between new goods (value added) and old goods (value transferred). Even more, since it treats purely financial transactions on the same footing as transactions for goods and services, it provides a framework for analyzing the economy as essentially a financial system. Copeland dates himself, and reveals his inability to slough off his realside institutionalist training, when he calls these purely financial transactions "fluff". But in practice the destiny of his accounts has been to draw analytical attention to this fluff.
The logic of the accounts is shown below:
USES
Sources
I show the flow of goods and services above the line, and the corresponding financial flows below the line. But there are lots of financial flows below the line that have no corresponding real flow above the line, indeed most of them.
The accounts are organized by two principles—every source is someone else's use, and everyone's source has a corresponding use. I show the accounts for an individual, but it is clear that the accounting rules mean that both sides of the accounts stretch into the larger economy. In this sense the money flow framework is the natural macroeconomic counterpart of the microeconomic settlement constraint.
In practice, the actual Flow of Funds accounts measure flows between highly aggregated sectors of the economy, not individuals, and there is a tremendous amount of netting out within the sectors. Further, the clear moneyflow conceptual apparatus is quite substantially muddied in practice by subsequent attempts to integrate the flow of funds with NIPA accounting, with the idea of showing the concrete mechanisms through which saving is channeled, through various financial intermediaries, into investment. And even in clean form the accounts have difficulty handling valuation changes and collateral flows, two key elements in the modern financial economy. So I find the accounts more useful as a conceptual analytical apparatus than as an empirical basis for macro, and as a step on the road not the final step. Probably here is a point of contention with the stock-flow consistent approach?
Third, the hierarchy of money and credit (Hawtrey 1930). One drawback of Flow of Funds is that it places every agent in the economy on the same footing, whereas in the real world it is clear that what counts as money and what counts as credit depends on who you are. To me and you, bank deposits are money, but not to a bank. To banks, reserve deposits at the Fed are money, but not to other central banks. This hierarchy of money and credit is what fluctuates over time, as credit (at all the various levels) expands and contracts. Bezemer emphasizes the business cycle frequency of this fluctuation; I see it at all time frequencies, ranging from the intraday operation of the payment system to secular rise and fall of nations.
Another drawback of the Flow of Funds is that it tracks quantities not qualities, and so misses the way that what counts as money and what counts as credit changes over time. In booms, credit becomes more moneylike, while in contractions the differentiation reasserts itself. I use the following images to build intuition around this point:
Fourth, the central role of the dealer function (Hicks 1989). The reason the inherent hierarchy of the system is often missed is that dealers enter, motivated by profit, using their own balance sheets to straddle the layers of the hierarchy. They make markets by posting both buy and sell prices, and then let their balance sheet absorb the resulting order flow. As a result, qualitative differences appear to market participants as merely matters of price. The crucial role of dealers in achieving that result is pushed into the background in most treatments, in both economics and finance, which wind up therefore analyzing a world in which market liquidity is a free good, and the liquidity premium is zero. In the real world, dealers do not bear risk for free, and consequently there are liquidity premia everywhere, indeed (not surprisingly) a hierarchy of liquidity premia.
As an analytical tool for thinking about a world in which market liquidity is produced by dealers, Treynor's 1989 model is very simple and very useful. He was thinking about security prices, but the same model can be adapted for money markets. He was thinking about dealers facing price risk, but the same model can be adapted for matched book dealers who face no price risk, only liquidity risk.
An obvious application of this way of thinking is to provide analytical foundations for explaining the observed failure of both the expectations hypothesis of the term structure and the uncovered interest parity theory of forward exchange rates. Both theories should be true under the standard assumptions of both economics and finance, but the empirical facts regularly show them to be false. In a world where dealers make markets for profit, both "anomalies" make sense. 4 The Treynor theory of the economics of the dealer function thus provides analytical foundations for the Hicks-Keynes theory of liquidity premia as a fundamental determinant of asset prices.
Indeed, more generally, once we take on board the idea that market liquidity is a market activity, there is no reason at all to expect that asset prices are efficient, in the sense that they capture all that is known about (non-financial) fundamentals and only what is known about them. Fischer Black's famous
4 My students Dan Neilson and David Grad, respectively, have done extensive empirical work documenting this point.
presidential address, in which he stated his belief that prices are within a factor of two of value most of the time, comes from this place.
Fifth, the central bank as dealer, and as agent of the state (Bagehot 1873). The first four elements lead to the idea that the central bank is essentially a dealer, perhaps a dealer of last resort whose outside spread enables lower level dealers to more comfortably quote an inside spread. In doing so, however, the central bank is crucially different from other dealers, since it is concerned about the stability of the system, not its own profit, even if it is purely a banker's bank.
The specialness of the central bank comes even more into focus when we take on board the idea that the central bank is also the government's bank, certainly in times of crisis (such as war finance) but also in more normal times (such as normal refinancing operations of the Treasury). It is clear that the state is a crucially important actor in modern monetary arrangements, notwithstanding my abstraction from it in all of the above four elements. So now the question arises, how to bring the state into the picture?
One idea is that the state is fundamental to everything (and that therefore I err by waiting until now to bring it in) because it has the power to assert, by fiat, what is money. This is the chartalist tradition of Knapp and others, which tends also to see this power as a force for good. On the other side is the metallist tradition of Menger and others, which does not so much deny the state's ability to assert what is money, but rather questions whether this is a force for good. As counter to the founding myth of state money, Menger and his followers put forward an alternative myth of natural emergence from exchange.
Personally, I find this whole debate, chartalist vs. metallist, to be a red herring, driven more by political ideology than scientific inquiry. Indeed, it seems pretty clear to me that modern monetary systems are quite typically hybrid systems, combining both chartalist and metallist elements. (Modern central banks are typically both bankers' banks and government banks.) But it was not always so. In my reading of the historical evidence, the origins of these two traditions in monetary thought lie in the institutional practice of the past where there was a sharp distinction between domestic "king's" state money and international "gold" private money. Both of these monies had a credit apparatus built on top of them, and there were dealers making markets between them; although they were essentially parallel currencies within individual countries, the international character of the private money meant that these markets were essentially about foreign exchange.
Pace the strong chartalist position, my reading of history is that the king's money was typically not very good money, and tended to depreciate against the private money, sometimes dramatically so and sometimes intentionally so as a mechanism of state finance. Law, even sometimes very draconian law, was powerless to prevent this. So-called seignorage turned out to be a rather weak reed on which to build state finance, and so the attention of modern states turned instead to private capital markets. War finance showed the ability of states to borrow large sums by tapping into the private international system, and so a bargain was struck. Bankers would help the state to borrow, and the state would legalize private money for domestic purposes. That's the typical deal, in various permutations, today.
Plans
First, extension of the money view to capital markets. I have dabbled in this with the work on asset price anomalies (failure of EH and UIP), but my current work on the economics of shadow banking confronts this extension directly.
Second, extension to foreign exchange. I have dabbled in this also in my attempt to bring the state into the money view (since the relative price between parallel currencies is a kind of exchange rate). My current work confronts this extension directly.
Third, extension to real side. I have dabbled in this with my work on the commodity reserve theory of money but have not confronted it directly. My sometime co-author Dan Neilson has been urging the possibility of a theory of "real liquidity", perhaps starting with commodity markets. I think that may be the way to go in order to extend from a theory of the fluff, and to develop a proper theory of price level.
References
Bezemer, Dirk. "After the Crisis: The Economics of Credit and Debt". Unpublished mimeo, October 2012.
Mehrling, Perry. "Insights from Walter Bagehot". Chapter 2 in The Economic Crisis in Retrospect: Explanations by Great Economists, edited by G. Page West III and Robert M. Whaples (Edward Elgar, forthcoming).
Mehrling, Perry. "Financial Globalization and the Future of the Fed." Chapter 13 in Keynesian Reflections (Oxford UP), edited by Perry Mehrling, Cristina Marcuzzo, Toshiaki Hirai. Forthcoming.
Mehrling, Perry. "The Inherent Hierarchy of Money." Chapter 21 in Duncan Foley festschrift volume, edited by Armon Rezai, Lance Taylor, and Tom Michl. Forthcoming.
Mehrling, Perry. "A New Measure of Liquidity Premium." (with Daniel Neilson). Forthcoming in Jane D'Arista festschrift volume.
Mehrling, Perry. "Hedging Imbalances and Uncovered Interest Parity: The Evidence Implied by the Currency Options Market" (with David Grad). Unpublished mimeo, 26 pp. (March 2011).
Mehrling, Perry. "Three Principles for Market-Based Credit Regulation." American Economic Review Papers and Proceedings, 102 No. 3 (May 2012): 107-112.
Mehrling, Perry. The New Lombard Street, How the Fed Became the Dealer of Last Resort. Princeton, NJ: Princeton Press, 2011.
Mehrling, Perry. "The Monetary Economics of Benjamin Graham: a bridge between goods and money?" Journal of the History of Economic Thought 33 No. 3 (2011): 285-305.
Mehrling, Perry. "Monetary Policy Implementation: A Microstructure Approach." Pages 212-232 in David Laidler's contributions to Macroeconomics, edited by Robert Leeson. Palgrave Macmillan, 2010
Mehrling, Perry. "A Tale of Two Cities." History of Political Economy 42 No. 2 (2010): 201-219.
Mehrling, Perry. Fischer Black and The Revolutionary Idea of Finance. Hoboken, NJ: John Wiley and Sons, 2005. Japanese tr. 2006. Chinese tr. 2007.
Mehrling, Perry. Money and Growth: Selected Essays of Allyn Young (with Roger Sandilands). London: Routledge, 1999.
Mehrling, Perry. "The Vision of Hyman P. Minsky." Journal of Economic Behavior and Organization 39 No. 2 (June 1999): 129-158.
Mehrling, Perry. The Money Interest and the Public Interest: American Monetary Thought, 1920-1970. Harvard Economic Studies #162. Cambridge: Harvard University Press, 1997.
The Economics of Money and Banking
Introduction to the principles of money and banking, the intermediary institutions of the American economy and their historical development, the principle financial instruments of the money market, current issues in monetary and financial reform.
Students who complete this course will learn how to:
1) Read, understand, and evaluate professional discourse about the current operation of money markets at the level of the Financial Times
2) Follow an argument/analysis that uses balance sheet reasoning
3) Construct an argument/analysis that uses balance sheet reasoning
4) Use diverse primary historical texts to understand current events
5) Understand the institutional structure of the dollar money markets, their connection to capital markets, and the mechanisms of central bank control
Readings: The main texts are:
Marcia Stigum and Anthony Crescenzi, Stigum's Money Market, 4th edition (McGraw Hill 2007), and either
or
Roman Frydman and Michael D. Goldberg, Beyond Mechanical Markets, Asset Price Swings, Risk, and the Role of the State (Princeton 2011).
Multiple copies will be available in the library, but you may also purchase at Columbia Bookstore or online.
In addition to the texts there will be weekly supplemental readings available on Courseworks. Regular reading of the financial press (for example, The Financial Times) is recommended as an invaluable aid for developing familiarity with the structure and function of modern banking institutions.
Problem Sets: There will five problem sets, graded check (minus/plus), to help you get on top of the more technical aspects of the course. These may be done and submitted in groups of no more than 4.
Prerequisites: Intermediate Macroeconomics (BC3033 or W3213) and Intermediate Microeconomics (BC3035 or W3211).
Neil Barofsky, Bailout, An Inside Account of How Washington Abandoned Main Street While Rescuing Wall Street (Free Press 2012)
Grading: Work will be assessed by means of two exams with the following weights
The reading period assignment is Barofsky or Frydman and Goldberg (your choice), which will be assessed by means of an essay question written as part of the final exam.
TA: The teaching assistants for this course will be holding weekly discussion sessions focused on the supplemental readings. They will also be available in office hours for help with the lecture material.
Online: Selected lectures will be videotaped as part of a joint venture of Barnard College and the Institute for New Economic Thinking to offer the course online in the future. Every effort will be made to ensure that this filming is unobtrusive as possible. Students who are willing to appear on tape will be asked to sign releases, but participation is entirely voluntary. For those interested, the online dimension of the course will be facilitated by a dedicated teaching assistant,
Bilge Erten [email protected]
Lecture Schedule
FINAL EXAM (December 17, 7:10-10)
Supplemental Readings:
Bagehot = Bagehot, Walter (1873) Lombard Street, A Description of the Money Market.
Dunbar = Dunbar, Charles F. "The Check System", Ch. 4 in Chapters on the Theory and History of Banking (1891).
FOMC = "Report of the Ad Hoc Subcommittee on the Government Securities Market" (1952). Reprinted in U.S. House Committee on Banking and Currency, The Federal Reserve after Fifty Years, vol. 3. 88 th Congress, 2 nd session. (US GPO, 1964).
Gurley/Shaw = Gurley, John G. and Edward S. Shaw (1960) Money in a Theory of Finance
Hicks = Hicks, John. "The Nature of Money," "The Market Makes its Money," and "Banks and Bank Money." Chapters 5-7 in A Market Theory of Money (Oxford 1989): 41-63.
McCauley = McCauley, Robert. "Renminbi internationalization and China's financial development." BIS Quarterly Review (December 2011).
Mehrling = "The Art of the Swap" and "What Do Dealers Do?" Chapters 4-5 in The New Lombard Street, How the Fed became the Dealer of Last Resort (Princeton 2011): 71112.
Minsky = Mehrling, Perry. "The Vision of Hyman Minsky." Journal of Economic Behavior and Organization 39 No. 2 (June 1999): 129-158.
Mundell = Mundell, Robert. "A Reconsideration of the Twentieth Century." American Economic Review (June 2000): 327-340.
Time = Mehrling, Perry. "The Problem of Time in the DSGE Model, and the Post Walrasian Alternative." Pages 70-79 in Post Walrasian Macroeconomics: Beyond the Dynamic Stochastic General Equilibrium Model, edited by David Colander. Cambridge University Press, 2006.
Treynor = Treynor, Jack L. "Economics of the Dealer Function." Financial Analysts Journal 43 No. 6 (November/December 1987): 27-34.
Young = Chaps. 31-34 in "Commerce: The Marketplace of the World", 1924. Reprinted as pp. 265-321 in Mehrling and Sandilands, ed. Money and Growth, Routledge 1999.
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July 13, 2018
SENT VIA FIRST CLASS MAIL AND
VIA ELECTRONIC MAIL
[email protected]
Mr. Jeremy Wolf, Manager
Programs & Projects, Env. Remediation
Electric Capital Delivery
Rochester Gas and Electric Corp.
1300 Scottsville Road
Rochester, New York 14624
RE: Multi-Site Consent Order
Rochester Gas and Electric Corporation
Index No.: CO 8-20180517-48
Dear Mr. Wolf:
Enclosed to complete your files is a fully executed Multi-Site Order on Consent referencing the following sites: RGE West Station - V00593; RGE East Station - V00358; RGE Pavilion (T) – Ellicott Street Road – V00592.
If you have any further questions or concerns relating to this matter, please contact Dolores Tuohy at 518-402-9185.
Sincerely,
Maria Mastroianni
Remediation Bureau
Office of General Counsel
Enclosure
ec: M. Ryan, NYSDEC
G. Heitzman, NYSDEC
M. Cruden, NYSDEC
In the Matter of the Development and Implementation of a Former Manufactured Gas Plant (MGP) Sites Investigation and Remediation Program
MULTI-SITE ORDER ON CONSENT
index # CO 8-20180517-48
by Rochester Gas and Electric Corporation,
Respondent
Multiple Sites
WHEREAS:
1. The New York State Department of Environmental Conservation ("Department") is responsible for enforcement of the Environmental Conservation Law, which, inter alia, requires the Department to carry out the environmental policy of the State set forth by Article 3, Title 3 of the Environmental Conservation Law ("ECL") 3-0301 and Article 27, Title 13 of the ECL. The Department may issue and otherwise enter into orders consistent with the authority granted to the Commissioner by the ECL and Title 6 of the Official Compilation of Codes, Rules and Regulations of the State of New York ("6 NYCRR"), including this multi-site order on consent.
2. Rochester Gas and Electric Corporation ("Respondent") is a public utility established in accordance with the laws of the State of New York, with offices at 89 East Avenue, Rochester, New York 14649.
3. Respondent is aware of former manufactured gas plant ("MGP") sites, and other sites, at which wastes related to an MGP, including coal tar and its constituents ("MGP Wastes") were or may have been released at various times in the past by Respondent or its predecessors or affiliates (individually, a "Site;" and collectively, "Sites"), the locations of which are listed in Table "A" of Paragraph I of this RG&E Multi-Site Order (as defined below) and illustrated on the maps attached as Exhibit "A". The term "Site" shall be construed to mean: (i) each individual property, or (ii) collectively, all of the adjoining properties, once related to the MGP, when the context of this RG&E Multi-Site Order requires such construction to give full meaning to this Order. For purposes of the Department's issuance of a Release and Covenant Not to Sue, using the form set forth in Exhibit "C" of this RG&E Multi-Site Order ("Release and Covenant Not to Sue"), the term "Site" shall be construed to mean each such individual property or set of adjoining properties once related to the MGP for which the Department is satisfied that the remediation requirements have been or will be achieved in accordance with the timeframes set forth in the Department-approved remedial work plan.
4. The Department asserts that it has authority under, without limitation, ECL §§ 1-0101, 3-0301, 27-1313, 71-1929, 71-2703, and 71-2705 to require abatement and remediation of releases of any substance included on the list of hazardous substances promulgated pursuant to ECL § 37-0103 that is a component, degradation product or constituent of the MGP Wastes at a Site that resulted from the operations of Respondent or its predecessor or affiliate entities in the past at such Site that are in violation of law or that exceed State environmental quality standards (such as those set forth in 6 NYCRR Part 703).
5. a. Respondent was subject to a multi-site voluntary cleanup agreement that was executed on April 10, 2003 and subsequently amended and restated on December 23, 2014, Index No. B8-0535-98-07, pertaining to the Sites listed in Table "A" of Paragraph I (together with appendices and any other modifications and prior agreements or orders related to the listed Sites, the “Original Multi-Site VCA”).
b. Due to circumstances unrelated to Respondent’s performance under the Original Multi-Site VCA, the Department’s Voluntary Cleanup Program is terminating, necessitating the completion of investigation and remediation pursuant to another legally controlling commitment document that replaces the Original Multi-Site VCA.
c. The Respondent at the request of the Department is proposing to further modify, amend and restate the Original Multi-Site VCA as this multi-site order on consent (together with appendices, the “RG&E Multi-Site Order”).
d. For purposes of this RG&E Multi-Site Order, “MGP-Site Contamination” is defined as:
(i) any contaminant (as that term is defined in 6 NYCRR 375-1.2(g)) that is a component or constituent of the by-products, residuals or wastes (collectively “Wastes”) associated with the MGP and/or gas holder station operated by Respondent and/or its corporate predecessors at the Site, or which otherwise resulted from the operations of Respondent and/or its corporate predecessors at the Site (“Category 1 Substances”); or
(ii) any contaminant (as that term is defined in 6 NYCRR 375-1.2(g)) that is an extraneous contaminant, i.e., not a component or constituent of the Wastes associated with the MGP and/or gas holder station operated by Respondent and/or its corporate predecessors at the Site, or which otherwise resulted from the operations of Respondent and/or its corporate predecessors at the Site, that is commingled or intermingled with a Category 1 Substance; provided that the concentrations of the Category 1 Substance would independently require the implementation of remedial action even if the waste did not contain the extraneous contaminant (“Category 2 Substances”).
6. The Department and Respondent agree that the goal of this RG&E Multi-Site Order is to ensure the completion of investigation and remediation, commencing with the stage of a remedial program applicable to each Site on the effective date of this RG&E Multi-Site Order, of MGP-Site Contamination, as defined below, at the Sites identified Paragraph 1, Table A, of this RG&E Multi-Site Order. With respect to each Site to be addressed pursuant to this RG&E Multi-Site Order, the following elements of a remedial program shall be applicable, as determined by the stage of the remedial program previously completed or currently underway at each Site:
(i) prepare and append to the applicable work plan a site-specific Citizens Participation (“CP”) Plan to facilitate the remedial process and enable citizens to participate more fully in decisions that affect their health in accordance with 6 NYCRR §375-1.10;
(ii) develop and implement a Remedial Investigation ("RI") which provides for an investigation of the nature and extent of contamination at the Site and prepare a Feasibility Study ("FS") to develop options
for remedial action to attain conditions protective of the Site’s current, intended and reasonably anticipated use and which identifies and evaluates one or more of those remedial alternatives for effectiveness under the criteria for remedy selection in 6 NYCRR 375-1.8(f);
(iii) develop and implement a Remedial Design (“RD”) work plan which provides the final plans and specifications for implementing the remedial alternative selected in the Department’s Record of Decision (“ROD”) on a schedule and to an extent acceptable to the Department, or if a formal remedial design is not required prior to implementation of the remedy, a Remedial Action (“RA”) work plan, to remediate each Site that the Department determines is in need of remediation, including authorizing Respondent to develop and implement one or more interim remedial measures which is a discrete set of activities which can be undertaken without extensive investigation and evaluation to prevent, mitigate, or remedy environmental damage or the consequences of environmental damage attributable to a Site ("IRMs") that Respondent suggests or the Department determines to be appropriate;
(iv) prepare a Final Engineering Report (“FER”) that documents the implementation of the completed remedial program and the creation of required institutional and engineering controls;
(v) develop and implement a Site Management Plan (“SMP”) that provides for the monitoring and/or operation and maintenance of the remedy that the FER describes, including post-remedial construction restrictions or controls, including, without limitation, an Institutional and Engineering Control Plan, and, where necessary, an Operation and Maintenance Plan (“O&M Plan”) for any mechanical or physical components of the remedial program, a Monitoring Plan for monitoring and reporting the performance and/or effectiveness of the remedy, and an Excavation Plan where the remedial program for the Site or area of the Site does not achieve a soil cleanup which allows for a residential use; and
(vi) pay for the State's reasonable administrative and oversight costs associated with implementation of this RG&E Multi-Site Order.
7. Solely with regard to the matters set forth below, Respondent, without admitting or denying the Department's authority to require investigation and remediation of any MGP-Site Contamination at the Sites listed in Table "A" of Paragraph I of this RG&E Multi-Site Order and having waived its right to a hearing herein as provided by law, and having consented to the issuance and entry of this RG&E Multi-Site Order, agrees to be bound by its terms. Respondent consents to and agrees not to contest the authority or jurisdiction of the Department to issue or enforce this RG&E Multi-Site Order; and agrees not to contest the validity of this RG&E Multi-Site Order or its terms. However, should the Department request that this RG&E Multi-Site Order be modified, Respondent reserves all of its rights provided by law and the ECL.
NOW, having considered this matter and being duly advised, IT IS ORDERED THAT:
I. Identification of Sites and Initial Submittals
A. The Sites set forth in Table “A” shall be addressed by this RG&E Multi-Site Order. The initial submittal pursuant to the RG&E Multi-Site Order is indicated for each Site.
TABLE "A" to PARAGRAPH I.
1. RGE West Station (City of Rochester): former site no. V00593, current site no. 828205
Initial Submittal: [Pre-Design Investigation Report]
2. RGE - East Station, (City of Rochester): former site no. V00358, current site no. 828204
Initial Submittal: [Remedial Investigation Report]
3. RGE – Pavilion (T) – Ellicott Street Road: former site no. V00592; current site no. 819024
Initial Submittal: [Remedial Design Work Plan]
No records search report is required pursuant to the terms of this RG&E Multi-Site Order.
B. Work Plans
(1) All work plans submitted pursuant to the RG&E Multi-Site Order shall be prepared in accordance with 6 NYCRR §375-1.6 and consistent with Department's generally applicable technical guidance. All work plans submitted to the Department shall be submitted with the time frames set forth in a conceptual target schedule in Exhibit “B” ("Schedule"), and each such Department-approved work plan shall be incorporated into and become an enforceable part of this RG&E Multi-Site Order. In accordance with the schedule contained in a work plan, Respondent shall submit a final report with a cover page containing the caption of that work plan.
(2) The work plans, studies, analyses, reports and other plans (generically, “Work Plan” or “Work Plans”) under this RG&E Multi-Site Order shall be consistent with the Department’s generally applicable technical guidance, in reference to the specific Site to which the Work Plan applies. Generally, the final report pertaining to a Work Plan’s implementation shall include, but not be limited to: all data generated relative to the Site, and all other information obtained, as part of the implementation of the subject Work Plan; all of the assessments and evaluations required by the subject Work Plan; a statement of any additional data that must be collected; and “as-built” drawings, to the extent necessary, showing all changes made during implementation.
C. Updating of the Schedule
For 2018, Work Plans shall be submitted in accordance with the time frames set forth in the Schedule. Thereafter, the Respondent can submit such other and additional Work Plans as the Department deems appropriate. By November 15th of each year, Respondent shall submit for the review and approval of the Department an updated Schedule, and provided that Respondent has submitted for approval an updated Schedule by November 15th of each succeeding year, Respondent may also submit for the review and approval of the Department one or more other updates to the Schedule as circumstances may warrant. If the Department disapproves the proposed update to the Schedule, the Department’s notice shall include an explanation of the basis for the disapproval. Within thirty (30) Days after receiving such written notice of disapproval, Respondent shall elect in writing to: (i) update the Schedule in accordance with the Department’s comments, or (ii) invoke the dispute resolution procedure set forth in Subparagraph XVIII.A of this RG&E Multi-Site Order; and only if Respondent in its sole discretion is dissatisfied with the results of dispute resolution pursuant to Subparagraph XVIII.A of this Order, may Respondent elect in writing to terminate this RG&E Multi-Site Order in accordance with Subparagraph XVII.A with respect to such Site for which a schedule could not be agreed. The updated Schedule, once approved by the Department, shall
be substituted for the schedule in Exhibit “B” and become the applicable schedule under this RG&E Multi-Site Order.
II. Remedial Investigation (“RI”)
For Sites at the RI stage of a remedial program, in addition to any IRMs the Department may approve or may have approved for the Site under Paragraph III of this RG&E Multi-Site Order, Respondent shall submit for the Department’s review and approval a work plan for that Site under Paragraph IV of this RG&E Multi-Site Order that shall incorporate all appropriate elements of an RI/FS as set forth in the Department’s Technical Guidance for Site Investigation and Remediation (DER-10) and be not inconsistent with the Comprehensive Environmental Response, Compensation, and Liability Act of 1980 ("CERCLA") [42 USC 9601 et seq.], as amended; the National Contingency Plan ("NCP") of March 8, 1990 [40 CFR Part 300]; the USEPA guidance document entitled "Guidance for Conducting Remedial Investigations and Feasibility Studies under CERCLA," dated October 1988 and any subsequent revisions to that guidance document in effect at the time the remedial investigation/feasibility study work plan is submitted, and 6 NYCRR §375-1.6; and be consistent with all other appropriate USEPA and Department technical and administrative guidance documents (the "RI/FS Work Plan" for that particular Site).
III. IRMs
A. (1) Respondent may propose one or more IRMs for any Site, and Respondent may propose a treatability study as an IRM.
(2) In proposing each IRM, Respondent shall submit to the Department a work plan that includes a chronological description of the anticipated IRM activities together with a schedule for performance of those activities (an "IRM Work Plan" for that Site).
(3) Upon the Department's determination that the proposal is an appropriate IRM and upon the Department's approval of such work plan, the IRM Work Plan shall be incorporated into and become an enforceable part of this RG&E Multi-Site Order; and Respondent shall submit to the Department for its review and (as appropriate) approval, in accordance with the schedule contained in the Department-approved IRM Work Plan, detailed documents and specifications prepared, signed, and sealed by a professional engineer to implement the Department-approved IRM. Such documents shall include a health and safety plan, contingency plan, and (if the Department requires such) a CP Plan. Respondent shall then carry out such IRM in accordance with the requirements of the approved IRM Work Plan, detailed documents and specifications, and this RG&E Multi-Site Order. Respondent shall notify the Department of any significant difficulties that may be encountered in implementing the Department-approved IRM Work Plan, detailed documents, or specifications and shall not modify any obligation unless first approved by the Department.
(4) During implementation of all construction activities identified in the Department-approved IRM Work Plan, Respondent shall have on-Site a full-time representative who is qualified to supervise the work done.
(5) Within the schedule contained in the Department-approved IRM Work Plan, Respondent shall submit to the Department a final report, designated a Construction Completion Report ("CCR"), that includes a certification that all activities that comprised the IRM were performed in full accordance with the Department-approved IRM Work Plan, the detailed documents and specifications, and this RG&E Multi-Site Order.
(i) The CCR shall include "as-built" drawings and a certification by a professional engineer with primary responsibility for the day-to-day performance of the activities that the IRM was implemented and all construction activities were completed in accordance with the Department-approved IRM Work Plan, including the detailed documents and specifications for the IRM. The CCR shall be prepared under the supervision of, and, signed and sealed by, a professional engineer.
(ii) If the Department-approved IRM Work Plan encompasses activities that require operation, monitoring, or maintenance, the CCR shall also include a detailed, interim SMP ("Interim SMP"), which may be certified by a qualified environmental professional.
(iii) Upon the Department's approval of the CCR and, if any, the Interim SMP, Respondent shall implement the O & M Plan, Monitoring Plan and Excavation Plan, if any, in accordance with the requirements of the Department-approved Interim SMP.
(6) After receipt of the CCR, Interim SMP, if any, and certification(s), the Department shall notify Respondent in writing whether the Department is satisfied that the IRM was completed in compliance with the Department-approved IRM Work Plan and design.
(7) The Department shall determine, upon its approval of each CCR resulting from the implementation of an IRM Work Plan, whether additional remediation is needed to allow the Site to be used for its current, intended and reasonably anticipated use.
B. In implementing any IRM approved by the Department under this RG&E Multi-Site Order, Respondent shall be exempt from the requirement to obtain any permit issuable by the Department for an activity that is conducted on the Site and the Department determines that the activity is conducted in a manner which satisfies all substantive technical requirements applicable if the activity were conducted pursuant to a permit issued by the Department. For purposes of this RG&E Multi-Site Order, an activity is "on the Site" if it is conducted on the same premises as the Site, or if it is conducted on different premises that are under common control or are contiguous to or physically connected with the Site and the activity manages exclusively MGP-Site Contamination for which Respondent is liable (except in situations of off-Site MGP-Site Contamination deposits derived from, or otherwise related to materials deposited on-Site, in which case such deposits shall be deemed "on-Site" and subject to this RG&E Multi-Site Order to the extent Respondent is able to obtain access for purposes of investigation and/or removal).
IV. Performance and Reporting of RI
This Paragraph applies only to those Sites identified in Table "A" of Paragraph I of this RG&E Multi-Site Order concerning which the Department determines under this RG&E Multi-Site Order that an RI/FS must be prepared.
(1) In accordance with the schedule contained in a particular Site's Department-approved RI/FS Work Plan, Respondent shall commence that Site's RI.
(2) Respondent shall perform the RI in accordance with that Site's Department-approved RI/FS Work Plan.
(3) During the performance of that Site's RI, Respondent shall have at such Site a full-time representative who is qualified to supervise the work done. Respondent's designated representative may be a qualified employee of a consultant or contractor.
(4) In accordance with the schedule contained in a particular Site's Department-approved RI/FS Work Plan, Respondent shall prepare a RI Report pertaining to that Site that shall:
(i) include all data generated and all other information obtained as part of the implementation of the RI/FS Work Plan for that Site;
(ii) identify any additional data that must be collected; and
(iii) provide all appropriate assessments and evaluations set forth in CERCLA, the NCP, and the guidance documents identified in Paragraph II of this RG&E Multi-Site Order, and the RI/FS Work Plan for that Site; and
(iv) include a certification by the individual or firm with primary responsibility for the day-to-day performance of the RI at that Site that all activities that comprised the RI were performed in full accordance with the Department-approved RI/FS Work Plan for that Site.
(5) The Department-approved RI Report shall be submitted to the Department in an electronic format acceptable to the Department within forty-five (45) Days of approval of such RI Report, which format is to be identified by the Department at the time of the Department’s approval of the final report.
V. Feasibility Study (“FS”)
This Paragraph applies only to those Sites identified in Table "A" of Paragraph I of this Order concerning which the Department determines under this RG&E Multi-Site Order that an RI/FS must be prepared.
A. Within one hundred fifty (150) Days after receipt of the Department's approval of the RI Report pertaining to a particular Site, unless specified otherwise in the Schedule, Respondent shall submit a FS evaluating on-Site and off-Site remedial actions to address MGP Site Contamination at that Site, and must result in the conditions at such Site being protective of public health and the environment for the Site’s current, intended and reasonably anticipated use. Such evaluation also shall take into account any and all Department-approved IRMs that were implemented at the Site. The FS shall be prepared by and have the signature and seal of an individual licensed and registered to practice professional engineering in the State of New York who shall certify that the FS was prepared in accordance with this Order.
B. Unless the Department otherwise specifies for a particular Site, Respondent shall perform and prepare the FS in accordance with the Department-approved RI/FS Work Plan in a manner consistent with appropriate sections of CERCLA, the NCP, and the guidance documents identified in Paragraph II of this Order. If the Department specifies otherwise for a particular Site, Respondent shall perform and prepare the FS in accordance with the Department's specifications. The FS shall include, among other requirements, an evaluation of the proposed remedy considering the factors set forth in 6 NYCRR 375-1.8(f).
C. (1) Within thirty (30) Days after the Department's approval of the FS, Respondent shall cooperate and assist the Department in soliciting public comment on the RI/FS and the accompanying Proposed Remedial Action Plan ("PRAP") developed by the Department, in accordance with appropriate provisions of CERCLA, the NCP, the guidance documents identified in Paragraph II of this RG&E Multi-Site Order, and with any Department policy and guidance documents in effect at the time the public comment period is initiated.
(2) The Department shall afford Respondent an opportunity to review and comment upon its draft PRAP for a Site before the release of the PRAP to the public using the following procedure: the Department shall prepare a draft PRAP and shall mail or email a copy of same to Respondent at least fifteen (15) Working Days before the scheduled date of the publication of the notice of availability of the PRAP; Respondent shall have ten (10) Working Days to meet with the Department to discuss the draft PRAP; and in the event that Respondent disagrees with the draft PRAP, within that ten day period, Respondent may request in writing revisions to address errors and omissions, or an informal resolution of its disagreement using the procedures set forth below in Subparagraphs V.C.2.i-iv of this RG&E Multi-Site Order. Any informal resolution of the disagreement through the use of those procedures shall concern only the contents of the PRAP to be released to the public and shall not preclude the Department from selecting a final remedial alternative for the Site that may be inconsistent with the contents of the PRAP that shall have been released to the public; provided, however, that, at least fifteen (15) Working Days before the Department prepares a Record of Decision ("ROD") for a Site, the Department shall notify Respondent in writing of any concerns raised in the public comment period or by the Department with respect to the PRAP released to the public that the Department determines will likely result in a change to the Department-proposed remedy for the Site or operable unit(s) set forth in the PRAP, and Respondent shall have ten (10) Working Days to meet with the Department to discuss it, and within that ten day period, in the event that Respondent disagrees with the determination regarding a likely change to the Department-proposed remedy for the Site or operable unit(s) set forth in the PRAP, Respondent may request in writing informal resolution of its disagreement using the procedures set forth below in Subparagraphs V.C.2.i-iv of this Order.
(i) Respondent shall submit any disagreement under Subparagraph V.C.2 of this RG&E Multi-Site Order in writing to the Director, Remedial Bureau C, with a copy to the DER Project Manager (Site Specific);
(ii) The Director, Remedial Bureau C, shall render a written determination regarding such matter and furnish a copy to Respondent which shall be the agency determination regarding such matter unless Respondent files a written appeal of that determination to the Assistant Director of the Division of Environmental Remediation within 20 days of receipt of that determination;
(iii) Upon receipt of the written appeal, the Assistant Director of the Division of Environmental Remediation will review the disagreement and the determination of the Director, Remedial Bureau C, regarding such matter, and shall take one of the following actions, with written notice to Respondent:
(a) Remand the matter to the DER Project Manager (Site Specific) for further discussion or information if it is determined that the matter is not ripe for review,
(b) Determine that there is no need for further action and that the determination of the Director, Remedial Bureau C, regarding such matter is confirmed, or
(c) Make a determination regarding the disagreement;
Neither the determination of the Director, Remedial Bureau C, under Subparagraph V.C.2.ii of this Order, nor the determination of the Assistant Director of the Division of Environmental Remediation under Subparagraph V.C.2.iii of this Order, regarding the disagreement shall be deemed a final agency decision subject to review pursuant to CPLR article 78.
(3) After the close of the public comment period, the Department shall select a final remedial alternative for the Site in a ROD.
(4) The ROD shall be incorporated into and become an enforceable part of this Order.
(5) If the ROD selects the "no action" or "no further action" alternative, i.e., the Department determines that remediation, or additional remediation, is not needed to allow the Site for which the FS was submitted by Respondent to be used for its current, intended and reasonably anticipated use, Respondent shall prepare and submit an FER for such Site. If such determination is based upon use restrictions, Respondent shall record an Environmental Easement setting forth the use restrictions for such Site in accordance with Subparagraph XVIII.O and Respondent shall, within sixty (60) Days, prepare a SMP for the Site, subject to the Department's approval, with a copy of the recorded Environmental Easement appended.
VI. Remedial Design ("RD")
This Paragraph applies only to those Sites concerning which the Department determines under this RG&E Multi-Site Order and in the ROD that a remedial alternative must be implemented to allow such Site to be used for its current, intended and reasonably anticipated use such that a RD Work Plan ought to be prepared.
A. Unless the ROD selects the "no action" or "no further action" alternative or Respondent elects not to submit a RD Work Plan or RA Work Plan pursuant to Subparagraph D of this Paragraph VI, and unless specified otherwise in the Schedule, within one hundred eighty (180) Days after the ROD is signed, Respondent shall submit to the Department a RD Work Plan to implement the remedial alternative for the Site selected by the Department in the ROD. The RD Work Plan shall be prepared by and have the signature and seal of a professional engineer who shall certify that the RD was prepared in accordance with this Order.
B. The RD Work Plan shall include the following:
(1) A detailed description of the remedial objectives and the means by which each essential element of the selected remedial alternative will be implemented to achieve those objectives, including, but not limited to:
(i) the identification of any data needed to complete the design and the work plan to gather this information;
(ii) the identification of the remedial technology(ies) for which the design is to be provided;
(iii) the identification of all permits or authorizations required;
(iv) the construction and operation of any structures;
(v) the collection, destruction, treatment, and/or disposal of any soil or other materials containing MGP-Site Contamination above the applicable standards, criteria and guidance ("SCGs") and/or site-specific cleanup levels selected in the ROD;
(vi) the collection, destruction, treatment, and/or disposal of any groundwater, leachate, soil vapor, and sub-slab vapor containing MGP-Site Contamination above the applicable SCGs and/or site-specific cleanup levels selected in the ROD;
(vii) physical security and posting of the Site;
(viii) health and safety of persons living and/or working at or in the vicinity of the Site;
(ix) quality control and quality assurance procedures and protocols to be applied during implementation of the RD Work Plan; and
(x) monitoring which integrates needs which are present on-Site and off-Site during implementation of the Department-selected remedial alternative.
(2) "Biddable quality" documents for the RD Work Plan including, but not limited to, documents and specifications prepared, signed, and sealed by a professional engineer. These plans shall satisfy all applicable local, state and federal laws, rules and regulations;
(3) A time schedule to implement the RD Work Plan;
(4) A description of the requirements for the FER, including without limitation, the parameters, conditions, procedures, and protocols to determine the effectiveness of the RD, including, if the RD encompasses groundwater monitoring, a schedule for periodic sampling of groundwater monitoring wells on-Site and off-Site;
(5) A description of the requirements of the SMP, including without limitation, operation, maintenance, and monitoring activities to be undertaken after the Department has approved the RD, including the number of years during which such activities will be performed;
(6) A contingency plan to be implemented if any element of the RD fails to achieve any of its objectives or otherwise fails to protect human health or the environment for the current, intended and reasonably anticipated use of the Site;
(7) A health and safety plan, including where appropriate a community air monitoring plan, for the protection of persons at and in the vicinity of the Site during construction and after completion of construction of the RD, which plan shall be prepared in accordance with 29 CFR 1910 by a certified health and safety professional; and
(8) A copy of any Department-approved, site-specific CP Plan for the Site.
C. Where no design is needed to implement the remedial technologies selected in the ROD, a Remedial Action ("RA") Work Plan in a format that otherwise conforms to Subparagraph VI.B of this RG&E Multi-Site Order may be submitted in lieu of an RD Work Plan; provided, however, that, although the RA Work Plan may have less detail than anticipated by a formal design, the description of the remedial action and the remedial technology to be conducted for each area of concern must be of sufficient detail for a contractor to delineate any areas targeted for removal, construct necessary
engineering controls, or design and install the necessary treatment systems. The final RA Work Plan shall have the signature and seal of a professional engineer who shall certify that the RA Work Plan was prepared in accordance with this RG&E Multi-Site Order.
D. If the Department determines in the ROD that a remedial alternative, or additional remediation, is needed to allow such a Site to be used for its current, intended and reasonably anticipated use, but Respondent elects not to submit a RD Work Plan or RA Work Plan under this Paragraph VI, then the Department may elect to terminate, for cause, the applicability of this RG&E Multi-Site Order to such Site pursuant to Subparagraph XVII.A and pursue whatever remedies may be available under this RG&E Multi-Site Order or under law with respect to that property.
VII. Remedial Construction
This Paragraph applies only to those Sites concerning which the Department determines in the ROD that a remedial alternative, or additional remediation, is needed to allow such a Site to be used for its current, intended and reasonably anticipated use and Respondent has submitted and the Department has approved an RD Work Plan, or RA Work Plan, under this RG&E Multi-Site Order.
A. Within such time as identified in the Department-approved RD Work Plan, or RA Work Plan, (such time being determined in consultation with Respondent), Respondent shall commence construction of the remedy. The Department will extend this period if reasonably necessary to accommodate weather-related limitations or other restrictions upon the construction season.
B. Respondent shall implement the remedy in accordance with the Department-approved RD Work Plan, or RA Work Plan. In implementing an RD Work Plan or RA Work Plan approved by the Department under this RG&E Multi-Site Order, Respondent shall be exempt from the requirement to obtain any permit issuable by the Department for an activity that is conducted on the Site and the Department determines that the activity is conducted in a manner which satisfies all substantive technical requirements applicable if the activity were conducted pursuant to a permit issued by the Department. For purposes of this RG&E Multi-Site Order, an activity is “on the Site” if it is conducted on the same premises as the Site, or if it is conducted on different premises that are under common control or are contiguous to or physically connected with the Site and the activity manages exclusively MGP-Site Contamination for which Respondent is liable (except in situations where the RI discloses the existence of off-Site MGP-Site Contamination derived from, or otherwise related to materials deposited on-Site, in which case such deposits shall be deemed "on-Site" and subject to this RG&E Multi-Site Order to the extent Respondent is able to obtain access for purposes of investigation and/or removal).
C. During implementation of all construction activities identified in the RD Work Plan, or RA Work Plan, Respondent shall have on-Site a full-time representative who is qualified to supervise the work done. Respondent's designated representative may be a qualified employee of a consultant or contractor.
D. Within ninety (90) Days after completion of the construction activities identified in the RD Work Plan, or RA Work Plan, or within the time frames set forth in the Schedule, Respondent shall submit to the Department a detailed FER. The FER shall contain a description of the remedial actions completed; “as-built” drawings, showing to the extent necessary all changes made during construction; the recorded Environmental Easement, if applicable; and the results of all analyses.
(1) If the FER states that the remedy requires post-remedial construction restrictions or controls, or any operation, monitoring or maintenance, then an SMP that provides for the monitoring and/or operation and maintenance of the remedy must be prepared and certified by a qualified environmental professional.
(2) The FER must include a description of the remedial actions completed, “as-built” drawings, and a certification by the professional engineer with the primary responsibility for the day-to-day performance of the activities under this RG&E Multi-Site Order, that the RD Work Plan, or RA Work Plan, was implemented and all construction activities were completed in accordance with the Department-approved RD Work Plan, or RA Work Plan, and the FER, SMP, “as built” drawings and certification shall be prepared under the supervision of, and signed and sealed by, such professional engineer.
(3) If the performance of the Department-approved RD Work Plan, or RA Work Plan, did not encompass construction activities or the only construction activity encompassed was a remedial excavation, the FER must include a description of the remedial actions completed, a detailed SMP which may be certified by a qualified environmental professional, “as-built” drawings, and a certification by the professional engineer with the primary responsibility for the day-to-day performance of the activities under this RG&E Multi-Site Order, that the RD Work Plan, or RA Work Plan, was implemented and all construction activities were completed in accordance with the Department-approved RD Work Plan, or RA Work Plan, and the FER, “as built” drawings and certification shall be prepared under the supervision of, and, signed by such professional engineer or qualified environmental professional.
E. After receipt of the FER and, if any, SMP, and certification, the Department shall notify Respondent in writing whether the Department is satisfied that all construction activities have been completed in compliance with the approved RD Work Plan, or RA Work Plan.
F. If the Department concludes that any element of the RD Work Plan, or RA Work Plan, fails to achieve its objectives or otherwise fails to protect human health or the environment for the current, intended and reasonably anticipated use of the Site, Respondent shall take whatever action the Department determines necessary to achieve those objectives or to ensure that the remedy otherwise protects human health and the environment for the current, intended and reasonably anticipated use of the Site. Within thirty (30) Days after receiving such a request for action, Respondent shall elect in writing to: (i) undertake such action to address the Department's concerns, or (ii) invoke dispute resolution as set forth in Subparagraph XVIII.A; and only if Respondent in its sole discretion is dissatisfied with the results of dispute resolution pursuant to Subparagraph XVIII.A of this Order, may Respondent elect in writing to terminate the applicability of this RG&E Multi-Site Order to the Site to which the submittal applied pursuant to Subparagraph XVII.A.
G. Upon the Department's approval of the FER and, if any, SMP, Respondent shall implement any such SMP in accordance with the requirements of the Department-approved SMP. The Department shall issue the Release and Covenant Not to Sue attached hereto as Exhibit “C,” for the real property constituting the Site, upon the determination by the Department that the FER for the Site is approved.
H. If institutional or engineering controls are relied upon as part of the remedy implemented for any Site under this RG&E Multi-Site Order, Respondent shall submit an initial periodic report (“Periodic Review Report”) in accordance with the schedule in the SMP and thereafter in accordance with such schedule as the Department determines until the Department notifies Respondent in writing that the remedial process is concluded. Such Periodic Review Report shall be certified consistent with the Department’s generally applicable technical guidance. The certification shall state that the institutional and engineering controls put in place pursuant to this RG&E Multi-Site Order are still in place and effective, and have not been changed or otherwise altered from the previous certification without the prior approval of the Department, and identify any upset, interruption or termination of any of such controls that occurred during the past year and explain the steps taken to cure any problem and
maintain conditions at such Site that are protective of public health and the environment for the current, intended and reasonably anticipated use of the Site and, if such upset, interruption, or termination has not been addressed to the Department’s satisfaction, propose a corrective measures work plan, subject to the Department’s approval, which will re-establish conditions.
VIII. Progress Reports and Meetings
Respondent shall report by the 15th of every month, or until such time as directed to submit by another schedule, a progress report of its actions at each Site for which activities were implemented pursuant to a Department-approved work plan under this RG&E Multi-Site Order during the applicable reporting period commencing with the month subsequent to the approval of the first Work Plan for a Site and ending with the date for such Site upon which the COC is issued or the Department approves the final report relative to the SMP for the Site, whichever is later; or this RG&E Multi-Site Order terminates for the Site pursuant to Paragraph XVII. Such progress report shall be consistent with Department technical guidance and submitted by Respondent to the parties identified in Subparagraph XVI.A.1 in one consolidated report, and at a minimum, shall:
A. describe all actions relative to a Site pursuant to the Work Plan which have been taken toward achieving compliance with this RG&E Multi-Site Order during the previous month;
B. identify all Work Plans, reports, data received or generated by Respondent, and other deliverables required by this RG&E Multi-Site Order that were completed and submitted during the previous month;
C. describe all actions, including, but not limited to, data collection and implementation of Work Plans, that are scheduled or anticipated relative to a Site for the next month and provide other information relating to the progress at each Site;
D. include information regarding percentage of completion, unresolved delays encountered or anticipated that may affect the future schedule for implementation of the Respondent's obligations relative to a Site under this RG&E Multi-Site Order, and efforts made to mitigate those delays or anticipated delays, and information regarding any citizen participation activities undertaken during the previous reporting period and those to be undertaken in the next reporting period; and
E. include any modifications to any Work Plans that Respondent has proposed to the Department or that the Department has approved.
Notwithstanding the requirements of this Paragraph VIII, Respondent shall not be obligated, absent a written request by the Department, to provide operational data unrelated to the remedial program.
IX. Review of Submittals
A. (1) The Department shall review each of the submittals Respondent is required to make pursuant to this RG&E Multi-Site Order to determine whether it was prepared, and whether the work done to generate the data and other information in the submittal was done, in accordance with this RG&E Multi-Site Order, applicable State and federal regulations and guidance documents, and generally accepted technical and scientific principles. Respondent shall include all results of sampling and tests and all other data concerning contamination at a Site received or generated by Respondent or Respondent's contractors or agents, including quality assurance/quality control information, whether conducted pursuant to this Order or conducted independently by Respondent, in the submittal to which such sampling, tests, and other data pertain. The Department shall timely notify Respondent in writing of its approval or disapproval of the submittal, except for the health and safety plans identified in
Subparagraph III.A.3 and in Subparagraph VI.B.7 of this RG&E Multi-Site Order. All Department-approved submittals shall be incorporated into and become an enforceable part of this RG&E Multi-Site Order.
(2) (i) If the Department disapproves a submittal, it shall so notify Respondent in writing and shall specify the reasons for its disapproval, and may request Respondent to modify or expand the submittal. Within forty-five (45) Days after receiving written notice that Respondent's submittal has been disapproved, Respondent shall elect in writing to: (x) modify or expand the submittal to address the Department's concerns, or (y) invoke dispute resolution as set forth in Subparagraph XVIII.A; and only if Respondent in its sole discretion is dissatisfied with the results of dispute resolution pursuant to Subparagraph XVIII.A of this Order, may Respondent elect in writing to terminate the applicability of this RG&E Multi-Site Order to the Site to which the submittal applied pursuant to Subparagraph XVII.A. If Respondent elects to modify or expand the submittal to address the Department's concerns, Respondent shall make a revised submittal to the Department that addresses and resolves all of the Department's stated reasons for disapproving the first submittal.
(ii) Within a reasonable time after receipt of the revised submittal so as to not cause Respondent to be unable to comply with subsequent obligations and schedule deadlines as presented in Department-approved Work Plans, the Department shall notify Respondent in writing of its approval or disapproval of the revised submittal. If the Department disapproves the revised submittal, the Department may elect to make a further request to Respondent to modify or expand the already revised submittal, terminate for cause the applicability of this RG&E Multi-Site Order to the Site to which the disapproved revised submittal relates pursuant to Subparagraph XVII.A, or hold Respondent in violation of this RG&E Multi-Site Order with respect to the Site to which the disapproved revised submittal relates in which case the Department may take any action or pursue whatever rights it has with respect to that Site pursuant to any provision of statutory or common law, unless within thirty (30) Days after receiving such written notice Respondent invokes the dispute resolution procedure set forth in Subparagraph XVIII.A of this RG&E Multi-Site Order; and only if Respondent in its sole discretion is dissatisfied with the results of dispute resolution pursuant to Subparagraph XVIII.A of this Order, may Respondent elect in writing to terminate the applicability of this RG&E Multi-Site Order to the Site to which the disapproved revised submittal relates pursuant to Subparagraph XVII.A of this RG&E Multi-Site Order.
(iii) If the Department approves the revised submittal, it shall be incorporated into and become an enforceable part of this RG&E Multi-Site Order.
B. The Department may require Respondent to modify and/or amplify and expand an already approved submittal if the Department determines, as a result of reviewing data generated by an activity required under this RG&E Multi-Site Order or as a result of reviewing any other data or facts, that further work is necessary to maintain conditions at such Site that are protective of public health and the environment for the Site’s current, intended and reasonably anticipated use. If the Department requests such a modification to a submittal, including without limitation a Work Plan, as a result of reviewing data generated by an activity or reviewing any other data or facts, the reasons for such modification shall be provided to Respondent in writing. Within thirty (30) Days after receiving such a request for modification, Respondent shall elect in writing to: (i) modify or expand the submittal to address the Department's concerns, or (ii) invoke dispute resolution as set forth in Subparagraph XVIII.A; and only if Respondent in its sole discretion is dissatisfied with the results of dispute resolution pursuant to Subparagraph XVIII.A of this Order, may Respondent elect in writing to terminate the applicability of this RG&E Multi-Site Order to the Site to which the submittal applied pursuant to Subparagraph XVII.A.
X. **Penalties**
A. Respondent's failure to comply with any term of this RG&E Multi-Site Order constitutes a violation of this RG&E Multi-Site Order and the ECL.
B. (1) Respondent shall not suffer any penalty or be subject to any proceeding or action in the event it cannot comply with any requirement of this RG&E Multi-Site Order as a result of any Force Majeure Event as provided at 6 NYCRR 375-1.5(b)(4). Respondent must use best efforts to anticipate the potential Force Majeure Event, best efforts to address any such event as it is occurring, and best efforts following the Force Majeure Event to minimize delay to the greatest extent possible. "Force Majeure" does not include Respondent's economic inability to comply with any obligation, the failure of Respondent to make complete and timely application for any required approval or permit, and non-attainment of the goals, standards, and requirements of this RG&E Multi-Site Order.
(2) Respondent shall notify the Department in writing within ten (10) Days of the onset of any Force Majeure Event. Failure to give such notice within such ten day period constitutes a waiver of any claim that a delay is not subject to penalties. Respondent shall be deemed to know of any circumstance which it, any entity controlled by it, or its contractors knew or should have known.
(3) Respondent shall have the burden of proving by a preponderance of the evidence that: (i) the delay or anticipated delay has been or will be caused by a Force Majeure Event; (ii) the duration of the delay and the modification or the extension sought is warranted under the circumstances; (iii) best efforts were exercised to avoid and mitigate the effects of the delay; and (iv) Respondent complied with the requirements of Subparagraph X.B.2 regarding timely notification.
(4) If the Department agrees that the delay or anticipated delay is attributable to a Force Majeure Event, the time for performance of the obligations that are affected by the Force Majeure Event shall be extended for a period of time equivalent to the time lost because of the Force Majeure event, in accordance with 6 NYCRR 375-1.5(4).
(5) If the Department rejects Respondent's assertion that an event provides a defense to non-compliance with this Order pursuant to Subparagraph X.B, Respondent shall be in violation of this Order unless it invokes dispute resolution as set forth in Subparagraph XVIII.A and Respondent's position prevails.
XI. **Entry Upon Site**
A. Respondent hereby consents, upon reasonable notice under the circumstances presented, to the entry upon the Site or areas in the vicinity of the Site which may be under the control of Respondent by any duly designated officer or employee of the Department or any State agency having jurisdiction with respect to matters addressed pursuant to a Department-approved Work Plan applicable to such Site, and by any agent, consultant, contractor, or other person so authorized by the Commissioner with respect to matters addressed pursuant to this RG&E Multi-Site Order, all of whom shall abide by the health and safety rules in effect for the Site, for inspecting, sampling, copying records related to the MGP-Site Contamination at the Site, observing the implementation of activities under this RG&E Multi-Site Order, and testing and any other activities necessary to ensure Respondent's compliance with this RG&E Multi-Site Order. Upon request, Respondent shall: (i) provide the Department with suitable work space at the Site, including access to a telephone, to the extent available, and (ii) permit the Department full access to all non-privileged records relating to matters addressed by this RG&E Multi-Site Order. Raw data is not considered privileged and that portion of any privileged document containing raw data must be provided to the Department. In the event Respondent is unable to obtain any authorization from thirdparty property owners necessary to perform its obligations under this RG&E Multi-Site Order, the Department may, consistent with its legal authority, assist in obtaining such authorizations.
B. The Department shall have the right to take its own samples and scientific measurements, and the Department and Respondent shall each have the right to obtain split samples, duplicate samples, or both, of all substances and materials sampled by the other party. The Department shall make the results of any such sampling and scientific measurements available to Respondent and Respondent shall make the results available pursuant to its reporting obligations.
XII. Payment of State Costs
A. Within forty-five (45) Days after receipt of an itemized invoice from the Department, Respondent shall pay to the Department a sum of money which shall represent reimbursement for State Costs as provided by 6 NYCRR 375-1.5(b)(3)(i), for work performed at or in connection with a Site.
B. Personal service costs shall be documented by reports of Direct Personal Service, which shall identify the employee name, title, biweekly salary or billable hourly rate, and time spent (in hours) on the project during the billing period, as identified by an assigned time and activity code. Approved agency fringe benefit and indirect cost rates shall be applied. Non-personal service costs shall be summarized by category of expense (e.g., supplies, materials, travel, contractual) and shall be documented by expenditure reports. The Department shall not be required to provide any other documentation of costs, provided however, that the Department’s records shall be available consistent with, and in accordance with, Article 6 of the Public Officers Law.
C. Such invoice shall be sent to Respondent at the following address:
Mr. Jeremy Wolf
Manager – Programs and Projects, Environmental Remediation
Electric Capital Delivery
Rochester Gas and Electric Corporation
1300 Scottsville Road
Rochester, NY 14624
D. Each such payment shall be made payable to the Commissioner of the NYSDEC and shall be sent to:
Director, Bureau of Program Management
Division of Environmental Remediation
New York State Department of Environmental Conservation
625 Broadway
Albany, NY 12233-7012
E. Each party shall provide written notification to the other within thirty (30) Days of any change in the foregoing addresses.
F. Respondent may contest, in writing, invoiced costs under Subparagraph XII.A if it believes that: (i) the cost documentation contains clerical, mathematical, or accounting errors; or (ii) the invoice includes costs that are not related to the State’s activities with respect to the remedial program for the Site. If Respondent objects to an invoiced cost, Respondent shall pay all costs not objected to within the time frame set forth in Subparagraph XII.A and shall, within thirty (30) Days after its receipt of an invoice, identify, in writing, all costs objected to and the basis of the objection. This objection shall be
filed with the Director of the Division of Environmental Remediation ("DER Director"). The DER Director or the DER Director’s designee shall have the authority to relieve Respondent of the obligation to pay invalid costs. Within forty-five (45) Days after the date of the Department’s determination of the objection, which determination shall constitute a final agency decision, Respondent shall pay to the Department the amount which the DER Director or the DER Director’s designee determines Respondent is obligated to pay, provided however, that such payment shall be stayed until 45 days after the final determination of any challenge which is brought pursuant to Article 78 of the Civil Practice Law and Rules.
G. If any negotiable instrument submitted to the Department pursuant to this RG&E Multi-Site Order is not honored when presented for payment, Respondent shall be in breach of this RG&E Multi-Site Order, provided that: (i) the Department gives Respondent written notice of same, and (ii) the Department does not receive a certified check or bank check in the amount of the uncollected funds within fourteen (14) Days after the date of the Department’s written notification.
H. The Department can bill under this Paragraph for the State’s costs and expenses incurred with respect to each Site subject to this RG&E Multi-Site Order up to and including the date upon which the Department issues a release letter, approves the final site management report, or this RG&E Multi-Site Order is terminated with respect to such Site pursuant to Subparagraph XVII.A, whichever is later. Respondent must pay those State’s costs and expenses incurred with respect to such Site prior to such termination or notification even though the Department’s invoice will be dated after such termination or notification. If the applicability of this RG&E Multi-Site Order to a Site is terminated pursuant to Subparagraph XVII.A, neither this Order nor its termination shall affect any liability of Respondent for remediation of the Site and/or for payment of the State’s costs and expenses incurred with respect to such Site after such termination or notification, including implementation of removal and remedial actions, interest, enforcement, and any and all other response costs as defined under CERCLA, nor shall it affect any defenses to such liability that may be asserted by Respondent.
I. In addition to the requirement to pay future State Costs, Respondent understands that it is required to pay State Costs not yet paid by Respondent pursuant to the Original Multi-Site VCA. Such costs are payable as State Costs pursuant to the terms of this RG&E Multi-Site Order.
XIII. Reservation of Rights
A. Except as provided in this RG&E Multi-Site Order or in a Release and Covenant Not to Sue after its issuance with respect to a particular Site, nothing contained in this Order shall be construed as barring, diminishing, adjudicating, or in any way affecting any of the Department's rights or authorities, including, but not limited to, the right to require performance of further investigations and/or response action(s), to recover natural resource damages, and/or to exercise any summary abatement powers with respect to any person, including Respondent.
B. Except as otherwise provided in this RG&E Multi-Site Order, Respondent specifically reserves all rights and defenses under applicable law to contest, defend against, dispute or disprove any actions, proceedings, allegations, assertions, determination or order of the Department, including any Departmental assertion of remedial liability and/or natural resource damages against Respondent, and further reserves all rights and defenses, including the rights to notice, to be heard, to appeal, and to any other due process, respecting any action or proceeding by the Department, including the enforcement of this RG&E Multi-Site Order. The existence of this RG&E Multi-Site Order or Respondent's compliance with it shall not be construed as an admission of liability, fault, wrongdoing, violation of law or breach of standard of care by Respondent, and shall not give rise to any presumption of law or finding of fact, or create any rights, or grant any cause of action, which shall inure to the benefit of any third party. Further, Respondent reserves such rights as it may have to seek and obtain contribution,
indemnification, and/or any other form of recovery from any other person or entity, including without limitation, its insurers and from other potentially responsible parties or their insurers, for past or future response and/or cleanup costs or such other costs or damages arising from the contamination at a Site as may be provided by law, including but not limited to rights of contribution under CERCLA Section 113(f)(3)(B), 42 U.S.C. § 9613(f)(3)(B).
C. To the extent authorized under CERCLA Section 113, 42 U.S.C. § 9613, New York General Obligations Law Section 15-108, and any other applicable law, Respondent shall be deemed to have resolved its liability to the State for purposes of contribution protection provided by CERCLA Section 113(f)(2) for “matters addressed” at each Site pursuant to and in accordance with this RG&E Multi-Site Order. “Matters addressed” in this RG&E Multi-Site Order shall mean, with respect to a Site listed in Table “A” of Paragraph I of this RG&E Multi-Site Order, all response actions taken to implement this RG&E Multi-Site Order for the Site and all response costs incurred and to be incurred by any person or party in connection with the work performed under this RG&E Multi-Site Order, including reimbursement of the State’s costs and expenses pursuant to Paragraph XII of this RG&E Multi-Site Order.
XIV. Indemnification
Respondent shall indemnify and hold the Department, the State of New York, and their representatives and employees harmless for all claims, suits, actions, damages, and costs of every name and description arising out of or resulting from the fulfillment or attempted fulfillment of this RG&E Multi-Site Order by Respondent, and/or Respondent's directors, officers, employees, servants, agents, successors, and assigns; provided, however, that Respondent shall not indemnify the Department, the State of New York, and their representatives and employees in the event that such claim, suit, action, damages, or cost relate to or arise from any unlawful, willful, grossly negligent, or malicious acts or omissions on the part of the Department, the State of New York, or their representatives and employees, or from vehicular accidents occurring during travel to or from a Site.
XV. Public Notice
A. Unless otherwise agreed with respect to specific Sites, no later than thirty (30) Days after this RG&E Multi-Site Order becomes applicable to a Site listed in Table “A” to Paragraph I of this RG&E Multi-Site Order, Respondent shall provide notice of the existence of this Order to all parties who may acquire an interest in that Site as required by 6 NYCRR 375-1.5(a). Within sixty (60) Days of either Respondent or the owner of such Site recording a notice of the existence of this RG&E Multi-Site Order with respect to a Site in the office of the recording officer for the county or counties where the Site is situated in the manner prescribed by 6 NYCRR 375-1.5(a), Respondent shall provide the Department with a copy of such instrument certified by the recording officer to be a true and faithful copy. Respondent and/or the owner of any of the real property comprising a Site listed in Table “A” to Paragraph I of this RG&E Multi-Site Order may terminate such notice on or after the date that the applicability of this Order to a Site has been terminated pursuant to Paragraph XVII of this RG&E Multi-Site Order.
B. If Respondent proposes to transfer by sale or lease the whole or any part of Respondent's interest in a Site listed in Table “A” to Paragraph I of this RG&E Multi-Site Order, or becomes aware of such transfer by the owner of a Site, Respondent shall, not fewer than sixty (60) Days before the date of transfer, or within sixty (60) Days after becoming aware of such conveyance, notify the Department in writing of the identity of the transferee and of the nature and proposed or actual date of such conveyance, and shall notify the transferee in writing, with a copy to the Department, of the applicability of this RG&E Multi-Site Order. However, such obligation shall not extend to a conveyance by means of a corporate reorganization or merger or the granting of any rights under any mortgage, deed, trust, assignment, judgment, lien, pledge, security agreement, lease, or any other right accruing to a person
not affiliated with Respondent to secure the repayment of money or the performance of a duty or obligation.
XVI. Communications
A. All written communications required by this Order shall be transmitted by United States Postal Service, by private courier service, hand delivered or via electronic mail as follows:
(1) Communication from Respondent shall be sent to:
DER Project Manager (Site Specific)
New York State Department of Environmental Conservation
625 Broadway
Albany, New York 12233-7014
Note: one hard copy of work plans is required, as well as one electronic copy to be submitted in accordance with Department’s technical guidance.
with electronic copies to:
Director, Remedial Bureau C
New York State Department of Environmental Conservation
625 Broadway
Albany, New York 12233-7014
[email protected]
Krista Anders, Director
Bureau of Environmental Exposure Investigation
New York State Department of Health 2
Empire State Plaza - Corning Tower, Room 1787
Albany, New York 12237
[email protected]
Dolores A. Tuohy, Esq.
New York State Department of Environmental Conservation
Office of General Counsel
625 Broadway, 14th Floor
Albany, New York 12233-1500
[email protected]
correspondence only
(2) Communication to be made from the Department shall be sent to:
Jeremy Wolf,
Manager –
Programs and Projects, Environmental Remediation
Electric Capital Delivery
Rochester Gas and Electric Corporation
1300 Scottsville Road
Rochester, New York 14624
[email protected]
with electronic copies to:
Manager Electric Capital Delivery
Rochester Gas and Electric Corporation
1300 Scottsville Road
Rochester, New York 14624
Jeffrey A. Rosenbloom, Esq.
NYSEG and RG&E
89 East Avenue
Rochester, New York 14649
[email protected]
Thomas F. Walsh, Esq.
Barclay Damon, LLP
100 Chestnut Street
Rochester, New York 14604
[email protected]
B. The Department and Respondent reserve the right to designate additional or different addressees for communication or written notice to the other.
C. Each party shall notify the other within thirty (30) Days after any change in the addresses in Paragraph XII or in this Paragraph XVI.
XVII. **Termination of Order**
A. Only after invoking dispute resolution as set forth in Subparagraph XVIII.A of this Order and being in its sole discretion dissatisfied with the results of such dispute resolution, Respondent may elect in writing to terminate this RG&E Multi-Site Order with respect to one or more Sites, or all such Sites, listed in Table "A" of Paragraph I, without cause, while the Department may only elect to terminate this RG&E Multi-Site Order with respect to one or more such Sites, or all such Sites, for cause, which shall be established so long as the Department’s stated reason is not arbitrary and capricious. The Department shall include in its notice of termination with respect to one or more such Sites, or all such Sites, the basis for its election to terminate this RG&E Multi-Site Order. The termination of the applicability of this RG&E Multi-Site Order to a particular Site or Sites named in such written notice of termination does not terminate the applicability of this Order to any other Site or Sites not named in such written notice. This RG&E Multi-Site Order will also terminate with respect to a Site upon the earlier of the following events:
(1) Respondent's election to terminate with respect to a Site: (i) pursuant to Subparagraphs IX.A.2.i or IX.A.2.ii so long as such election is made after dispute resolution pursuant to Subparagraph XVIII.A of this Order and Respondent is in its sole discretion dissatisfied with the results of such dispute resolution and prior to the Department's approval of the RD Work Plan or RA Work Plan for such Site; (ii) pursuant to Subparagraph I.C for a failure to agree upon an update to the schedule after dispute resolution pursuant to Subparagraph XVIII.A and Respondent is in its sole discretion dissatisfied with the results of such dispute resolution, and regardless if the Department has previously approved RD Work Plan or RA Work Plan for such Site; or (iii) pursuant to Subparagraphs VII.F or IX.B regardless if the Department has requested further action after implementation of, or a modification to, a previously approved RD Work Plan or RA Work Plan for such Site. In the event of termination in accordance with
this Subparagraph XVII.A.1, this RG&E Multi-Site Order shall terminate effective the 5th Day after the Department's receipt of the written notification terminating this RG&E Multi-Site Order, provided, however, that if there are one or more Work Plan(s) with respect to such Site for which a final report has not been approved at the time of Respondent's notification of its election to terminate this RG&E Multi-Site Order or its failure to timely make such an election and the Department elected to terminate with respect to a Site pursuant to Subparagraphs VLD or IX.A.2.ii, Respondent shall promptly complete the activities required by such previously approved Work Plan(s) consistent with the schedules contained therein, and thereafter, this Order shall terminate with respect to such Site effective the 5th Day after the Department's approval of the final report for all previously approved Work Plans; or
(2) Department’s election to terminate with respect to a Site pursuant to Subparagraphs VI.D or IX.A.(2)(ii), this Order shall terminate effective the 5th Day after the Respondent’s receipt of the written notification terminating this Order, provided, however, that if within five (5) Days of receipt of the Department’s notice of termination, Respondent invokes the dispute resolution set forth in Subparagraph XVIII.A with respect to whether the Department has cause to terminate and (i) Respondent’s position prevails, then this RG&E Multi-Site Order shall not terminate with respect to such Site, or (ii) the Department’s position prevails, then the applicability of this RG&E Multi-Site Order terminates with respect to such Site on the 5th Day after Respondent receives notice that the Department’s position has prevailed, provided, further however, that if there are one or more Work Plan(s) with respect to such Site for which a final report has not been approved at the time of Department's notification of its election to terminate this RG&E Multi-Site Order pursuant to Subparagraphs VI.D or IX.A.2.ii, Respondent shall promptly complete the activities required by such previously approved Work Plan(s) consistent with the schedules contained therein, and thereafter, this Order shall terminate with respect to such Site effective the 5th Day after the Department's approval of the final report for all previously approved Work Plans; or
(3) The Department's written determination that Respondent has completed all phases of the remedial program (including site management), in which event the termination with respect to such Site shall be effective on the 5th Day after the date of the Department's approval of the final report relating to the final phase of the remedial program.
B. Notwithstanding the foregoing, the provisions contained in Paragraphs X, XII, XIII and XIV shall survive the termination of this RG&E Multi-Site Order with respect to a Site, and any violation of such surviving Paragraphs shall be a violation of this RG&E Multi-Site Order, the ECL, and 6 NYCRR 375-2.11(a)(4), subjecting Respondent to penalties as provided under Paragraph X; provided that, with respect to the obligations under Paragraph XII such obligations accrued on or prior to the effective date of termination..
C. If the RG&E Multi-Site Order is terminated with respect to one or more of the Sites listed in Table "A" of Paragraph I pursuant to Subparagraphs XVII.A.1 or XVII.A.2, Respondent shall ensure that it does not leave the Site in a condition, from the perspective of human health and environmental protection, worse than that which existed before any activities under this RG&E Multi-Site Order were commenced. Further, the Department's efforts in obtaining and overseeing compliance with this RG&E Multi-Site Order shall constitute reasonable efforts under law to obtain a voluntary commitment from Respondent for any further activities to be undertaken as part of a remedial program for such Site(s).
D. Notwithstanding Subparagraphs XVII.A.1 and XVII.A.2 of this RG&E Multi-Site Order, this Order shall not automatically terminate with respect to any Site for which:
(1) the Department has determined that no requirements other than those remedial actions already conducted at such Site and/or institutional and engineering controls already
implemented at such Site, if any, are necessary to assure that conditions at such Site are protective of the public health and the environment for the Site’s current, intended and reasonably anticipated use,
(2) timely payments of the amounts specified in Paragraph XII of this Order related to such Site continue to be or have been made to the Department,
(3) appropriate notices related to such Site in accordance with Subparagraphs XV.A and XV.B have been given and, if required, the Environmental Easement related to such Site in accordance with Subparagraph XVIII.O remains recorded, and
(4) Respondent and/or Respondent’s lessees, sublessees, successors, or assigns promptly commence and diligently pursue to completion the implementation of the Department-approved SMP for such Site, if any.
E. If the RG&E Multi-Site Order is terminated pursuant to Subparagraph XVII.A.1 or XVII A.2 with respect to a Site, neither this RG&E Multi-Site Order nor its termination shall affect any claim, liability, right or defense of the Department or Respondent with respect to remediation of the Site and/or for payment of State Costs, including implementation of removal and remedial actions, interest, enforcement, and any and all other response costs as defined under CERCLA.
XVIII. Miscellaneous
A. Any disagreement which arises regarding the Department’s notice of disapproval of a submittal or a proposed Work Plan, disapproval of a final report, or rejection of Respondent’s assertion of a Force Majeure Event shall in the first instance be the subject of informal negotiations between the parties. The period for informal negotiations shall not exceed thirty (30) Days from the time Respondent notifies the Department of a disagreement. A meeting or telephone conference can be scheduled if it will promote a resolution of the issues. The Department and Respondent shall consult together in good faith and exercise best efforts to resolve any disagreement without resort to the procedures described in 6 NYCRR 375-1.5(b)(2). In the event that the disagreement is not resolved through informal negotiations at the close of the thirty (30) Day informal negotiation period, a dispute under this RG&E Multi-Site Order is deemed to have arisen. The Department’s position shall be considered binding unless Respondent, within thirty (30) Days after the close of the thirty (30) Day informal negotiation period, initiates dispute resolution in accordance with the provisions of 6 NYCRR 375-1.5(b)(2). Nothing contained in this RG&E Multi-Site Order shall be construed to authorize Respondent to invoke dispute resolution with respect to the remedy selected by the Department in the ROD or any element of such remedy, nor to impair any right of Respondent to seek judicial review of the Department’s selection of any remedy or any element of such remedy.
B. All activities and submittals required by this RG&E Multi-Site Order with respect to the Sites listed in Table “A” to Paragraph I of this Order shall address both the presence of MGP-Site Contamination on-Site and off-Site.
C. Respondent shall retain professional consultants, contractors, laboratories, quality assurance/quality control personnel, and data validators acceptable to the Department to perform the technical, engineering, and analytical obligations required by this RG&E Multi-Site Order. Within thirty (30) Days after completion of Respondent’s retainer process resulting in the selection of a particular firm or individual to perform any of such obligations, Respondent shall submit to the Department a summary of the experience, capabilities, and qualifications of the firm or individual retained. Respondent must obtain the Department’s approval of these firms or individuals before the initiation of any activities for which Respondent and such firms or individuals will be responsible.
D. The Department shall have the right to obtain split samples, duplicate samples, or both, of all substances and materials sampled by Respondent, and the Department also shall have the right to take its own samples and scientific measurements. Respondent shall have the right to obtain split samples, duplicate samples, or both, of all substances and materials sampled by the Department, and Respondent also shall have the right to take its own samples and scientific measurements. Respondent shall make available to the Department pursuant to its reporting obligations the results of all sampling and/or tests or other data generated by Respondent with respect to implementation of this RG&E Multi-Site Order, including a tabular summary of any such results in any report submitted pursuant to this RG&E Multi-Site Order requiring such results, and the Department shall make available to Respondent the results of all sampling and/or tests or other data generated by the Department with respect to this Order.
E. Respondent shall notify the Department at least ten (10) Working Days in advance of any field activities to be conducted pursuant to this RG&E Multi-Site Order. The Department's project manager is hereby authorized to approve any modification to an activity to be conducted under a Department-approved Work Plan in order to adapt the activities to be undertaken under such Work Plan to the conditions actually encountered in the field. Changes to the Schedule for submission of Work Plans shall be accomplished as set forth in Subparagraph I.C of this RG&E Multi-Site Order.
F. Respondent shall use reasonable efforts to obtain whatever permits, easements, rights-of-way, rights-of-entry, approvals, or authorizations as are necessary to perform Respondent's obligations under this RG&E Multi-Site Order. If Respondent is unable, after exhaustion of such reasonable efforts, to obtain any such permits, easements, rights-of-way, rights-of-entry, approvals, or authorizations, the Department will exercise whatever authority is available to it, in its discretion, to assist Respondent to obtain same. In no event will Respondent be determined to be in breach of this RG&E Multi-Site Order if it fails to obtain any such permits, easements, rights-of-way, rights-of-entry, approvals, or authorizations after exhausting reasonable efforts to obtain same. This is in recognition of the fact that, with respect to certain Sites, the Respondent is the current owner of only part of the potential area where MGP Wastes were released, and may in fact, as to certain Sites, not be the owner of any portion of the Site. Significant impediments may, therefore, be encountered as to Respondent's ability to obtain access for purposes of carrying out the requirements of this RG&E Multi-Site Order. If an interest in property is needed to implement an institutional control required by a Work Plan and such interest cannot be obtained, the Department may require Respondent to modify the Work Plan pursuant to 6 NYCRR 375-1.6(d)(3) to reflect changes necessitated by Respondent’s inability to obtain such interest. If the Record of Decision for a Site requires institutional controls, in no event shall the Department issue a Release and Covenant Not to Sue for the Site without institutional controls sufficient to ensure that the remedy is protective of public health and the environment.
G. If Respondent determines, in connection with any given Site, that a valid claim exists in favor of Respondent as against any other potentially responsible party, for contribution toward response costs deemed necessary by the Department in connection with such Site (or for recovery of an appropriate portion of such costs previously incurred by Respondent), the Department shall provide, in accordance with Freedom of Information Law (FOIL) requirements, information responsive to a FOIL request, about such party related to conditions at the Site and any other relevant information that may be helpful in substantiating Respondent's claim. Similarly, if Respondent requests, by FOIL request, access to non-privileged and otherwise disclosable information in the Department's possession and relevant to the potential liability of any person or entity who may be subject to such claim by Respondent for contribution or cost recovery, the Department will take reasonable steps to expedite Respondent's access to such information.
H. With respect to each Site listed in Table A of Paragraph I for which the applicability of this RG&E Multi-Site Order has not been terminated pursuant to Paragraph XVII of this RG&E Multi-Site Order, Respondent and its successors and assigns shall be bound by this RG&E Multi-Site Order. Any change in ownership or corporate status of Respondent including, but not limited to, any transfer of assets or real or personal property shall in no way alter Respondent's responsibilities with respect to such Site(s) under this RG&E Multi-Site Order. Respondent's officers, directors, employees, servants, and agents shall be obliged to comply with the relevant provisions of this RG&E Multi-Site Order in the performance of their designated duties on behalf of Respondent.
I. Respondent shall provide a copy of this RG&E Multi-Site Order to each contractor hired to perform work required by this RG&E Multi-Site Order and to each person representing Respondent with respect to the Site and shall condition all contracts entered into hereunder upon performance in conformity with the terms of this RG&E Multi-Site Order. Respondent or Respondent's contractors shall provide written notice of this RG&E Multi-Site Order to all subcontractors hired to perform any portion of the work required by this RG&E Multi-Site Order. Respondent shall nonetheless be responsible for ensuring that Respondent's contractors and subcontractors perform the work to be done under this RG&E Multi-Site Order in accordance with this RG&E Multi-Site Order.
J. All references to "professional engineer" in this RG&E Multi-Site Order are to an individual licensed and registered to practice professional engineering in accordance with Article 145 of the New York State Education Law. If such individual is a member of a firm, that firm must be authorized to offer professional engineering services in the State of New York in accordance with Article 145 of the New York State Education Law.
K. All references to "Days" in this RG&E Multi-Site Order are to calendar days unless otherwise specified. "Working Day" shall mean a day other than a Saturday, Sunday or State holiday. In computing any period of time under this RG&E Multi-Site Order, where the last day would fall on a Saturday, Sunday or State holiday, the period shall run until the close of business of the next Working Day.
L. The Paragraph, Subparagraph and section headings set forth in this RG&E Multi-Site Order are included for convenience of reference only and shall be disregarded in the construction and interpretation of any of the provisions of this RG&E Multi-Site Order.
M. (1) The terms of this RG&E Multi-Site Order, as duly modified, amended and restated, shall constitute the complete and entire Order between Respondent and the Department concerning the implementation of the Work Plan(s) attached to this Order with respect to the Sites from the effective date of this RG&E Multi-Site Order as set forth in Subparagraph XVIII.N forward, while the Original Multi-Site VCA shall constitute the complete and entire agreement concerning the implementation of the Work Plan(s) attached to the Original Multi-Site VCA with respect to the Sites from the effective date of the Original Multi-Site VCA (on or about April 20, 2003) until the effective date of this RG&E Multi-Site Order as set forth in Subparagraph XVIII.N. No term, condition, understanding, or agreement purporting to modify or vary any term of this RG&E Multi-Site Order shall be binding unless made in writing and subscribed by the party to be bound. No informal advice, guidance, suggestion, or comment by the Department regarding any report, proposal, plan, specification, schedule, or any other submittal shall be construed as relieving Respondent of Respondent's obligation to obtain such formal approvals as may be required by this RG&E Multi-Site Order.
(2) If Respondent desires that any provision of this RG&E Multi-Site Order be changed, other than a provision of a Work Plan, other submittal or Schedule, Respondent shall make timely written application, signed by the Respondent, to the Commissioner setting forth reasonable grounds for the relief sought. Copies of such written application shall be delivered or mailed to the DER
Project Manager (Site Specific) and Dolores A. Tuohy, Esq. In the event of a conflict between the terms of this RG&E Multi-Site Order and any Work Plan submitted pursuant to this RG&E Multi-Site Order, the terms of this RG&E Multi-Site Order shall control over the terms of the Work Plan(s).
N. The effective date of this RG&E Multi-Site Order shall be the date it is signed by the Commissioner or his designee.
O. Environmental Easement
(1) If the ROD for a Site relies upon one or more institutional and/or engineering controls, Respondent (or the owner of the Site) shall submit to the Department for approval within one hundred eighty (180) days of the commencement of the remedial design an Environmental Easement to run with the land in favor of the State which complies with the requirements of ECL Article 71, Title 36, and 6 NYCRR 375-1.8(h)(2). Upon acceptance of Environmental Easement by the State, Respondent shall comply with the requirements of 6 NYCRR 375-1.8(h)(2). Respondent shall provide the Department with a copy of the Environmental Easement, certified by the County Clerk in the county in which the Site is located to be a true and faithful copy, within thirty (30) days of such recording.
(2) If the ROD provides for no action other than implementation of one or more institutional controls, Respondent shall cause an Environmental Easement to be recorded under the provisions of Subparagraph XVIII.O.1. If Respondent does not cause such Environmental Easement to be recorded in accordance with 6 NYCRR 375-1.8(h)(2), Respondent will not be entitled to the benefits conferred by the Department’s issuance the Release and Covenant Not to Sue.
(3) Respondent and/or the owner of a Site may petition the Department to terminate such Environmental Easement recorded pursuant to this Subparagraph XVIII.O.1 when the Site is protective of human health and the environment for residential and/or unrestricted use without reliance upon the institutional and engineering controls set forth in such instrument. The Department will not unreasonably delay, withhold or condition its approval of such petition.
DATED: JUN 26 2018
BASIL SEGGOS
COMMISSIONER
NEW YORK STATE DEPARTMENT OF ENVIRONMENTAL CONSERVATION
By:
Michael J. Ryan, P.E., Director
Division of Environmental Remediation
CONSENT BY RESPONDENT
Respondent, Rochester Gas and Electric Corporation, hereby consents to the issuing and entering of this RG&E Multi-Site Order on Consent, waives its right to a hearing herein as provided by law, and agrees to be bound by this RG&E Multi-Site Order on Consent.
Rochester Gas and Electric Corporation
By: Ellen J. Miller
Ellen J. Miller, Authorized Signatory
Title: Vice President – Projects
Avangrid Networks, CMP, NYSEG, RG&E, UIL
Date: June 21, 2018
STATE OF MAINE
COUNTY OF KENNEBEC
On the 21st day of June, in the year 2018 before me, the undersigned, personally appeared Ellen J. Miller, personally known to me or proved to me on the basis of satisfactory evidence to be the individual(s) whose name is (are) subscribed to the within instrument and acknowledged to me that he/she/they executed the same in his/her/their capacity(ies), and that by his/her/their signature(s) on the instrument, the individual(s), or the person upon behalf of which the individual(s) acted, executed the instrument.
RHONDA C. GILLESPIE
NOTARY PUBLIC
State of Maine
My Commission Expires June 6, 2019
[Notary Public stamp]
Attached is an RG&E Multi-Site Order on Consent between Rochester Gas and Electric Corporation (“RG&E”), and the New York State Department of Environmental Conservation (the “Department”). The RG&E Multi-Site Order on Consent sets forth a process whereby RG&E will propose and the Department will approve, and RG&E will implement, Work Plans for remedial activities designed to address in whole or in part environmental contamination at each property comprising the definition of Site in the RG&E Multi-Site Order on Consent.
After your review and concurrence, please sign and date below. Ellen J. Miller has or will execute the RG&E Multi-Site Order on Consent for RG&E.
Control Approval
By: Robert P. Fitzgerald, Jr.
Print Name:
Date: June 22, 2018
KATHRYN VAZNIS
Notary Public-Maine
My Commission Expires
September 29, 2023
| Real Property or Properties Comprising the “Site” | Current Zoning | Tax Parcel Number | Does Zoning allow Commercial Use? | Does Zoning allow Industrial Use? | Current Use | Does RG&E Own the Site? | Anticipated Use |
|--------------------------------------------------|----------------------------------------------------|-------------------|-----------------------------------|-----------------------------------|-----------------------------------|------------------------|--------------------------|
| West Station, City of Rochester | Central City District-Riverfront (CCD-R) | 106.70-1-8.6 | yes | yes | Vacant Former Power Plant | Yes | Commercial / Industrial |
| East Station, City of Rochester | M-1 Industrial (M-1) | 106.53-1-10 | yes | yes | Vacant with adjacent RG&E lab facility | Yes | Commercial / Industrial |
| Operations Center, Town of Pavilion | Industrial District (I) | 16.00-1-112 | yes, but limited | yes | Vacant | Yes | Commercial / Industrial |
Zoning Code §§120-62.A, 120-67
Zoning Code §§120-81.A
Zoning Code §850
| PROPERTY | SBL # | TAX MAP | OTHER MAPS | METES & BOUNDS | ABSTRACT or DEED | ZONING or CURRENT USE |
|--------------------------|-----------|---------|------------|----------------|------------------|-----------------------|
| West Station (Rochester) | 106.70-1-8.6 | Y | N | See Abstract | Abstract | Commercial/Industrial |
**Explanation**
- Monitoring Well
- Pore Water
- Sediment Sample
- Soil Boring
- Surface Soil
- Test Pit
- Site Boundary
- Extent of existing barrier wall
- Extent of sediment impacts (RI)
- Passive DNAPL recovery well
- River sediment removal area
- Average excavation to 10 feet
- Average excavation to 15 feet
- Intake/Discharge Barrier Wall
- Extent of Cover System (1-2 ft soil or pavement)
- River sediment removal area (pending on PCI results)
**ALTERNATIVE 3:**
EXTEND EXISTING BARRIER WALL, DNAPL RECOVERY, SOIL COVER
Rochester Gas and Electric
West Station MGP Site, Rochester RAWP
Rochester, New York
GE Figure 2
| PROPERTY | SBL # | TAX MAP | OTHER MAPS | METES & BOUNDS | ABSTRACT or DEED | ZONING or CURRENT USE |
|--------------------------------|-----------|---------|------------|----------------|------------------|-----------------------|
| East Station (Rochester) RG&E Prop. #34 | 106.53-1-10 | Y | N | See Abstract | Abstract | Commercial/Industrial |
**LEGEND**
- FENCE LINE
- EXISTING BUILDING
- PROPERTY LINE
- EXISTING DECON/MONITORING WELL
- EXISTING PERIMETER
- EXISTING SHALLOW WELL
- OVERBURDEN MONITORING WELL
- BEDROCK MONITORING WELL
**NOTES**
1. NORTHING AND EASTING COORDINATES HEREIN ARE BASED ON THE 1927 SITE EXPLORATIONS AND HISTORICAL STRUCTURES FROM MULTIPLE SOURCES AND MULTIPLE OTHER SOURCES.
2. PREVIOUSLY USED PZ-10, PZ-14 AND PZ-10 WOULD BE USED FOR DECON AND PZ-10A FOR GROUNDWATER MONITORING.
**HALEY ALLENBACH**
**SITE PLAN WITH EXISTING FEATURES**
**SCALE AS DRAWN**
**FIGURE 2**
| PROPERTY | SBL # | TAX MAP | OTHER MAPS | METES & BOUNDS | ABSTRACT or DEED | ZONING or CURRENT USE |
|--------------------------|---------|---------|------------|----------------|-----------------|--------------------------------|
| Operations Center #1252 | 16.00-1-112 | Y | Y | See Deeds | Deeds | Commercial/Industrial/Manufacturing |
| (Pavillion) | | | | | | |
**NOTE:**
1. BASE MAP FROM OGI CONSULTANTS, MARCH 2015. HISTORIC STRUCTURES ADAPTED FROM FIGURE 4, OGI CONSULTANTS, MAY – JULY 2015.
2. NAPL OBSERVED IN TP-17 NOT AT B-12.
**FIGURE 3**
ROADS
PAVILION POWER MGP
PAVILION, NY
SITE REMEDY
PARSONS
AT PAVILION POWER MGP, DURING FY 2013 - FY-10-089
## EXHIBIT "B"
### Schedule
**Rochester Gas and Electric Corporation**
**Conceptual Target MGP Project Schedule**
*2018 Forward (Rev June 2018)*
| DEC Avangrid PM | Site | 2017 | 2018 | 2019 | 2020 | 2021 | 2022 | 2023 | 2024 |
|-----------------|------|------|------|------|------|------|------|------|------|
| | | Q1 | Q2 | Q3 | Q4 | Q1 | Q2 | Q3 | Q4 |
| **RG&E-Owned Properties** | | | | | | | | | |
| **East Station** | | | | | | | | | |
| (Site # 828204) | | | | | | | | | |
| **KT TBD** | | | | | | | | | |
| On-Site | | | | | | | | | |
| B&L Property | | | | | | | | | |
| Sediment (along Site) | | | | | | | | | |
| NAPL Recovery | | | | | | | | | |
| **WB TBD** | | | | | | | | | |
| West Station | | | | | | | | | |
| (Site # 828205)| | | | | | | | | |
| **NA JW** | | | | | | | | | |
| Pavilion | | | | | | | | | |
| (Site # 819024)| | | | | | | | | |
### Notes:
- NA = Not Assigned
---
**AVANGRID PM**
- **JW** - Jeremy Wolf
- **TBD** - To be determined
**NYSDEC PM**
- **PT** - Peter Thompson
- **SP** - Sal Priori
- **WB** - William Barrett
- **NA** - Not Assigned
---
*This target schedule has been prepared based on current assumptions that may or may not be accurate, and by no means shall be considered a schedule for completion of the activities identified. This actual schedule to complete the projects will be developed based on information generated throughout the course of each project. It is RG&E's intent to complete the projects as expeditiously as possible using available resources, sound engineering practices, safe construction and remediation techniques, and technically reliable methods to achieve outcomes that satisfy the goals and objectives appropriate for each site.*
---
**RIWP** - Remedial Investigation/Work Plan prep & review
**RI** - Remedial Investigation (includes all field work & data review)
**RD** - Remedial Design Report (includes prep and review)
**RAVW** - Remedial Action Work Plan (includes alternatives analysis (AA))
**AA** - Remedial Alternatives Analysis (includes prep & review)
**RD** - Remedial Design (prep & review; includes RD Inv. (FDI) / Pre-Design Inv. (PDI))
**RA** - Remedial Action (contractor implementation)
**EPR** - Environmental Project Review (outside of SMP & DR)
**OCR** - Construction Completion Report
**SM** - Monitoring and/or Site Management (e.g., PRR)
**GW** - Groundwater Sampling and/or Monitoring
**IRM** - Interim Remedial Measure
**NFA** - No Further Action
EXHIBIT "C"
Form for Release and Covenant Not to Sue
Unless otherwise specified in this letter, all terms used in this letter shall have the meaning assigned to them under the terms of the Multi-Site Order on Consent entered into between the New York State Department of Environmental Conservation (the “Department”) and Rochester Gas and Electric Corporation (“Respondent”), Index No.CO 8-20180517-48 (the “Order”).
The Department is pleased to report that the Department is satisfied that the Order’s Work Plan(s) relative to the [insert name of site] Site, identified as site number [insert number of site], located at_[insert address of site], [insert reference to Tax Map Identification Number, and reference and attach a map, metes and bounds description, and/or other appropriate identifying information] (hereinafter, the “Site”) has been successfully implemented.
The Department, therefore, hereby releases and covenants not to sue, and shall forbear from bringing any action, proceeding, or suit, and from referring to the Attorney General any claim for recovery of costs incurred by the Department, against Respondent and Respondent’s lessees and sublessees, grantees, successors and assigns, and their respective secured creditors, for the further investigation and remediation of the Site, based upon the release or threatened release of MGP-Site Contamination, provided that (a) timely payments of the amounts specified in Paragraph XII of the Order continue to be or have been made to the Department, (b) appropriate institutional controls were created and remain recorded in accordance with Paragraph XVIII.O of the Order, and (c) Respondent and/or its lessees, sublessees, successors, or assigns comply with the requirements of the Site Management Plan, if any. Nonetheless, the Department hereby reserves all of its rights concerning, and such release and covenant not to sue shall not extend to, natural resource damages or to any further investigation or remedial action the Department deems necessary due to:
• migration off-Site of MGP-Site Contaminants resulting in impacts that are not inconsequential to environmental resources, to human health, or to other biota and to off-Site migration of petroleum;
• a finding by the Department that a change in an environmental standard, factor, or criteria upon which a remedial work plan was based renders the remedial program implemented at the Site no longer protective of public health or the environment for the Site’s current, intended and reasonably anticipated use, and Respondent is not in good faith negotiating, and/or following its approval by the Department, implementing a work plan to achieve conditions at the Site which are protective of public health or the environment for the Site’s current, intended and reasonably anticipated use;
• a change in the Site’s use subsequent to the Department’s issuance of this Release and Covenant Not to Sue to a more restrictive land use as described in the hierarchy set forth at 6 NYCRR 375-1.8(g)(3), unless additional remediation is undertaken which shall meet the standard for protection of the public health and environment applicable to such use per 6 NYCRR Part 375;
• Respondent's failure to implement the Order at such Site to the Department's satisfaction; or
• fraud committed by Respondent in entering into or implementing this Order.
Additionally, the Department hereby reserves all of its rights concerning and any such release and covenant not to sue shall not extend to Respondent nor to any of Respondent's lessees, sublessees, successors, or assigns who cause or allow a release or threat of release at the Site of any hazardous substance (as that term is defined at 42 USC 9601[14]) or petroleum (as that term is defined in Navigation Law § 172[15]), other than MGP-Site Contamination; or cause or allow the use of the Site to change from the current use to one requiring a lower level of residual contamination before that use can be implemented with sufficient protection of human health and the environment; nor to any of Respondent's lessees, sublessees, successors, or assigns who are otherwise responsible under law for the remediation of the MGP-Site Contamination independent of any obligation that party may have respecting same resulting solely from the Order's execution.
Notwithstanding the above, however, with respect to any claim or cause of action asserted by the Department, the one seeking the benefit of this release and covenant not to sue shall bear the burden of proving that the claim or cause of action, or any part thereof, is attributable solely to MGP-Site Contamination and is not subject to the qualifiers and reopeners set forth herein.
Notwithstanding any other provision in this release, covenant not to sue, and forbearance:
• if with respect to the Site there exists or may exist a claim of any kind or nature on the part of the New York State Environmental Protection and Spill Compensation Fund against any party, nothing in this letter shall be construed or deemed to preclude the State of New York from recovering such claim;
• except as provided in this letter and the Order, nothing contained in this letter or the Order shall be construed as barring, diminishing, adjudicating, or in any way affecting any of the Department's rights (including, but not limited to, the right to recover natural resources damages) with respect to any party, including Respondent;
• nothing contained in this letter shall prejudice any rights of the Department to take any investigatory or remedial action it deems necessary if Respondent fails to comply with the Order or if contamination other than MGP-Site Contamination is encountered at the Site;
• nothing contained in this letter shall be construed to prohibit the Commissioner or his duly authorized representative from exercising any summary abatement powers; and
• nothing contained in this letter shall be construed to affect the Department's right to terminate the Order under the terms of the Order at any time during its implementation if
Respondent fails to comply substantially with the Order's terms and conditions.
In conclusion, the Department is pleased to be part of this effort to return the Site to productive use of benefit to the entire community.
DATED: ______________________
BASIL SEGGOS
COMMISSIONER
NEW YORK STATE DEPARTMENT OF ENVIRONMENTAL CONSERVATION
By:
Director, Division of Environmental Remediation
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Response plan to control and manage the threat of multidrug-resistant gonorrhoea in Europe
Response plan to control and manage the threat of multidrug-resistant gonorrhoea in Europe
This report of the European Centre for Disease Prevention and Control (ECDC) was coordinated and produced by Gianfranco Spitieri and Marta van de Laar, Programme for STIs, including HIV/AIDS and blood-borne infections.
Acknowledgements
We wish to thank the members of the ECDC expert group for the multidrug-resistant gonorrhoea response plan who have contributed to excellent discussions at the expert group meeting on 18 October 2011 and to the preparations of this report:
- Experts in the STI microbiology project: Stephanie Chisholm; Michelle Cole; Cathy Ison (all Health Protection Agency, United Kingdom); Steen Hoffmann, Statens Serum Institute, Denmark; Magnus Unemo, Orebro University Hospital, Sweden;
- Members of the STI coordination group: Osamah Hamouda, Robert Koch Institute, Germany; Gwenda Hughes, Health Protection Agency, United Kingdom; Vasileia Konte, Hellenic Center for Disease Control and Prevention, Greece; Angelika Stary, Ambulatorium für Pilzinfektionen und andere infektiöse venerodermatologische Erkrankungen, Austria; Paola Stefanelli, Istituto Superiore di Sanità, Italy; Inga Velicko, Swedish Institute for Infectious Disease Control, Sweden;
- Invited experts: Chris Bignell, International Union against Sexually Transmitted Infections; Francis Ndowa, World Health Organization, Geneva; Ari Poder, International Union against Sexually Transmitted Infections.
We also wish to thank the members in the European STI Network for fruitful discussions during the annual STI/HIV network meeting, Stockholm, Sweden, 15 to 16 February 2012.
Contributing ECDC staff: Aino-Maija Aikkinen, Dominique Monnet; Otilia Sfetcu; Marc Struelens
Suggested citation: European Centre for Disease Prevention and Control. Response plan to control and manage the threat of multidrug-resistant gonorrhoea in Europe. Stockholm: ECDC; 2012.
Stockholm, June 2012
ISBN 978-92-9193-375-4
doi 10.2900/60053
Cover photo: © Nathan Reading
© European Centre for Disease Prevention and Control, 2012
Reproduction is authorised, provided the source is acknowledged.
Contents
Abbreviations ........................................................................................................................................... iv
Background ............................................................................................................................................. 1
Resistance in gonorrhoea ......................................................................................................................... 1
European Gonococcal Antimicrobial Surveillance Programme .......................................................... 1
Public health response ............................................................................................................................ 3
Objectives of the response plan .............................................................................................................. 3
Components of the response plan .......................................................................................................... 3
1 Strengthening antimicrobial surveillance ............................................................................................ 4
1.1 A strategy for expanding Euro-GASP .......................................................................................... 4
1.2 National antimicrobial surveillance ............................................................................................. 4
1.3 Training ....................................................................................................................................... 5
1.4 Improving data completeness and timeliness ............................................................................. 6
2 Clinical management and treatment failure monitoring ..................................................................... 7
2.1 Clinical management .................................................................................................................. 7
2.2 Case definitions for antibiotic treatment failure ........................................................................ 7
2.3 Mechanisms for reporting of treatment failures ......................................................................... 9
3 Communication strategy ..................................................................................................................... 10
4 Monitoring the effectiveness of the response plan ........................................................................... 11
References .............................................................................................................................................. 13
Annex 1. Template for report of treatment failure ............................................................................... 14
Annex 2. Letter to clinicians .................................................................................................................. 16
Annex 3. Facts in brief ............................................................................................................................ 17
Annex 4: Fact sheet ............................................................................................................................... 18
| Abbreviation | Description |
|--------------|-------------|
| AMR | Antimicrobial resistance |
| EEA | European Economic Area |
| EPIS | Epidemic Intelligence Information System |
| EQAS | External quality assurance scheme |
| EU | European Union |
| Euro-GASP | European Gonococcal Antimicrobial Surveillance Programme |
| HIV | Human immunodeficiency virus |
| HPA | Health Protection Agency, UK |
| IUSTI | International Union against Sexually Transmitted Infections |
| MDR NG | Multidrug-resistant *Neisseria gonorrhoeae* |
| MSM | Men who have sex with men |
| NAAT | Nucleic acid amplification test |
| STI | Sexually transmitted infections |
| SW | Sex workers |
| TESSy | The European Surveillance System |
| UK | United Kingdom |
Background
Resistance in gonorrhoea
With 32,028 cases, gonorrhoea was the second most commonly reported bacterial STI in Europe in 2010 [1]. Gonorrhoea is a serious public health problem as untreated infections may lead to severe secondary sequelae, including pelvic inflammatory disease, first trimester abortions, ectopic pregnancy, and infertility [2]. *N. gonorrhoeae* infections also play a role in facilitating HIV transmission [3]. The average cost per case of gonorrhoea has been estimated to be 266 USD for women and 53 USD for men [4]. Successful treatment of cases reduces the risk of complications, but also serves as the main public health strategy for reducing transmission.
Over the past decades, *N. gonorrhoeae* has developed resistance to several antimicrobial drugs such as sulphonamides, penicillin, tetracyclines and quinolones. Current treatment guidelines in most European countries recommend the use of single-dose injectable (ceftriaxone) or oral (cefixime) third-generation cephalosporins [5]. The first treatment failures connected to less potent third-generation cephalosporins were reported in Japan in 2000 [6]. Subsequently, further cases of treatment failure were reported from other countries [7]. A recent report described the first two treatment failures with cefixime in the EU/EEA (2010 in Norway [8]), followed by three cases of treatment failure in England [9, 10] and one case in Austria in 2011 [11]. The recent report of a highly ceftriaxone-resistant *N. gonorrhoeae* strain H041 in Japan [12] triggered worldwide concerns as ceftriaxone is the last remaining option for empirical first-line treatment. Ceftriaxone treatment failure of pharyngeal gonorrhoea [13] has been recently reported in Sweden; the first case of genital infection of highly ceftriaxone-resistant *N. gonorrhoeae* in Europe was reported in France in 2011 [14]. A suspected ceftriaxone-resistant strain has also been reported from Spain [15]. The *in vitro* susceptibility to cefixime has also rapidly decreased, and results from the European gonococcal antimicrobial surveillance programme (Euro-GASP) show that susceptibility to ceftriaxone is decreasing [16–19]. *N. gonorrhoeae* also seems to retain resistance to several classes of antimicrobials, even when the antimicrobials in question were discontinued.
In recent years, nucleic acid amplification tests (NAATs) have increasingly been replacing culture as a diagnostic test for gonorrhoea across Europe. Although NAATs are generally more sensitive and quicker than culture, this has resulted in the loss of expertise and capacity in a number of countries to perform culture and antimicrobial resistance (AMR) testing. This move towards an increased use of NAATs has therefore resulted in a lack of AMR data in a number of EU/EEA countries. The lack of use of commercially available transport medium which is suitable both for NAAT and culture retrieval is of serious concern and jeopardises the possibility of producing national AMR profiles for gonococci to inform treatment guidelines.
This lack of AMR data implies that national authorities and professional medical associations may not be able to develop appropriate treatment guidelines for gonorrhoea. This is particularly relevant when alternative therapies for cephalosporin-resistant *M. gonorrhoeae* are becoming more and more limited.
European Gonococcal Antimicrobial Surveillance Programme
The European Gonococcal Antimicrobial Surveillance Programme (Euro-GASP) has been set up to inform public health and treatment guidelines on AMR testing results in EU/EEA countries and reports on trends in gonococcal AMR across Europe [16]. These data are crucial for optimisation of treatment and to detect emerging resistance. Euro-GASP is implemented as a sentinel surveillance system through the European STI expert network and involves a network of laboratories in Member States. Euro-GASP includes AMR testing twice a year, an external quality assessment programme, and training for laboratory staff.
Table 1 shows the main results from Euro-GASP 2010. The most worrying result is the increase in the percentage of isolates with decreased susceptibility to cefixime and the increase in the number of countries where this phenotype was identified between 2009 and 2010. Patient characteristics of isolates with decreased susceptibility did not differ greatly when compared to the overall population, except for age: patients with decreased susceptibility to cefixime were more likely to be older. Rates of ciprofloxacin and azithromycin resistance have both decreased since 2009, but remain high across Europe (53% and 7%, respectively). Between 2009 and 2011, the external quality assessment programme has consistently shown high comparability between participants, which in turn gives confidence with respect to gonococcal antimicrobial susceptibility data from Euro-GASP [16].
Table 1: Key results from Euro-GASP in 2009 and 2010
| | 2009 | 2010 |
|--------------------------------------|------|------|
| Number of participating countries | 17 | 21 |
| Number of isolates tested | 1471 | 1766 |
| Percentage of isolates with decreased susceptibility to cefixime (MIC > 0.12 mg/L) | 4% | 9% |
| Number of countries where decreased susceptibility to cefixime was detected | 10 | 17 |
Figure 1: Decreased susceptibility to cefixime (MIC > 0.12mg/L) and reported cefixime treatment failures, 2010
- No decreased susceptibility
- Less than 5% decreased susceptibility
- More than 5% decreased susceptibility
Reports of treatment failures 2010 (5), 2011 (2)
The rapid increase and spread of decreased susceptibility to cefixime is extremely concerning as this is a recommended therapy for gonorrhoea across Europe, as is ceftriaxone. Euro-GASP has also detected increases from 2009 onwards in the higher MIC categories for ceftriaxone, which could be due to the molecular mechanisms that confer decreased susceptibility to cefixime also conferring decreased susceptibility to ceftriaxone. The lack of alternative therapies, decreasing susceptibility to the cephalosporins, and numbers of treatment failures across Europe show that the gonococcal population needs to be monitored carefully, and a European public health response plan needs to be developed, as the loss of both cefixime and ceftriaxone as treatment options for gonorrhoea would have a significant impact on public health.
Public health response
Objectives of the response plan
This response plan is designed to contribute to preventing the spread of multidrug-resistant *Neisseria gonorrhoeae* (MDR NG) in the EU/EEA in the context of the possible emergence of untreatable gonorrhoea. MDR NG is defined as by Tapsall et al [20]. The plan details the response at European level and is designed as a guide for Member States when planning national interventions.
The main goal of the public health response plan is to minimise the impact of MDR NG on the prevention and control of gonorrhoea in Europe.
Specific objectives include:
- Strengthening the surveillance of gonococcal antimicrobial susceptibility in the EU/EEA Member States to inform national treatment guidelines;
- Ensuring that a minimum capacity for culture and susceptibility testing in EU/EEA Member States is either available or developed;
- Establishing a strategy to rapidly detect patients diagnosed with gonorrhoea who experience a clinical treatment failure following treatment with recommended cephalosporins, including the clinical management of affected patients and their sexual partners;
- Outlining a set of recommended public health actions to be implemented at the national level, following the detection of MDR NG cases; and
- Increasing the awareness of policy makers, clinicians, patients, and key populations.
Components of the response plan
The response plan strives to support Member States to develop and implement national interventions to control the threat of multidrug-resistant gonorrhoea in a multidisciplinary approach. The public health response has the following components:
- Strengthening surveillance to obtain AMR profiles in a timely manner and with sufficient epidemiological information to inform national interventions;
- Implementing treatment failure monitoring to inform national and international authorities and professional societies in order to develop treatment guidelines and design national interventions; and
- Establishing a communication strategy to increase awareness and disseminate the results from AMR surveillance in order to inform authorities, professional societies, physicians, and potential patients about the threat of multidrug-resistant gonorrhoea.
1 Strengthening antimicrobial surveillance
1.1 A strategy for expanding Euro-GASP
It is imperative that AMR testing results for *N. gonorrhoeae* isolates are obtained from all EU/EEA countries to inform the AMR profiles to be able to develop appropriate treatment guidelines. Given the movement of strains across Europe, a Europe-wide approach is essential in order to detect and monitor resistant strains and thus informs European treatment guidelines. Appropriate treatment must be administered to ensure successful patient management and to interrupt transmission. Without proper *N. gonorrhoeae* AMR data it is difficult to ascertain whether the correct treatment options are available in a country; inappropriate treatment can lead to the emergence of resistance, increased patient morbidity, increased acquisition of HIV, and an overall bigger cost burden to the healthcare system.
In 2011, 21 out of 30 EU/EEA countries participated in Euro-GASP. The reasons for non-participation are primarily the lack of available cultures to refer to Euro-GASP (due to the use of NAATs), the differences in diagnostic procedures in STI clinics, and the lack of resources for performing culture. Participation from central and eastern EU/EEA countries should be improved, as very limited information is available on the AMR profile in these countries. In some countries, antimicrobial drugs seem to be easily available without prescription and the use of suboptimal medication as a second-line treatment seems to be common [21]. These factors increase the risk of emergence of MDR NG. Expanding Euro-GASP to more countries is therefore important to further control emergence and spread of MDR NG strains in Europe.
ECDC has developed a strategy to enable individual Member States to join Euro-GASP in 2012 and 2013 by focusing on capacity building through the involvement of public health STI experts, STI clinics and laboratories. A suitable specimen collection and laboratory protocol will be developed through international cooperation. ECDC will provide training to STI laboratory staff if needed. Participation in the external quality assessment programme is part of the capacity building strategy in order to gain valid and comparable susceptibility data to reliably detect emerging resistance and optimise patient management. Capacity building will ensure that participating laboratories produce unbiased and comparable data. A further goal is the harmonisation of the methods and interpretative criteria.
**Actions**
- Inclusion of two additional Member States in Euro-GASP 2012.
- Ensuring that all Euro-GASP laboratories participate in the EQA programme.
- Ensuring further dissemination of Euro-GASP results though the members of the European STI network.
**Indicators**
- Number of countries participating in Euro-GASP.
- Number of isolates reported through Euro-GASP.
- Number of laboratories participating in the EQA programme.
1.2 National antimicrobial surveillance
Euro-GASP provides important data at the European level but is dependent on national gonococcal surveillance systems or on specimen collection specifically designed for Euro-GASP participation. The increased use of NAAT as the principal diagnostic method in many countries has made it difficult for many countries to obtain samples for culture and susceptibility testing.
Countries may consider the use of different strategies for effective AMR gonococcal surveillance at the national level. The following strategies are helpful when setting up a national AMR surveillance system:
- Establishment of a national platform involving all professional societies and disciplines involved in the prevention and control of gonorrhoea at the national level. The platform will allow for expert discussion, review of the current situation and facilitates public health action and decision making. Public health authorities could lead the platform and involve decision making staff. The national platform would also offer the opportunity to rapidly disseminate national AMR results from Euro-GASP and thus ensure the further dissemination of these results.
• As a minimum measure, Member States should encourage links between clinicians providing STI services; local, regional and national laboratories; surveillance institutes; and public health authorities to facilitate communication and promote surveillance and response to MDR NG.
• The capacity to perform culture has decreased in a number of countries with the increasing use of NAAT. Member States should assess their capacity for culture and susceptibility testing and identify the minimum level of capacity needed to perform culture and susceptibility testing for sentinel surveillance purposes. A small network of clinics with laboratories could be formed to allow specimen collection through the development of referral pathways. Alternatively, networks could be established by laboratories that perform culture thus ensuring that these laboratories collect clinical data. Such networks could function as sentinel sites for surveillance purposes. Additionally, countries could invest in increasing the capacity for culture. Training and technical support is available from ECDC for supporting such assessments and establishing these programmes.
• Countries should consider the development of national sentinel surveillance programmes to monitor antimicrobial susceptibility. Laboratories participating in these programmes should perform culture and susceptibility testing on a proportion of samples. Such sentinel systems could allow countries to collect data which inform the development of treatment guidelines and also make it possible to participate in Euro-GASP.
• Surveillance activities at the national level should be facilitated by the implementation of transport media which allow both NAAT and subsequent culturing. Such media would enable countries to use NAAT as the primary diagnostics tool, and still culture NAAT-positive samples, thus eliminating the need for additional samples.
• In addition to AMR surveillance activities, countries could be encouraged to perform surveys in order to determine the various prescribed gonorrhoea treatments. These surveys would help the interpretation of AMR data and guide sensitization activities conducted among prescribers.
**Actions at the national level**
• Promoting the establishment of a national platform for expert consultation across different disciplines involved in gonorrhoea control.
• Developing and implementing a national sentinel gonococcal antimicrobial susceptibility programme (GASP) which provides information on a limited number of gonococcal isolates against a panel of antimicrobials linked to the epidemiological characteristics of the patient.
• Ensuring specimen collection for GASP thorough a small network of laboratories or a system of transferring samples to a reference laboratory (minimum requirement).
• Supporting the implementation at the national level of transport media for gonococci which allow dual usage of NAAT and subsequent culture and antimicrobial susceptibility testing.
**Indicators**
• National (sentinel) GASP in place.
• Proportion of all STI clinics (sentinel sites) that have access to culture and antimicrobial susceptibility testing.
• Proportion of all (reported) gonorrhoea cases tested with culture and with antimicrobial susceptibility results available.
### 1.3 Training
ECDC continues to offer STI laboratory training modules for STI laboratory staff in EU/EEA Member States in order to enhance the capacity to perform culture and antimicrobial susceptibility services. Training on sampling and treatment failure should be provided for healthcare providers at national level.
**Actions**
• Providing ECDC laboratory training modules to a number of Member States.
• Countries offering training for laboratories and/or clinicians at the national level.
**Indicators**
• Number of countries participating (or have participated) in the ECDC laboratory training modules.
• Number of countries offering national training modules (laboratory and/or clinical).
1.4 Improving data completeness and timeliness
AMR surveillance could be further improved by including epidemiological data linked to gonococcal isolates to understand the key populations at risk of emerging MDR NG. This would also help to target control measures at national and international levels.
Reporting of epidemiological variables, including specimen site, sex, age, sexual orientation, previous infections and concurrent STI diagnosed is important to understand the spread of infection. The completeness of this data in Euro-GASP 2009 and 2010 (annual reports) is low and the number of Member States reporting these variables needs to be increased.
The need for complete data should be discussed at the national level. Different methods need to be considered in order to improve the current situation; one available option is the development of a national form for reporting the epidemiological characteristics (within the sentinel surveillance context) together with detailed AMR results at the national level.
Collection of information on the presence or absence of symptoms needs to be considered. This would allow the monitoring of trends for symptomatic and asymptomatic cases separately, particularly in women, and thus help distinguish the spread of the disease from the strengthening of screening due to the growing use of NAAT for the diagnosis of gonorrhoea.
Additionally, the representativeness of Euro-GASP results needs to be assessed in order to ensure that Euro-GASP specimens (currently originating mainly from male patients and with specimens mainly of genital origin [22]) are representative of the epidemiological trends in a country.
Timely reporting of AMR and epidemiological data is essential in order to quickly identify emerging trends. Laboratories and epidemiologists participating in Euro-GASP will be encouraged to upload their national AMR and epidemiological data in a timely manner. ECDC will provide support and training for uploading data to The European Surveillance System’ (TESSy).
Actions
- Improving the completeness of epidemiological characteristics at national level.
- Assessing the representativeness of Euro-GASP in 2012–2013.
- Ensuring that AMR and epidemiological data are reported in a timely manner to TESSy.
- Assessing the time required for Euro-GASP reports and recommending improvements.
Indicators
- Proportion of countries reporting epidemiological characteristics in Euro-GASP.
- Indicators for improving representativeness developed following the first assessment.
- Completeness of Euro-GASP data with respect to key epidemiological characteristics.
- Time interval between Euro-GASP sample collection period and publication of Euro-GASP reports (interim and final).
2 Clinical management and treatment failure monitoring
2.1 Clinical management
Clinicians have a crucial role in preventing the spread of antimicrobial resistance through appropriate clinical management, partner notification services, and reporting cases of treatment failure. Clinicians who identify patients with suspected cephalosporin treatment failure need to request culture and susceptibility testing of relevant clinical specimens and report the case to local public health authorities.
Close collaboration between the clinicians, laboratories and local public health authorities is essential in order to ensure that cases with probable or confirmed treatment failure are appropriately investigated and treated. Close coordination is also necessary to ensure that partners are being notified, investigated and treated appropriately. Clinicians noticing clusters of treatment failures should also be encouraged to report to local public health authorities so that appropriate investigations and interventions can be undertaken. Local or regional health authorities should contact national authorities (particularly the STI departments managed by formal STI focal points) who can then share data on such cases at the European level.
In order to collect accurate and comparable data, we suggest case definitions for treatment failures (see below). For keeping track of treatment failure in a country, a structured collection of clinical and epidemiological information is suggested and needs to be implemented at country level. Annex 1 includes a proposed reporting form with the variables that will be collected on probable and confirmed cases of treatment failure. The data collected through this system will inform the development of national and European treatment guidelines.
European clinical management guidelines are currently under revision by IUSTI. Current guidelines provide indications for performing a test of cure, for example: persistence of symptoms; re-exposure of infection; possible AMR resistance to therapy; national or local practice; pharyngeal infection [5]. The growing number of reports of gonorrhoea treatment failures and third-generation cephalosporin MICs should be reason enough for countries to consider test-of-cure cultures for all gonorrhoea cases. Countries need to ensure that patients with persisting symptoms after treatment are evaluated by culture and that gonococcal isolates are tested for antimicrobial susceptibility. Updated guidelines are also needed for the management of gonorrhoea treatment failures. These guidelines should include alternative regimens in case of multidrug resistance.
Action
- ECDC and IUSTI to review guidance on the management of gonorrhoea treatment failures and recommendations for a test of cure.
Indicators
- Gonorrhoea patient management guidelines reviewed and revised.
- Number of countries recommending culture and antimicrobial susceptibility testing for cases of suspected treatment failure.
2.2 Case definitions for antibiotic treatment failure
Cases of suspected treatment failure are of considerable importance. The review and verification of such an event and subsequent initiation of adequate public health responses requires close collaboration between clinicians, laboratory staff and public health authorities.
A combination of appropriate clinical observations and laboratory examinations are required to verify treatment failures with recommended cephalosporin treatment regimens.
A patient who fulfils all criteria described in Table 2 is defined as a confirmed case of treatment failure.
Table 2: Working case definition for confirmed treatment failure: clinical and laboratory criteria
| | Description |
|---|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 1 | A gonorrhoea patient who returns for test of cure or who has persistent genital symptoms after having received treatment for laboratory-confirmed gonorrhoea with a recommended cephalosporin regimen (ceftriaxone or cefixime in appropriate dose) AND |
| 2 | remains positive for one of the following tests for *N. gonorrhoeae*:
• presence of intracellular Gram-negative diplococci on microscopy taken at least 72 hours after completion of treatment;
OR
• isolation of *N. gonorrhoeae* by culture taken at least 72 hours after completion of treatment;
OR
• positive nucleic acid amplification test (NAAT) taken two to three weeks after completion of treatment
AND |
| 3 | denies sexual contact during the post-treatment follow-up period AND |
| 4 | decreased susceptibility to cephalosporin used for treatment*:
• cefixime: MIC>0.12 mg/L/**
• ceftriaxone: MIC>0.12 mg/L/** |
* Ideally, the pre- and post-treatment isolates should be examined with an appropriate and highly discriminatory molecular epidemiological typing method (to confirm an identical strain) and with genetic methods (to confirm the resistance determinants in order to show that the strain is truly resistant).
** These thresholds are in accordance with EUCAST tentative breakpoints.
The MIC breakpoints for intermediate susceptibility and resistance to cefixime and ceftriaxone are tentative due to the lack of sufficient clinical data. Accordingly, treatment failures, in particular of pharyngeal gonorrhoea, may occur with *N. gonorrhoeae* isolates that show MICs below the breakpoints given in Table 2. Thus, the working case definition for possible treatment failure, which is described in Table 3, does not take into account the MIC value of the *N. gonorrhoeae* strains suspected to cause the clinical failure. In these instances it is important that MIC values are determined, recorded and reported in order to identify treatment failures occurring below the described breakpoints.
Table 3: Working case definition for probable treatment failure: clinical and laboratory criteria
| | Description |
|---|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 1 | A gonorrhoea patient who returns for test of cure or who has persistent genital symptoms after having received treatment for laboratory-confirmed gonorrhoea with a recommended cephalosporin regimen (ceftriaxone or cefixime in appropriate dose) AND |
| 2 | remains positive for one of the following tests for *N. gonorrhoeae*:
• presence of intracellular Gram-negative diplococci on microscopy taken at least 72 hours after completion of treatment;
OR
• isolation of *N. gonorrhoeae* by culture taken at least 72 hours after completion of treatment; or
• positive nucleic acid amplification test (NAAT) taken two to three weeks after completion of treatment
AND |
| 3 | denies sexual contact during the post-treatment follow-up period |
Actions
- Ensuring national agreement of the above case definitions.
- Dissemination of the case definitions to all EU/EEA Member States.
- Encouraging the dissemination of the case definitions at the national level.
Indicator
- Number of countries adopting the case definitions for gonorrhoea treatment failure.
2.3 Mechanisms for reporting of treatment failures
Standardised clinical and epidemiological data of treatment failures should be collected and reported in a timely manner at the national level. Although Euro-GASP provides an overview of antimicrobial-resistant gonococci in the EU, there is a need for developing a reporting mechanism that functions as an (inter)national reporting system for treatment failures, with the possibility to distinguish between probable and confirmed cases.
The reporting of treatment failures within the European STI expert network will contribute to a better understanding of the spread of MDR NG across Europe and will facilitate the European response, particularly at a time of pressure on public health services. Furthermore, it will provide more accurate data to establish clinical breakpoints.
Cases of probable and confirmed treatment failure (in accordance with the case definitions as outlined above) should be reported through the Epidemiological Intelligence Information System for STI (EPIS-STI), an online application which allows the secure exchange of information and data between the members of the European STI expert network. A template for reporting is included in Annex 1.
The algorithm below shows the sequence of steps when a clinician detects a treatment failure. This will allow clinicians and public health services at the national or international level to monitor the spread of resistant gonorrhoea in a timely manner, recognize factors leading to AMR, identify populations associated with increased AMR, and facilitate further control interventions.
**Actions**
- Agreement with experts on the reporting template for probable and confirmed treatment failures.
- Further developing EPIS-STI in order to facilitate the reporting of cases of treatment failure.
**Indicators**
- Number of countries implementing treatment failure monitoring.
- Number/proportion of cases of treatment failure reported in EPIS-STI (and in publications).
- Number/proportion of treatment failures reported in EPIS-STI using the agreed reporting template.
**Figure 2: Flowchart for the reporting of probable and confirmed treatment failure**
Collaboration between clinicians, laboratories and public health institutes is essential at the national level.
3 Communication strategy
It is essential to increase the awareness of the threat connected to the emergence of cephalosporin-resistant *N. gonorrhoeae* in a number of groups:
- Engaging politicians and policy makers in order to prioritise the issue and ensure that resources are available for culture and susceptibility testing.
- Awareness among clinicians and other healthcare providers is needed in order to ensure optimal patient treatment and to enable the early identification of treatment failures. This can be achieved through direct communication with clinicians and microbiologists (see templates for a letter and fact sheets in Annexes 2 and 3) or through publications in national medical journals with a wide readership.
- The importance of maintaining the capacity of culturing *N. gonorrhoeae* and conducting antimicrobial susceptibility testing needs to be emphasised to microbiologists and laboratory staff in order to ensure that AMR data will remain available.
- People at increased risk for acquiring MDR NG (e.g., men who have sex with men, sex workers, and youths) need to be aware of the threat of resistant gonorrhoea. Prevention messages should be targeted at these groups. This can be achieved by distributing leaflets in dedicated clinical settings.
The timely dissemination of surveillance information to those who plan public health programmes and those who develop local, regional and national policies will ensure an optimal response to the threat of MDR NG.
A communication strategy can be developed at the national level and discussed within the multidisciplinary platform suggested above. It is important to engage clinicians, laboratories, professional societies and public health authorities in the development and agreement. As a minimum measure, a communication strategy should contain a plan for the dissemination of the most recent data on gonorrhoea and AMR patterns.
**Actions**
- Establish a communication strategy at national level.
- Producing a template for a letter to medical professionals and adjusting it to national standards.
- Producing a fact sheet on multidrug-resistant *N. gonorrhoea* (templates provided) for publication at national level.
- Encouraging and supporting Member States in writing publications on the threat of cephalosporin-resistant *N. gonorrhoeae* for national and international medical journals.
**Indicator**
- Number of countries with a national communication strategy.
- Number of national and international publications/communications on MDR NG.
4 Monitoring the effectiveness of the response plan
Monitoring the effectiveness of the response plan can be done at national but also at European level. To monitor the response at national level, the table below could be used or adapted to local and national needs. It includes the main components of the public health response plan.
**Table 4: Monitoring and evaluation, selected indicators at the national level**
| Component | Indicator | Achieved yes/no | Strength | Weakness | Comments |
|----------------------------|---------------------------------------------------------------------------|-----------------|----------|----------|----------|
| **Strengthen surveillance**| National GASP in place | | | | |
| | Sentinel network established | | | | |
| | National platform established | | | | |
| | Assessment of laboratory capacity | | | | |
| **Clinical management** | Case definitions agreed and implemented | | | | |
| | National treatment failure reporting | | | | |
| **Communication strategy** | National communication plan agreed | | | | |
| | Fact sheet adjusted and disseminated | | | | |
ECDC will monitor the indicators in order to measure the effectiveness of the response plan (SMART indicators).
**Table 5: Selected indicators to be monitored at international level**
| Component | Indicator | Indicator achieved/progress | Strength | Weakness | Comments |
|----------------------------|---------------------------------------------------------------------------|------------------------------|----------|----------|----------|
| **Strengthen surveillance**| Number of countries participating in Euro-GASP | | | | |
| | Number of isolates reported through Euro-GASP | | | | |
| | Number of laboratories participating in Euro-GASP EQA | | | | |
| | Number of countries participated in the laboratory training | | | | |
| | Number of countries offering national training modules (laboratory and/or clinical) | | | | |
| Component | Indicator | Indicator achieved/progress | Strength | Weakness | Comments |
|--------------------|---------------------------------------------------------------------------|---------------------------------------------------------------------------------------------|----------|----------|----------|
| | Proportion of countries reporting epidemiological characteristics in Euro-GASP | | | | |
| | Completeness of Euro-GASP data for key epidemiological characteristics | | | | |
| | Time between Euro-GASP data collection and publication of interim and annual report | | | | |
| Clinical management| Gonorrhoea guidelines reviewed and revised | | | | |
| | Number of countries recommending culture and AMR testing for cases of suspected treatment failure | | | | |
| | Number of countries adopting the case definitions for gonorrhoea treatment failure | | | | |
| | Number of countries implementing treatment failure monitoring | | | | |
| Communication strategy | Number/proportion of cases of treatment failure reported in EPIS-STI (using the template) | | | | |
| | Number of national publications or communications on MDR NG | | | | |
References
1. Sexually transmitted infections in Europe 1990–2010. In: Stockholm: ECDC; 2012.
2. Westrom L: Incidence, prevalence, and trends of acute pelvic inflammatory disease and its consequences in industrialized countries. *Am J Obstet Gynecol* 1980, 138(7 Pt 2):880-892.
3. Laga M, Manoka A, Kivuvu M, Malele B, Tuliza M, Nzila N, Goeman J, Behets F, Batter V, Alary M *et al*.: Non-ulcerative sexually transmitted diseases as risk factors for HIV-1 transmission in women: results from a cohort study. *AIDS* 1993, 7(1):95-102.
4. Chesson HW, Blandford JM, Gift TL, Tao G, Irwin KL: The estimated direct medical cost of sexually transmitted diseases among American youth, 2000. *Perspectives on sexual and reproductive health* 2004, 36(1):11-19.
5. Bignell C: 2009 European (IUSTI/WHO) guideline on the diagnosis and treatment of gonorrhoea in adults. *Int J STD AIDS* 2009, 20(7):453-457.
6. Akasaka S, Murata T, Yamada Y, Inatomi H, Takahashi K, Matsumoto T: Emergence of cephem- and aztreonam-high-resistant Neisseria gonorrhoeae that does not produce beta-lactamase. *J Infect Chemother* 2001, 7(1):49-50.
7. Tapsall JW: Neisseria gonorrhoeae and emerging resistance to extended spectrum cephalosporins. *Curr Opin Infect Dis* 2009, 22(1):87-91.
8. Unemo M, Golparian D, Syversen G, Vestreim DF, Moi H: Two cases of verified clinical failures using internationally recommended first-line cefixime for gonorrhoea treatment, Norway, 2010. *Euro Surveill* 2010, 15(47).
9. Ison CA, Hussey J, Sankar KN, Evans J, Alexander S: Gonorrhoea treatment failures to cefixime and azithromycin in England, 2010. *Euro Surveill* 2011, 16(14).
10. Forsyth S, Penney P, Rooney G: Cefixime-resistant Neisseria gonorrhoeae in the UK: a time to reflect on practice and recommendations. *Int J STD AIDS* 2011, 22(5):296-297.
11. Unemo M, Golparian D, Stary A, Eigentler A: First Neisseria Gonorrhoeae Strain With Resistance to Cefixime Causing Gonorrhoea Treatment Failure in Austria. *Eurosurveillance* 2011, 16(43).
12. Ohnishi M, Golparian D, Shimuta K, Saika T, Hoshina S, Iwasaku K, Nakayama S, Kitawaki J, Unemo M: Is Neisseria gonorrhoeae initiating a future era of untreatable gonorrhoea?: detailed characterization of the first strain with high-level resistance to ceftriaxone. *Antimicrob Agents Chemother* 2011, 55(7):3538-3545.
13. Unemo M, Golparian D, Hestner A: Ceftriaxone treatment failure of pharyngeal gonorrhoea verified by international recommendations, Sweden, July 2010. *Euro Surveill* 2011, 16(6).
14. Unemo M, Golparian D, Nicholas M, Ohnishi R, Gallay A, Sednaoui P: High-level cefixime- and ceftriaxone-resistant N. gonorrhoeae in Europe (France): novel penA mosaic allele in a successful international clone causes treatment failure. *Antimicrob Agents Chemother* 2011.
15. Carriñer-Pont D, Smithson A, Finà-Homar E, Bastida MT: First cases of Neisseria gonorrhoeae resistant to ceftriaxone in Catalonia, Spain, May 2011. *Enferm Infecc Microbiol Clin* 2012.
16. Cole MJ, Unemo M, Hoffmann S, Chisholm SA, Ison CA, van de Laar MJ: The European gonococcal antimicrobial surveillance programme, 2009. *Euro Surveill* 2011, 16(42).
17. Monfort L, Caro V, Devaux Z, Delannoy AS, Brisse S, Sednaoui P: First neisseria gonorrhoeae genotyping analysis in france: identification of a strain cluster with reduced susceptibility to Ceftriaxone. *J Clin Microbiol* 2009, 47(11):3540-3545.
18. Golparian D, Hellmark B, Fredlund H, Unemo M: Emergence, spread and characteristics of Neisseria gonorrhoeae isolates with in vitro decreased susceptibility and resistance to extended-spectrum cephalosporins in Sweden. *Sex Transm Infect* 2010, 86(6):454-460.
19. Cole MJ, Chisholm SA, Hoffmann S, Stary A, Lowndes CM, Ison CA: European surveillance of antimicrobial resistance in Neisseria gonorrhoeae. *Sex Transm Infect* 2010, 86(6):427-432.
20. Tapsall JW, Ndowa F, Lewis DA, Unemo M: Meeting the public health challenge of multidrug- and extensively drug-resistant Neisseria gonorrhoeae. *Expert Rev Anti Infect Ther* 2009, 7(7):821-834.
21. Unemo M, Shipitsyna E, Domeika M: Recommended antimicrobial treatment of uncomplicated gonorrhoea in 2009 in 11 East European countries: implementation of a Neisseria gonorrhoeae antimicrobial susceptibility programme in this region is crucial. *Sex Transm Infect* 2010, 86(6):442-444.
22. Sexually transmitted infections in Europe 1990–2009. In: Stockholm: ECDC; 2011.
Annex 1.
Template for report of treatment failure
Alert concerning *Neisseria gonorrhoeae* treatment failure
Reporting form
**Please read the following instructions:**
This form should be completed when a case of probable or confirmed *N. gonorrhoeae* treatment failure is identified at national level. **It is important that the form is submitted in a timely manner, so kindly report even if some data are not yet available.**
The form can be updated when additional confirmation or epidemiological information becomes available.
- Please complete one report form for each treatment failure detected.
- Please attach this report form by a notification in EPI-NTI within two weeks of being informed of the treatment failure.
### 1. General information
| Reporter details | |
|------------------|---|
| Name | |
| Country reporting| |
| Name of reporting centre | |
| Telephone | Email: |
### Treatment failure classification
- [ ] Probable treatment failure
- [ ] Confirmed treatment failure
**Case definition for probable treatment failure:**
A gonorrhoea patient who returns for test of cure or who has persistent genital symptoms after having received treatment for laboratory-confirmed gonorrhoea with a recommended cephalosporin regimen (ceftriaxone or cefixime in appropriate dose) AND remains positive for one of the following tests for *N. gonorrhoeae*:
- presence of intracellular Gram-negative diplococci on microscopy taken at least 72 hours after completion of treatment;
OR
- isolation of *N. gonorrhoeae* by culture taken at least 72 hours after completion of treatment;
OR
- positive nucleic acid amplification test (NAAT) taken two to three weeks after completion of treatment
AND denies sexual contact during the post-treatment follow-up period.
**Case definition for confirmed treatment failure:**
A gonorrhoea patient who returns for test of cure or who has persistent genital symptoms after having received treatment for laboratory-confirmed gonorrhoea with a recommended cephalosporin regimen (ceftriaxone or cefixime in appropriate dose) AND remains positive for one of the following tests for *N. gonorrhoeae*:
- presence of intracellular Gram-negative diplococci on microscopy taken at least 72 hours after completion of treatment;
OR
- isolation of *N. gonorrhoeae* by culture taken at least 72 hours after completion of treatment;
OR
- positive nucleic acid amplification test (NAAT) taken two to three weeks after completion of treatment
AND denies sexual contact during the post-treatment follow-up period AND decreased susceptibility to cephalosporin used for treatment*:
- cefixime: MIC>0.12 mg/L**
- ceftriaxone: MIC>0.12 mg/L**
Did the patient have any type of sexual contact between the start of treatment and the second visit?
| Description of the event |
|--------------------------|
| Please provide a short description of the circumstances of the event: |
| Date of first notification of the treatment failure to the reporting centre: |
|---------------------------------------------------------------------------|
| Case details |
|--------------|
| Age |
| Gender |
| Sexual orientation |
| Is the case likely to have acquired the infection in the country of diagnosis/reporting? |
| If no, in which country? |
| Diagnostics and treatment – first visit |
|----------------------------------------|
| Was the case symptomatic? |
| Site of infection |
| Date of first visit |
| Which tests at which anatomic sites were used for diagnosis (include results)? |
| If culture was performed, please list available MICs for: |
| Ceftriaxone: |
| Cefixime: |
| Azithromycin: |
| Gentamicin: |
| Ciprofloxacin: |
| Spectinomycin: |
| Other antibiotics tested: |
| What was the treatment prescribed on initial diagnosis (drug, route of administration, dosage)? |
| Diagnostics and treatment – second visit |
|-----------------------------------------|
| Date of return to clinic |
| Which tests at which anatomic sites were used for diagnosis (include results)? |
| If culture was performed, please list available MICs for: |
| Ceftriaxone: |
| Cefixime: |
| Azithromycin: |
| Gentamicin: |
| Ciprofloxacin: |
| Spectinomycin: |
| Other antibiotics tested: |
| What treatment was prescribed following the second visit (drug, route of administration, dosage)? |
| Was a test of cure performed after re-treatment? |
| If yes, which test was used and what was the result? |
| Is any support required from the STI network for further laboratory investigations? |
| Other comments. Please add any information considered relevant on the event or on public health measures taken. |
Annex 2. Letter to clinicians
Dear Colleague,
Antimicrobial resistant gonorrhoea is spreading in the EU/EEA. It is becoming exceedingly difficult to treat, and there is a real possibility that gonorrhoea will become an untreatable infection. Therefore ECDC, in collaboration with international experts, has prepared an EU/EEA response plan to inform and guide clinicians, microbiologists, epidemiologists and public health professionals.
It is imperative that we work together to create heightened awareness of antimicrobial resistance to ensure that treatment failures are quickly detected and treated appropriately. Public health control of gonorrhoea will be a challenge in the coming years, and it is essential that we have a combined approach to combat the problem.
Major steps include:
- the appropriate use of new diagnostic tests;
- sustained knowledge on how to culture *Neisseria gonorrhoeae*;
- the collection of a representative sample of viable isolates;
- the provision of timely surveillance data;
- vigilance for emerging resistance; and
- enhanced prevention measures.
To assist you, we have prepared the enclosed fact sheets on antimicrobial resistance and treatment failure.
Yours sincerely,
Annex 3. Facts in brief
Multidrug-resistant gonorrhoea
Gonorrhoea may soon become an untreatable disease.
Sulphonamides, penicillin, tetracyclines and quinolones are already unsuitable as treatment options due to resistance. Current treatment guidelines in most European countries recommend the use of single-dose injectable (ceftriaxone) or oral third-generation cephalosporins (e.g. cefixime). Treatment is often administered before antimicrobial sensitivity results are available.
There is an increasing number of reports about treatment failures to cefixime and ceftriaxone (Japan, Austria, Norway, UK, France, Spain) and ceftriaxone (Japan, Sweden). Overall, the susceptibility to cefixime (map) and ceftriaxone in Europe is decreasing, and once cefixime and ceftriaxone become unsuitable for treatment, there are no options left for empirical treatment.
Awareness of gonorrhoea treatment failures needs to be increased in the medical community.
At a more practical level, doctors need to:
- comply with treatment regimens and guidelines (often based on the European IUSTI guidelines);
- interact with microbiologists and public health experts after suspected treatment failure;
- ask patients to return for a test of cure more frequently, particularly if at risk for treatment failure; and
- ensure that contacts of gonorrhoea cases are traced and managed appropriately.
Public health efforts should emphasise:
- effective prevention (e.g. condom use);
- the continued availability of culture and susceptibility testing as part of gonorrhoea diagnostics; and
- improved reporting of demographic and behavioural surveillance data for gonorrhoea cases.
For more information, consult the ‘ECDC response plan’ at http://www.ecdc.europa.eu
Map: Decreased susceptibility to cefixime (MIC > 0.12 mg/L) across Europe, 2010
- 15%
- 10–14%
- 5–9%
- No decreased susceptibility
- No participation in Euro-GASP
Non-visible countries
Luxembourg
Malta
Annex 4: Fact sheet
Epidemiological information on multidrug-resistant gonorrhoea
*Neisseria gonorrhoeae* has developed resistance to several antimicrobial drugs over the years. Drugs such as sulphonamides, penicillin, tetracyclines and quinolones are now unsuitable as treatment options. Current treatment guidelines in most European countries recommend the use of single-dose injectable (ceftriaxone) or oral (cefixime) third-generation cephalosporins.
Since 2000, however, treatment failures with the use of third-generation cephalosporins have been reported in Japan. In Europe there were reports of treatment failures with cefixime standard treatment in England and Norway in 2010. In 2011, the first *N. gonorrhoeae* strain with decreased susceptibility to cefixime and subsequent treatment failure was reported in Austria. The recent emergence of the highly ceftriaxone-resistant *N. gonorrhoeae* strain H041 in Japan triggered worldwide concerns as ceftriaxone is the last remaining option for empirical first-line treatment. The first case of genital infection of highly cefixime- and ceftriaxone-resistant *N. gonorrhoeae* in Europe was reported in France and a suspected ceftriaxone-resistant strain was reported in Spain. Ceftriaxone treatment failure of pharyngeal gonorrhoea has been reported in Sweden.
The results from the European Gonococcal Antimicrobial Surveillance Programme (Euro-GASP) have shown that susceptibility to cefixime and ceftriaxone is decreasing in Europe. In 2009, 17 EU/EEA countries participated in Euro-GASP and more than 1300 gonococcal isolates were tested against a panel of relevant antimicrobials. Five percent of the tested isolates had decreased susceptibility to cefixime; decreased susceptibility was detected in 10 countries.
In 2010, decreased susceptibility to cefixime has increased rapidly to nine percent (of over 1700 tested isolates) and is now present in 21 countries, of which 11 reported a decreased susceptibility of more than 5 %. In four countries, decreased susceptibility was above 15 %. A total increase of 4 % was reported over 2009 and 2010.
**Map: Decreased susceptibility to cefixime (MIC > 0.12 mg/L) across Europe, 2010**
- 0-5%
- 5-15%
- 15%
- No decreased susceptibility
- No participation in Euro-GASP
Non-visible countries:
- Luxembourg
- Malta
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1960, the year it finally came about that a HOLLAND CLUB was founded in HOUSTON, TEXAS, after several endeavours to accomplish this fact by various "Dutchmen", of which Dr. Albert van WIJK, was a dedicated pioneer, during the late 40's and thru the 50's. During this time, he was Vice Consul of the Netherlands, this being an Honorary position bestowed on him by the late Queen WILHELMINA.
The Consulate General of the Netherlands was located in New Orleans, La., at the time and not in Houston, Texas, as now is the case.
Unfortunately, Dr. van Wijk, passed on, a couple of month before the founding date, on June 9th, 1980, of the HOLLAND CLUB, which he had visioned already many years before, and always being jealous of the Germans, French, Greeks which had accomplished such a fact, already for many, many years and are still growing.
There were not too many Dutch people around in Houston, a 30 years ago. The few, who were, as the van Wijk's, Muller's, Frinka's, Verheul's, Schumacher's, Boll's, even Adams and Graves's of Victoria, Texas, knew each other and met sometimes socially. Others were here too, as I found out later.
I had arrived here with my Family, in Houston, Tx. in February 1955 and was friends already with the Muller's (Frank & Irmgard), as well as Captain and Betty Johnson pf Galveston, Texas, from whom we received a lot of morale support, during our first months, which we very much appreciated, since we arrived as Immigrants, not knowing anybody else or anything about life and Customs in general in the United States of America, our new home for the future.
After a couple of years, having my feet solid on the floor, I got to know more and more Dutch people, some of them, who had come here already many years ago and others, being sent over from Holland by SHELL OIL CO and other Companies, as well as more and more Dutch Immigrant families (also from Indonesia).
Having learned, in the meantime, about the German Club's (two of them) the Alliance Francaise and the Greek's, I thought that it was just about time that a Club for the DUTCH would be very nice indeed, as well.
Thru Frank Muller, I learned about Dr. van Wijk, who had meanwhile resigned, as Honorary Consul, which position in the late 50's was filled by Peter Cramerus, an other Dutchman, and later by Sweeney Doehring, who was an American.
I learned that Dr. van Wijk had tried many times in the past, to tie the Dutch together, and others also, but in vain.
However, I was determined to try to accomplish, where others had failed. I had in the meantime met and made friends with, quite a few Dutch people and talked about my idea, in as much as we had social get togethers, with quite a few of them. They also thought, it was a good idea and in turn were promoting the possibility.
Frank Müller, Jack van Caspel, Ding Dingenmause and myself decided to have an informal meeting to try to establish a base to work from, in order to get the HOLLAND CLUB off the ground.
This informal meeting took place on MARCH 5th, 1960.
Quite a few of the Dutch people, after being notified and learning about our intentions, attended.
We stretched the point, that our goal was to further fellowship and friendship among the persons of Dutch Ancestry and persons interested in Dutch Customs and the Dutch language.
The above was and still is, as amended, the most important part of the Club's By-Laws.
During that informal meeting a Board was selected, consisting of:
Dick Zandwyk - President
Frank Müller - Vice President
Jack van Caspel - Treasurer
Ruth Kupperslag - Secretary.
The ground work was laid, but a lot of hard and sometimes frustrating work, was still ahead for the presiding officers.
The first social events were planned and consisted of outdoor activities in various Parks around town, so that the whole family could take part. These get togethers, were especially morale builders for the many Immigrant families, who had rather difficult times, to get established, and could, during these events, which did not require much money, forget for a while about their struggles and be among their own Dutch Countrymen and talk their own language, when and where they could.
Those early members of the Club, I can not name them all, but they know, who they are, formed the nucleus for all those years of the still existing Club and it is due to their support and dedication and the leadership of the past Presidents, listed below, that the "Holland Club Inc" can celebrate its 25th Anniversary, this June 1985.
List of Presidents:
Dick Zandwyk Sr. 1960, 1961, 1963
J. van Caspel 1962
H.W. van Voorthuysen 1964
D. Schoemaker 1965
G. Schuitaag 1966
W. van Loonhizen 1967
R.R. Dijkstra 1968
C. Hoogendam 1969
C. Herben 1970, 1971
P. Staats 1972, 1973
H. Vogel 1974
H. P. Hemmi 1975
J. Jansen 1976
W. Schuur 1977
M. Bonse 1978
H. Stokvis 1979
H. Hemmi 1980
W. A. Wijnberg 1981
L. Holwig 1982, 1983
H. Stokvis 1984
In those early years even before the founding of the HOLLAND CLUB, HOLLAND "The Netherlands", was very much in the picture here, especially due to the fact that the K.L.M. (Royal Dutch Airlines) were negotiating about landing rights in Houston, Texas, for its route to Mexico City, Mexico, which they obtained in 1957. The Dutch Community at that time, was instrumental in signing a petition, which was presented to the U.S. Authorities in WASHINGTON, D.C. relating to the efforts of the K.L.M. in obtaining their goal.
Also, on behalf of the Dutch Community, a letter was written to the "Ministry van Buitenlandse Zaken" in the Hague, Holland, about the re-locating of the Consulate General of the Netherlands, from New Orleans, La., to Houston, Tx., having regard for the fact that Houston was a booming city compared to New Orleans, La.
The re-location became History, and the Dutch community, can be proud to have been a part, may be very small, but nevertheless instrumental just the same.
The fact that Houston was and is a booming City, proved to be very true indeed, in part of the establishing here of many large and small DUTCH enterprises which in fact are still growing, along with the "HOLLAND CLUB INC."
|
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Property & Casualty
Construction Appetite
QBE understands the unique challenges in the construction industry and our P&C underwriters are equipped to address the deeper level of specialization required to overcome them. Industry experts are embedded in our underwriting units to help solve any inherent insurance challenges and to further assist you with both guaranteed cost and loss sensitive programs.
Account targets
Key characteristics
* Account GWP of $100K–$3M
* U.S. payroll less than $35M
* Less than 500 vehicles
* Subject to territory restrictions
* Residential limited to Artisan work
* Limited Height work
No:
* Street or Road work
* Structural/Erection work
* Amount subject up to $200M per location
* Additional classes will be considered upon request. Please reach out to your QBE contact.
Key:
Strong Appetite
Judicious Appetite
Restricted Appetite
QBE North America
55 Water Street New York, NY 10041
Tel: 212.422.1212 qbe.com/us
QBE and the links logo are registered service marks of QBE Insurance Group Limited. © 2019 QBE Holdings, Inc. 192004-SHEET (9-19)
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APPLICATION FOR A CHAPERONE LICENCE.
(Mr/Miss/Mrs/Ms)
Surname_______________________________________________________________Married/Single/Divorced
Forename(s) _____________________________________________________________________________
Previous/Maiden Name___________________________________________________________________
Date of Birth_______________Age_________Place of Birth__________________________
Current Address_____________________________________________________________
_______________________________________________________________ _______________________________________________________________
Post Code________________________Telephone Number_____________________________
Address for previous 5 years (if different than above).
___________________________________________________________________________________________ ___________________________________________________________________________Post Code_______
Have you previously been a licensed chaperone?________Yes_________No_________
If so name of issuing authority, date, number etc_____________________________________________________
___________________________________________________________________________________________
Are you an approved Registered Child Minder or Foster Carer?________Yes______No______
If so name if authorising authority_________________________________________________________________
Name of Drama Group/Society___________________________________________________________________
Current Employment___________________________________________________________________________
Place of Employment__________________________________________________________________________
Name of Employer____________________________________________________________________________
Relevant Qualifications or Experience_____________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________
Do you hold a valid driving licence?
______Yes______No________Number_______________________________
Does your car insurance cover passengers whilst you are acting as a chaperone?_____Yes_______No_________
Is your vehicle fitted with passenger seat belts?_______Yes________No___________
Do you have a First Aid Qualification?______________Yes________No___________
Are you registered disabled?_____Yes________No_______Regd Number________________________________
Do you have any criminal convictions?_____________Yes____No________
If yes, give details of offence, court and disposal_____________________________________________________
___________________________________________________________________________________________ ___________________________________________________________________________________________
Please give your reasons for this application and any other relevant information____________________________
___________________________________________________________________________________________
.
___________________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________ ___________________________________________________________________________________________
Name and Address of two responsible persons to whom references can be made. One must be known to you in a professional capacity.
Name______________________________________________________________________________________
Address_____________________________________________________________________________________ ____________________________________________________________Post Code_________________
Position____________________________________________________________________________________
Name______________________________________________________________________________________
Address____________________________________________________________________________________ ____________________________________________________________Post Code_________________
Position____________________________________________________________________________________
Have you studied the duties of a Chaperone?
YES………..NO…………
Your name will appear on the Local Authority’s approved Chaperone list unless you indicate otherwise.
Do you agree to your name being placed on this list? YES………NO……….
“The licensing Authority shall not approve a chaperone unless they are satisfied that she/he is suitable and competent”
Regulation 12 (2) Children (Performances) Regulations 1968.
“Any person who knowingly or recklessly makes any false statement in or in connection with an application for a licence shall be liable on summary conviction to a fine not exceeding level 3 on the Standard scale (currently £1000) or a term of imprisonment not exceeding 3 months, or both”.
Children and Young Persons Act 1963, Part II, section 40.
PLEASE SIGN THE DECLARATION BELOW.
DECLARATION TO BE SIGNED BY APPLICANT
I hereby declare that the above information is true to the best of my knowledge and belief
I understand that I would be liable to prosecution if I have wilfully stated anything which I know to be false or do not believe to be true.
SIGNED……………………………………………..DATE…………………
Please return the completed form together with two recent passport type photographs to:
FAO Tom Thorpe Child Employment, Performance License Officer Sedgemoor Centre Priory Road St Austell PL25 5AB
Tel: 01872 323014
DUTIES OF A CHAPERONE
The chaperone's first duty is to the children in their care. While acting as a chaperone, she/he may not be engaged in any other activity that would interfere with the performance of her/his duties.
Except when a child is in the care of a teacher, the chaperone is in Loco Perentis and should exercise the care, which a good parent, might reasonably be expected to give to that child.
The chaperone's precise duties while the child is at the place of performance will vary according to the nature of the performance. If a child is working in the theatre, the times the child is to be at the theatre, and when they will be on stage, will be known in advance, and must come what is permitted by the Regulations.
The chaperone's duties will be to ensure that, when the child is actually performing (including the period in between performances if there are two on the same day and the child does not go home or to their lodgings) the child is properly supervised, and has adequate meals, rest and recreation.
A child appearing in a film may be at the studios or location for much of the day. During the whole of this time the child is in the chaperone's charge, except when having lessons, and it is for the chaperone to accompany them from the dressing room or schoolroom to the set, and take them back to the dressing room or schoolroom, as well as remaining on the set while the child is there.
The chaperone is required to keep a record of the time the child is on the set and the times they rehearse and perform, so as to ensure that the periods permitted under the Regulations are not exceeded, and must also see that the child gets no less than the required number of breaks.
Arrangements for getting home.
It is the responsibility of the licence holder, acting through the chaperone, to see that suitable arrangements, having regards to the child's age, are made for them to get home or to their lodgings after the performance. If the child is living at home, their parents may collect them or have them collected, or the chaperone may have to take them home.
Some older children may, in some circumstances, reasonably be expected to get home on their own, but the fact that the parents agree to this does not absolve the licence holder from direct responsibility for being satisfied that special arrangements are not necessary. If the child is living away from home, it will be particularly important to ensure that the child is escorted to the place where they are staying and, if public transport is not available or suitable, that transport is provided.
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Maths Paper B 2011
DOWNLOAD
MATHS PAPER B 2011 - FREDRFO
maths paper b 2011 maths paper b 2011 - title ebooks : maths paper b 2011 - category : kindle and ebooks pdf author : ~ unidentified - isbn785458
Wed, 17 May 2017 16:16:00 GMT
PAST KS2 MATHS SATS PAPERS - URBRAINY
past ks2 maths sats papers. past papers for the ks2 sats.
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2M008 V01 KS2MATHSTESTB 05012011 - SATS PAPERS
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MATHS PAPER B 2011 MPB2CORG-PDF6-4
pdf file: maths paper b 2011 - mpb2corg-pdf6-4 2/3 maths paper b 2011 introduction this particular maths paper b 2011 pdf start with introduction, brief session till ...
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2011_MATHS_PAPER_B.PDF - MA KEY STAGE MATHEMATICS TEST 2 ...
view essay - 2011_maths_paper_b.pdf from accounting 104 at ???? ??? ???????. ma key stage mathematics test 2 levels 3–5 test b calculator
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PAPER B 2011 MATHS WORKSHEETS FOR KS2 MATHS SAT PAPERS
questions, answers and suggested ways to approach the questions in ks2 maths sat paper b (calculator) 2011.
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B HONS BUSINESS MATHS 2011 QUESTION PAPER - EDUREV
edurev is a collection of free educational resources – simplified tutorials, personalized andgeneralized notes, presentations (ppt), pdf, cue cards, video ...
Sun, 07 May 2017 09:04:00 GMT
SOURCED FROM SATS-PAPERS HTTPS://SATS-PAPERS
end of test 26 sourced from sats-papers https://sats-papers
Tue, 25 Apr 2017 08:21:00 GMT
2M008 V01 KS2MATHSTESTB 05012011 - SATS TESTS ONLINE
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Sat, 22 Apr 2017 07:35:00 GMT
2011 HSC MATHEMATICS 'SAMPLE ANSWERS' - BOARD OF STUDIES
2011 hsc mathematics 'sample answers' when examination committees develop questions for the examination, they may write 'sample answers' or, in the case of ...
Tue, 25 Apr 2017 18:08:00 GMT
KS2 SATS MATHS PAPERS 2011 - LBARTMAN
Sun, 30 Apr 2017 13:09:00 GMT
math worksheet middle school worksheets with answers 2011 mental maths test ks2 mark scheme question 3 paper a revise foundation mock mathematics revision 1380 papers ...
2011 HSC EXAMINATION - MATHEMATICS - BOARD OF STUDIES
2011 higher school certificate examination. mathematics. general instructions ... provided at the back of this paper • all necessary working should be
Wed, 10 May 2017 08:54:00 GMT
KS2 MATHS SATS PAPERS 2011 ANSWERS - KS2 MATHS SAT PAPER B ...
here are the answers and tips on how to go about answering question 7 from ks2 maths sat paper b 2011 two small boats positioned along a centimetre sats papers ...
Thu, 30 Mar 2017 03:37:00 GMT
MARK SCHEME (RESULTS) JANUARY 2011 - EDEXCEL
mark scheme (results) january 2011 gce gce core mathematics c3 (6665) paper 1 edexcel limited. registered in england and wales no. 4496750 registered office: one90 ...
Fri, 28 Apr 2017 04:22:00 GMT
KS2 MATHS SATS PAST PAPERS
maths sats past papers. something that is very important when revising for any test is to go over previous years papers. its even more useful if you also have access ...
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2M011 V01 KS2MATHSMARKSCHEME 05012011 - SATS TESTS ONLINE
2011 ks2 mathematics tests mark schemes 1 marking the mathematics tests as in 2010, external markers, employed by the external marking agencies under contract
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2011_L6_MATHS_PAPER_B.PDF - LEVEL 6 TESTS ANSWER BOOKLET ...
view essay - 2011_l6_maths_paper_b.pdf from accounting 104 at ???? ??? ???????. level 6 tests answer booklet mathematics test level 6 tests
Sat, 25 Mar 2017 14:20:00 GMT
MARK SCHEME (RESULTS) JUNE 2011 - MATHS RESOURCE WEBSITE
international gcse mathematics (4mb0) paper 01 summer 2011 mark scheme (results) june 2011 international gcse mathematics (4mb0) paper 01
Mon, 01 May 2017 17:40:00 GMT
HKCEE 2011 MATHS PAPER 1 SOLUTION - YOUTUBE
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Mon, 24 Apr 2017 14:42:00 GMT
2011 LEVEL-6 SATS MATHS ADMINISTRATOR'S GUIDE - SATS PAPERS
maths keywords: 2011 maths sats paper,level-6 sats paper maths administrator's guide,maths level-6 sats paper ,2011 key stage 2 - level 6 sats paper,key stage 2 ...
Mon, 08 May 2017 16:27:00 GMT
MATHS CREDIT PRELIM 2011-12 - BANCHORY ACADEMY
prelim examination 2011 / 2012 mathematics standard grade - credit level ... credit level paper 2 ~ 2011/2012 marking scheme qu give one mark for each ...
Mon, 01 May 2017 04:54:00 GMT
2011 CE MATHS PAPER 1 - LFABFO
Mon, 15 May 2017 17:09:00 GMT
2011 ce maths paper 1 2011 ce maths paper 1 - title ebooks : 2011 ce maths paper 1 - category : kindle and ebooks pdf - author : ~ unidentified - isbn785458
KS2 MATHS SAT QUESTIONS AND ANSWERS: PAPER B 2011 - MATHS BLOG
this is the first in a new series looking at sat papers, the questions, answers and best methods of going about them. this term i am looking at the 2011 paper b
Sat, 06 May 2017 22:13:00 GMT
MARK SCHEME (RESULTS) JUNE 2011 - MATHS RESOURCE WEBSITE
mark scheme (results) june 2011 international gcse mathematics (4ma0) paper 3h
Sat, 29 Apr 2017 07:41:00 GMT
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Track employee time accurately and reduce ineffi ciencies with Time Clock Elite.
Our TC Elite time and attendance device incorporates the latest time technology to empower your team to track time accurately.
TC Elite Series
Dimensions:
Supports facial recognition, Lumidigm fi ngerprint biometrics, proximity barcode. This time clock is designed to open up a world of possibilities for wider integration with HR Management Systems (HRMS) and a myriad of potential new applications beyond workforce management.
* 9.1 x 10.8 x 3.8 inches with 16:9 aspect ratio
* Full color, multi-touch, 10" Screen
* 1280 x 800 pixel high resolution
Hardware:
* Toughened glass for use in high traffi c environments
* Industrial grade ARM Cortex A9 Quad Core Processor
* 8GB high performance fl ash
* 2GB RAM and SDXC SD card slot
* Operating voltage 12V DC
* Internal lithium ion battery back-up, up to two hours
* Operating temperature 0ºC (32ºF to 113ºF)
* Power over Ethernet 802.4af / 802.3af (optional)
Employee Engagement:
* Supports department and job transfer
* Employees can use self-service functions to:
ᵒ View available time off balance
ᵒ See current, previous or next pay schedule
ᵒ Access time card history
ᵒ Add Miscellaneous Pay
* Plays motivational, informative audiovisual content
* Access to training modules
* Integrates with room scheduling and booking services
* Access to web-based functionality
Simple Management
* Interval checking to prevent time punches within the same time period
* Punch and hours override (Supervisors)
Professional Services
* Elite Series Software Development Kit allows developers to quickly and easily create custom applications
Secure
* Secure, lockable case
* CE, FCC (Part 15 Class B) Certifi cations
Versatile
* Easy to fi t modules and peripherals including:
ᵒ Contact-less smartcard readers: including Mifare, iClass SE
ᵒ Proximity card reader: including HID Prox 125kHz
ᵒ Barcode card reader or external scanner: Multi-format
ᵒ Fingerprint scanner: Lumidigm M320
ᵒ 6 internal USB ports
ᵒ High-quality 2x Integrated speakers
ᵒ 5 mega-pixel, wide angle; supports photo/video (optional)
ᵒ Microphone (optional)
Adaptable
* Based on the Android 6 operating system
* Runs native Android or HTML 5 apps
* Flexible connectivity options including:
ᵒ Ethernet: 10/100/1000
ᵒ WiFi: Intel dual band, dual stream 802.11ac (optional)
|
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|
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BLINA MINERALS NL ACN 086 471 007 NOTICE OF ANNUAL GENERAL MEETING
TIME:
10.00 am WST
DATE:
Friday, 28 November 2014
PLACE:
Level 4, 66 Kings Park Road, West Perth, Western Australia
This Notice of Meeting should be read in its entirety. If Shareholders are in doubt as to how they should vote, they should seek advice from their professional advisers prior to voting.
Should you wish to discuss the matters in this Notice of Meeting please do not hesitate to contact the Company Secretary, Peter Webse, on (+61 8) 9481 3860.
CONTENTS PAGE
IMPORTANT INFORMATION
TIME AND PLACE OF MEETING
Notice is given that the Annual General Meeting of the Shareholders to which this Notice of Meeting relates will be held 10.00 am (WST) on Friday, 28 November 2014 at:
Level 4, 66 Kings Park Road, West Perth, Western Australia
YOUR VOTE IS IMPORTANT
The business of the Annual General Meeting affects your shareholding and your vote is important.
VOTING ELIGIBILITY
The Directors have determined pursuant to Regulation 7.11.37 of the Corporations Regulations 2001 (Cth) that the persons eligible to vote at the Annual General Meeting are those who are registered Shareholders at 4.00 pm (WST) on Wednesday, 26 November 2014.
VOTING IN PERSON
To vote in person, attend the Annual General Meeting at the time, date and place set out above.
VOTING BY PROXY
To vote by proxy, please complete and sign the enclosed Proxy Form and return by the time and in accordance with the instructions set out on the Proxy Form.
In accordance with section 249L of the Corporations Act, members are advised that:
* each member has a right to appoint a proxy;
* the proxy need not be a member of the Company; and
* a member who is entitled to cast 2 or more votes may appoint 2 proxies and may specify the proportion or number of votes each proxy is appointed to exercise. If the member appoints 2 proxies and the appointment does not specify the proportion or number of the member's votes, then in accordance with section 249X(3) of the Corporations Act, each proxy may exercise one-half of the votes.
New sections 250BB and 250BC of the Corporations Act came into effect on 1 August 2011 and apply to voting by proxy on or after that date. Shareholders and their proxies should
1
be aware of these changes to the Corporations Act, as they will apply to this Annual General Meeting. An amendment to the Act ("Amending Act") received Royal Assent on 27 June 2012, which aims to clarify confusion surrounding proxy voting by chairpersons for remuneration related matters.
The Amending Act clarifies that the chair of an annual general meeting can vote undirected proxies in a shareholder vote on the remuneration report where the shareholder provides express authorisation.
Further details on these changes is set out below.
Proxy vote if appointment specifies way to vote
Section 250BB(1) of the Corporations Act provides that an appointment of a proxy may specify the way the proxy is to vote on a particular resolution and, if it does:
* the proxy need not vote on a show of hands, but if the proxy does so, the proxy must vote that way (i.e. as directed); and
* if the proxy has 2 or more appointments that specify different ways to vote on the resolution – the proxy must not vote on a show of hands; and
* if the proxy is the chair of the meeting at which the resolution is voted on – the proxy must vote on a poll, and must vote that way (i.e. as directed); and
* if the proxy is not the chair – the proxy need not vote on the poll, but if the proxy does so, the proxy must vote that way (i.e. as directed).
Transfer of non-chair proxy to chair in certain circumstances
Section 250BC of the Corporations Act provides that, if:
* an appointment of a proxy specifies the way the proxy is to vote on a particular resolution at a meeting of the Company's members; and
* the appointed proxy is not the chair of the meeting; and
* at the meeting, a poll is duly demanded on the resolution; and
* either of the following applies:
o the proxy is not recorded as attending the meeting;
o the proxy does not vote on the resolution,
the chair of the meeting is taken, before voting on the resolution closes, to have been appointed as the proxy for the purposes of voting on the resolution at the meeting.
2
BUSINESS OF THE MEETING
AGENDA
Financial, Directors' and Auditor's Reports
To receive and consider the annual financial report of the Company for the financial year ended 30 June 2014 together with the declaration of the directors, the directors' report, the Remuneration Report and the auditor's report.
1. RESOLUTION 1 – ADOPTION OF REMUNERATION REPORT
To consider and, if thought fit, to pass, with or without amendment, the following resolution as a non-binding resolution:
"That, for the purpose of Section 250R(2) of the Corporations Act and for all other purposes, approval is given for the adoption of the Remuneration Report, as contained in the Company's annual financial report for the financial year ended 30 June 2014."
Note: The vote on this Resolution is advisory only and does not bind the Directors or the Company.
Voting Prohibition Statement: A vote on this Resolution must not be cast (in any capacity) by or on behalf of any of the following persons:
(a) a member of the Key Management Personnel, details of whose remuneration are included in the Remuneration Report; or
(b) a Closely Related Party of such a member.
However, a person (the Voter) described above may cast a vote on this Resolution as a proxy if the vote is not cast on behalf of a person described above and either:
(a) the Voter is appointed as a proxy by writing that specifies the way the proxy is to vote on the Resolution; or
(b) the Voter is the Chair and the appointment of the Chair as proxy:
(i) does not specify the way the proxy is to vote on this Resolution; and
(ii) expressly authorises the Chair to exercise the proxy even though this Resolution is connected directly or indirectly with the remuneration of a member of the Key Management Personnel.
2. RESOLUTION 2 – ELECTION OF DIRECTOR – MR DAVID PORTER
To consider and, if thought fit, to pass, with or without amendment, the following resolution as an ordinary resolution:
"That, for the purposes of Rule 69.2 of the Constitution, ASX Listing Rule 14.4 and for all other purposes, Mr David Porter, who was appointed as a Director on 18 February 2014, retires, and, being eligible, is elected as a Director."
3. RESOLUTION 3 – RE-ELECTION OF DIRECTOR – MR JUSTIN VIRGIN
To consider and, if thought fit, to pass, with or without amendment, the following resolution as an ordinary resolution:
"That, for the purposes of ASX Listing Rule 14.4, Rule 73.1 of the Constitution and for all other purposes, Mr Justin Virgin, a Director, retires by rotation, and being eligible, is re-elected as a Director."
4. RESOLUTION 4 – RATIFICATION OF SHARE ISSUE
To consider and, if thought fit, to pass the following resolution as an ordinary resolution:
3
"That, for the purposes of ASX Listing Rule 7.4 and for all other purposes, Shareholders ratify the issue of 43,871,300 Shares at an issue price of $0.001 each, on the terms and conditions set out in the Explanatory Statement."
ASX Voting Exclusion: The Company will disregard any votes cast on this Resolution by a person who participated in the issue of shares, and any associate of those persons. However, the Company need not disregard a vote if it is cast by a person as a proxy for a person who is entitled to vote, in accordance with the directions on the Proxy Form, or, it is cast by the person chairing the meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides.
5. RESOLUTION 5 – APPROVAL OF 10% PLACEMENT CAPACITY
To consider and, if thought fit, to pass, with or without amendment, the following resolution as a special resolution:
"That, for the purpose of ASX Listing Rule 7.1A and for all other purposes, approval is given for the issue of Equity Securities totalling up to 10% of the issued capital of the Company (at the time of the issue), calculated in accordance with the formula prescribed in Listing Rule 7.1A.2 and on the terms and conditions set out in the Explanatory Statement."
Voting Exclusion: The Company will disregard any votes cast on this Resolution by any person who may participate in the issue of Equity Securities under this Resolution and a person who might obtain a benefit, except a benefit solely in the capacity of a holder of ordinary securities, if the Resolution is passed and any associates of those persons. However, the Company need not disregard a vote if it is cast by a person as a proxy for a person who is entitled to vote, in accordance with the directions on the Proxy Form, or, it is cast by the person chairing the meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides.
6. RESOLUTION 6 –ISSUE OF SHARES TO BRETT FRASER
To consider and, if thought fit, to pass, with or without amendment, the following resolution as an ordinary resolution:
"That, for the purposes of section 195(4) and section 208 of the Corporations Act, ASX Listing Rule 10.11 and for all other purposes, approval is given for the Company to issue 38,425,000 Shares to Brett Fraser (or his nominees) on the terms and conditions set out in the Explanatory Statement."
ASX Voting Exclusion: The Company will disregard any votes cast on this Resolution by Brett Fraser (or his nominees) and any of his associates. However, the Company need not disregard a vote if it is cast by a person as a proxy for a person who is entitled to vote, in accordance with the directions on the Proxy Form, or, it is cast by the person chairing the meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides.
Voting Prohibition Statement:
A person appointed as a proxy must not vote, on the basis of that appointment, on this Resolution if:
(a) the proxy is either:
(i) a member of the Key Management Personnel: or
(ii) a Closely Related Party of such a member; and
(b) the appointment does not specify the way the proxy is to vote on this Resolution.
However, the above prohibition does not apply if:
(a) the proxy is the Chair; and
(b) the appointment expressly authorises the Chair to exercise the proxy even though this Resolution is connected directly or indirectly with remuneration of a member of Key Management Personnel.
7. RESOLUTION 7 –ISSUE OF SHARES TO JUSTIN VIRGIN
To consider and, if thought fit, to pass, with or without amendment, the following resolution as an ordinary resolution:
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"That, for the purposes of section 195(4) and section 208 of the Corporations Act, ASX Listing Rule 10.11 and for all other purposes, approval is given for the Company to issue 20,038,367 Shares to Justin Virgin (or his nominees) on the terms and conditions set out in the Explanatory Statement."
ASX Voting Exclusion: The Company will disregard any votes cast on this Resolution by Justin Virgin (or his nominees) and any of his associates. However, the Company need not disregard a vote if it is cast by a person as a proxy for a person who is entitled to vote, in accordance with the directions on the Proxy Form, or, it is cast by the person chairing the meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides.
Voting Prohibition Statement:
A person appointed as a proxy must not vote, on the basis of that appointment, on this Resolution if:
(a) the proxy is either:
(i) a member of the Key Management Personnel: or
(ii) a Closely Related Party of such a member; and
(b) the appointment does not specify the way the proxy is to vote on this Resolution.
However, the above prohibition does not apply if:
(a) the proxy is the Chair; and
(b) the appointment expressly authorises the Chair to exercise the proxy even though this Resolution is connected directly or indirectly with remuneration of a member of Key Management Personnel.
8. RESOLUTION 8 –ISSUE OF SHARES TO VIRGIN PTY LTD
To consider and, if thought fit, to pass, with or without amendment, the following resolution as an ordinary resolution:
"That, for the purposes of section 195(4) and section 208 of the Corporations Act, ASX Listing Rule 10.11 and for all other purposes, approval is given for the Company to issue 23,100,000 Shares to Virgin Pty Ltd (or its nominees) on the terms and conditions set out in the Explanatory Statement."
ASX Voting Exclusion: The Company will disregard any votes cast on this Resolution by Virgin Pty Ltd (or its nominees) and any of its associates. However, the Company need not disregard a vote if it is cast by a person as a proxy for a person who is entitled to vote, in accordance with the directions on the Proxy Form, or, it is cast by the person chairing the meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides.
Voting Prohibition Statement:
A person appointed as a proxy must not vote, on the basis of that appointment, on this Resolution if:
(a) the proxy is either:
(i) a member of the Key Management Personnel: or
(ii) a Closely Related Party of such a member; and
(b) the appointment does not specify the way the proxy is to vote on this Resolution.
However, the above prohibition does not apply if:
(a) the proxy is the Chair; and
(b) the appointment expressly authorises the Chair to exercise the proxy even though this Resolution is connected directly or indirectly with remuneration of a member of Key Management Personnel.
9. RESOLUTION 9 – ISSUE OF SHARES TO METALLICA INVESTMENTS PTY LTD
To consider and, if thought fit, to pass, with or without amendment, the following resolution as an ordinary resolution:
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"That, for the purposes of section 195(4) and section 208 of the Corporations Act, ASX Listing Rule 10.11 and for all other purposes, approval is given for the Company to issue 42,281,250 Shares to Metallica Investments Pty Ltd (or its nominees) on the terms and conditions set out in the Explanatory Statement."
ASX Voting Exclusion: The Company will disregard any votes cast on this Resolution by Metallica Investments Pty Ltd (or its nominees) and any of its associates. However, the Company need not disregard a vote if it is cast by a person as a proxy for a person who is entitled to vote, in accordance with the directions on the Proxy Form, or, it is cast by the person chairing the meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides.
Voting Prohibition Statement:
A person appointed as a proxy must not vote, on the basis of that appointment, on this Resolution if:
(a) the proxy is either:
(i) a member of the Key Management Personnel: or
(ii) a Closely Related Party of such a member; and
(b) the appointment does not specify the way the proxy is to vote on this Resolution.
However, the above prohibition does not apply if:
(a) the proxy is the Chair; and
(b) the appointment expressly authorises the Chair to exercise the proxy even though this Resolution is connected directly or indirectly with remuneration of a member of Key Management Personnel.
10. RESOLUTION 10 – APPROVAL OF FUTURE PLACEMENT OF SHARES
To consider and, if thought fit, to pass, with or without amendment, the following resolution as an ordinary resolution:
"That, for the purposes of ASX Listing Rule 7.1 and for all other purposes, approval is given for the Directors to allot and issue up to 400,000,000 Shares at an issue price of not less than 80% of the volume weighted average market price for Shares on the ASX over the last 5 trading days on which sales in the Shares were recorded before the date of the proposed issue and otherwise on the terms and conditions set out in the Explanatory Statement."
Voting Exclusion Statement: The Company will disregard any votes cast on this Resolution by a person who may participate in the proposed issue and a person who might obtain a benefit, except a benefit solely in the capacity a holder of ordinary securities, if the resolution is passed and any associates of those persons. However, the Company need not disregard a vote if it is cast by a person as a proxy for a person who is entitled to vote, in accordance with the directions on the Proxy Form, or, it is cast by the person chairing the meeting as proxy for a person who is entitled to vote, in accordance with a direction on the Proxy Form to vote as the proxy decides.
DATED: 17 OCTOBER 2014 BY ORDER OF THE BOARD
Peter Webse Company Secretary
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EXPLANATORY STATEMENT
This Explanatory Statement has been prepared to provide information which the Directors believe to be material to Shareholders in deciding whether or not to pass the Resolutions which are the subject of the business of the Meeting.
1. FINANCIAL STATEMENTS AND REPORTS
In accordance with the Constitution, the business of the Meeting will include the receipt and consideration of the annual financial report of the Company for the financial year ended 30 June 2014, together with the declaration of the Directors, the Directors' Report, the Remuneration Report and the auditor's report.
The Company will not provide a hard copy of the Company's annual financial report to Shareholders unless specifically requested to do so. The Company's annual financial report is available on its website at www.blinaminerals.com.au.
2. RESOLUTION 1 – ADOPTION OF REMUNERATION REPORT
2.1 General
The Corporations Act requires that at a listed company's annual general meeting, a resolution that the remuneration report be adopted must be put to the shareholders. However, such a resolution is advisory only and does not bind the Directors or the Company.
The Remuneration Report sets out the Company's remuneration arrangements for the Directors and senior management of the Company. The Remuneration Report is part of the Directors' Report contained in the annual financial report of the Company for the financial year ending 30 June 2014.
The Chair of the Meeting must allow a reasonable opportunity for the Shareholders to ask questions about, or make comments on, the Remuneration Report at the Annual General Meeting and, as such, a reasonable opportunity will be provided for discussion of the Remuneration Report at the Annual General Meeting.
2.2 Voting consequences
Under changes to the Corporations Act that came into effect on 1 July 2011, if at least 25% of the votes cast on a remuneration report resolution are voted against adoption of the remuneration report at two consecutive annual general meetings and at the first of those annual general meetings, a Spill Resolution (as defined below) was not put to vote, the Company will be required to put to its shareholders a resolution proposing the calling of another general meeting of shareholders to consider the appointment of directors of the company (Spill Resolution) at the second annual general meeting.
If more than 50% of shareholders vote in favour of the Spill Resolution, the company must convene a general meeting of shareholders (Spill Meeting) within 90 days of the second annual general meeting.
All of the directors of the company who were in office when the directors' report (as included in the company's annual financial report for the previous financial year) was approved, other than the managing director of the company, will cease to hold office immediately before the end of the Spill Meeting but may stand for re-election at the Spill Meeting.
Following the Spill Meeting those persons whose election or re-election as directors of the company is approved will be the directors of the company.
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At the Company's previous annual general meeting, the votes cast against the remuneration report at that annual general meeting were less than 25%. Accordingly, the Spill Resolution is not relevant for this Annual General Meeting.
2.3 Proxy voting restrictions
Shareholders appointing a proxy for Resolution 1 should note the following:
If you appoint a member of the Key Management Personnel as your proxy (other than the Chair) whose remuneration details are included in the Remuneration Report, or a Closely Related Party of such a member as your proxy
You must direct the proxy how they are to vote on this Resolution. Undirected proxies granted to these persons will not be voted and will not be counted in calculating the required majority if a poll is called on this Resolution.
If you appoint the Chair as your proxy (where he/she is also a member of the Key Management Personnel whose remuneration details are included in the Remuneration Report, or a Closely Related Party of such a member) or if you appoint any other person as your proxy
You do not need to direct your proxy how to vote on this Resolution, and you do not need to tick any further acknowledgement on the proxy form.
3. RESOLUTION 2 – ELECTION OF DIRECTOR – MR DAVID PORTER
Rule 69.1 of the Constitution of the Company allows the Directors to appoint at any time a person to be a Director to fill a casual vacancy or as an addition to the existing Directors, but only where the total number of Directors does not at any time exceed the maximum number specified by the Constitution.
Pursuant to Rule 69.2 of the Constitution and ASX Listing Rule 14.4, any Director so appointed holds office only until the next following annual general meeting of the Company and is then eligible for re-election but shall not be taken into account in determining the Directors who are to retire by rotation (if any) at that meeting.
Accordingly, Mr David Porter, who was appointed as an Executive Director on 18 February 2014, retires in accordance with Rule 69.2 of the Constitution and ASX Listing Rule 14.4 and, being eligible, seeks re-election. His details are set out below:
Mr Porter is a professional geologist and Fellow of the Australasian Institute of Mining and Metallurgy with over 40 years' experience in the mining industry, including most facets of exploration and mining. For the past 16 years he has focussed his activities in Africa and was the founding Chairman of Cam Iron SA and Congo Iron SA, both part of the Mbalam Iron Project of Sundance Resources Ltd. The project has a planned output of 35 million tonnes per annum of high grade iron ore and is at development stage, which involves capital expenditure of $4.7 billion. He was also instrumental in the development of two coal projects in the Waterberg region of South Africa which are at development stage. Prior to Mr Porter's project activities in Africa, he was managing director of three ASX listed exploration companies, all of which developed gold and base metal projects. In Diversified Mineral Resources he supervised the resource definition at the Agbaou gold deposit in Cote d'Ivoire into plus one million ounces of gold. Africwest Gold acquired the nickel deposits at Kambalda and developed into a leading Australia nickel producer, while Golden Rim Resources is now developing gold resources in Burkina Faso.
Mr Porter provides exploration consultancy services to the Company through Metallica Investments Pty Ltd and the Company has entered into a consultancy
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agreement with Metallica Investments Pty Ltd documenting this arrangement. He is chairman of Terrain Minerals Ltd and a non-executive director of Equamineral Holdings Ltd. He was an executive director and exploration manager for Gascoyne Gold Mines NL from 1989 to 1996 and managed the Yilgarn Star feasibility study in 1990/91. Gascoyne produced over 100,000 ounces of gold per year from the Yilgarn Star Mine until it was taken over in 1996 by Sons of Gwalia Ltd in a A$180 million transaction. In the period from 1971 to 1989, Mr Porter worked for many international mining companies, with small ASX listed companies and as an independent consultant on gold, base metal, iron ore and coal projects.
The Board unanimously supports the election of Mr Porter.
4. RESOLUTION 3 – RE-ELECTION OF DIRECTOR – MR JUSTIN VIRGIN
Pursuant to Rule 73.1 of the Company's Constitution and Listing Rule 14.4 one-third of the Directors (or the number nearest one third) must retire at each annual general meeting, provided always that no Director (except the Managing Director) shall hold office for a period in excess of 3 years, or until the third annual general meeting following his or her appointment, whichever is longer, without submitting himself or herself for re-election.
The Directors to retire are those who have been longest in office since their appointment or last re-appointment or, if the Directors have been in office for an equal length of time, those to retire shall be determined by drawing lots unless otherwise agreed.
A Director who retires by rotation under Rule 73.1 of the Constitution is eligible for re-election.
The Company currently has three Directors and accordingly one must retire.
Mr Justin Virgin and Mr Brett Fraser (being the directors other than Mr Porter) were each elected and re-elected (respectively) at the 2013 Annual General Meeting of the Company. As such, Mr Virgin and Mr Fraser, in accordance with Constitution, have agreed amongst themselves that Mr Virgin shall retire by rotation at the Annual General Meeting. Therefore, Mr Justin Virgin retires by rotation and seeks re-election. His details are set out below.
Mr Virgin has over nine years' experience in the financial services industry with expertise in providing a wide range of financial services which includes capital raisings, providing general corporate advice, participating in the promotion of small-cap companies and other investment advice involved in mergers, acquisitions and valuation for sale of small to medium enterprises. He is an executive director of Terrain Minerals Limited.
The Board unanimously supports the election of Mr Virgin.
5. RESOLUTION 4 – RATIFICATION OF SHARE ISSUE
5.1 General
On 18 September 2014 the Company announced the issue of 43,871,300 Shares at $0.001 each.
Resolution 4 seeks Shareholder ratification pursuant to ASX Listing Rule 7.4 for the issue of those 43,871,300 Shares (Ratification).
ASX Listing Rule 7.1 provides that a company must not, subject to specified exceptions, issue or agree to issue during any 12 month period any Equity
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Securities, if the number of those securities exceeds 15% of the number of securities in the same class on issue at the commencement of that 12 month period.
ASX Listing Rule 7.4 sets out an exception to ASX Listing Rule 7.1. It provides that where a company in general meeting ratifies the previous issue of securities made pursuant to ASX Listing Rule 7.1 (and provided that the previous issue did not breach ASX Listing Rule 7.1) those securities will be deemed to have been issued with Shareholder approval for the purpose of ASX Listing Rule 7.1.
By ratifying this issue, the Company will retain the flexibility to issue Equity Securities in the future up to the 15% annual placement capacity set out in ASX Listing Rule 7.1 without the requirement to obtain prior Shareholder approval.
5.2 Information Required for the purposes of ASX Listing Rule 7.4
Pursuant to and in accordance ASX Listing Rule 7.5, the following information is provided in relation to the Ratification:
(a) 43,871,300 Shares were issued;
(b) the issue price was $0.001 per Share;
(c) the Shares were issued to Ms Julia Beckett (11,807,800 Shares) and Platinum Corporate Secretariat Pty Ltd <the Webse Discretionary Trust> (32,063,500 Shares), neither of whom were related parties of the Company;
(d) the Shares issued were fully paid ordinary shares in the capital of the Company issued on the same terms and conditions as the Company's existing Shares; and
(e) the Shares were issued in lieu of fees owed by the Company to the abovementioned parties in an aggregate amount of $43,871.30 which were incurred during the previous financial year for services rendered to the Company.
6. RESOLUTION 5 – APPROVAL OF 10% PLACEMENT CAPACITY
6.1 General
ASX Listing Rule 7.1A provides that an Eligible Entity may seek Shareholder approval at its annual general meeting to allow it to issue Equity Securities up to 10% of its issued capital (10% Placement Capacity). The Company is an Eligible Entity.
If Shareholders approve Resolution 5, the number of Equity Securities the Eligible Entity may issue under the 10% Placement Capacity will be determined in accordance with the formula prescribed in ASX Listing Rule 7.1A.2 (as set out in Section 6.26.2 below).
The effect of Resolution 5 will be to allow the Company to issue Equity Securities up to 10% of the Company's fully paid ordinary securities on issue under the 10% Placement Capacity during the period up to 12 months after the Meeting, without subsequent Shareholder approval and without using the Company's 15% annual placement capacity granted under Listing Rule 7.1.
Resolution 5 is a special resolution. Accordingly, at least 75% of votes cast by Shareholders present and eligible to vote at the Meeting must be in favour of Resolution 5 for it to be passed.
6.2 ASX Listing Rule 7.1A
ASX Listing Rule 7.1A came into effect on 1 August 2012 and enables an Eligible Entity to seek shareholder approval at its annual general meeting to issue Equity Securities in addition to those under the Eligible Entity's 15% annual placement capacity.
An Eligible Entity is one that, as at the date of the relevant annual general meeting:
(a) is not included in the S&P/ASX 300 Index; and
(b) has a maximum market capitalisation (excluding restricted securities and securities quoted on a deferred settlement basis) of $300,000,000.
The Company is an Eligible Entity as it is not included in the S&P/ASX 300 Index and has a current market capitalisation of $1,485,721.
Any Equity Securities issued must be in the same class as an existing class of quoted Equity Securities. The Company currently has only one class of quoted Equity Securities on issue, one being 1,485,721,300 Shares (ASX Code: BDI).
The exact number of Equity Securities that the Company may issue under an approval under Listing Rule 7.1A will be calculated according to the following formula:
(A x D) – E
Where:
A is the number of Shares on issue 12 months before the date of issue or agreement:
(a) plus the number of Shares issued in the previous 12 months under an exception in ASX Listing Rule 7.2;
(b) plus the number of partly paid shares that became fully paid in the previous 12 months;
(c) plus the number of Shares issued in the previous 12 months with approval of holders of Shares under Listing Rules 7.1 and 7.4. This does not include an issue of fully paid shares under the entity's 15% placement capacity without shareholder approval; and
(d) less the number of Shares cancelled in the previous 12 months.
D is 10%.
E is the number of Equity Securities issued or agreed to be issued under ASX Listing Rule 7.1A.2 in the 12 months before the date of issue or agreement to issue that are not issued with the approval of holders of Ordinary Securities under ASX Listing Rule 7.1 or 7.4.
6.3 Technical information required by ASX Listing Rule 7.1A
Pursuant to and in accordance with ASX Listing Rule 7.3A, the information below is provided in relation to this Resolution 5:
(a) Minimum Price
The minimum price at which the Equity Securities may be issued is 75% of the volume weighted average price of Equity Securities in that class, calculated over the 15 ASX trading days on which trades in that class were recorded immediately before:
(i) the date on which the price at which the Equity Securities are to be issued is agreed; or
(ii) if the Equity Securities are not issued within 5 ASX trading days of the date in paragraph 6.3(a)(i), the date on which the Equity Securities are issued.
(b) Date of Issue
The Equity Securities may be issued under the 10% Placement Capacity commencing on the date of the Meeting and expiring on the first to occur of the following:
(i) 12 months after the date of this Meeting; and
(ii) the date of approval by Shareholders of any transaction under ASX Listing Rules 11.1.2 (a significant change to the nature or scale of the Company's activities) or 11.2 (disposal of the Company's main undertaking) (after which date, an approval under Listing Rule 7.1A ceases to be valid),
(10% Placement Capacity Period).
(c) Risk of voting dilution
Any issue of Equity Securities under the 10% Placement Capacity will dilute the interests of Shareholders who do not receive any Shares under the issue.
If Resolution 5 is approved by Shareholders and the Company issues the maximum number of Equity Securities available under the 10% Placement Capacity, the economic and voting dilution of existing Shares would be as shown in the table below, subject to the assumptions listed below the table.
The table below shows the dilution of existing Shareholders calculated in accordance with the formula outlined in ASX Listing Rule 7.1A(2), on the basis of the current market price of Shares and the current number of Equity Securities on issue as at the date of this Notice.
The table also shows:
(i) two examples where variable "A" has increased, by 50% and 100%. Variable "A" is based on the number of ordinary securities the Company will have on issue at the date of the Meeting plus the Shares to be issued pursuant to Resolutions 6, 7, 8, 9 and 10. The number of ordinary securities on issue may increase as a result of issues of ordinary securities that do not require Shareholder approval (for example, a pro rata entitlements issue or scrip issued under a takeover offer) or future specific placements under Listing Rule 7.1 that are approved at a future Shareholders' meeting; and
(ii) two examples of where the issue price of ordinary securities has decreased by 50% and increased by 50% as against the current market price. The voting dilution impact where the number of Shares on issue (Variable A in the formula) changes and the economic dilution where there are changes in the issue price of Shares issued under the 10% Placement Capacity.
| Number of Shares on Issue | | | | Dilution | | |
|---|---|---|---|---|---|---|
| | | Issue | | $0.0005 | $0.001 (Current issue price) | $0.0015 |
| | | Price | | (50% decrease in | | (50% increase in |
| | | (per | | current issue | | current issue |
| | | Share) | | price) | | price) |
| 2,009,565,917 (Current) | 10% Voting Dilution | | 200,956,591 Shares | | 200,956,591 Shares | |
| | Funds Raised | | $100,478 | | $200,956 | |
| 3,014,348,876 (50% increase)* | 10% Voting Dilution | | 301,434,887 Shares | | 301,434,887 Shares | |
| | Funds Raised | | $150,717 | | $301,434 | |
| 4,019,131,834 (100% increase)* | 10% Voting Dilution | | 401,913,183 Shares | | 401,913,183 Shares | |
| | Funds Raised | | $200,956 | | $401,913 | |
*The number of Shares on issue (variable A in the formula) could increase as a result of the issue of Shares that do not require Shareholder approval (such as under a prorata rights issue or scrip issued under a takeover offer) or that are issued with Shareholder approval under Listing Rule 7.1.
The table above uses the following assumptions:
1. There are currently 1,485,721,300 Shares on issue. The Calculations take into account the Shares to be issued pursuant to Resolutions 6, 7, 8, 9 and 10.
2. The issue price set out above is the closing price of the Shares on the ASX on 13 October 2014.
3. The Company issues the maximum possible number of Equity Securities under the 10% Placement Capacity.
4. The Company has not issued any Equity Securities in the 12 months prior to the Meeting that were not issued under an exception in ASX Listing Rule 7.2 or with approval under ASX Listing Rule 7.1 and Rule 7.1A, or subsequently ratified under Listing Rule 7.4 at this Meeting.
5. The issue of Equity Securities under the 10% Placement Capacity consists only of Shares. It is assumed that no Options are exercised into Shares before the date of issue of the Equity Securities.
6. The calculations above do not show the dilution that any one particular Shareholder will be subject to. All Shareholders should consider the dilution caused to their own shareholding depending on their specific circumstances.
7. This table does not set out any dilution pursuant to approvals under ASX Listing Rule 7.1.
8. The 10% voting dilution reflects the aggregate percentage dilution against the issued share capital at the time of issue. This is why the voting dilution is shown in each example as 10%.
9. The table does not show an example of dilution that may be caused to a particular Shareholder by reason of placements under the 10% Placement Capacity, based on that Shareholder's holding at the date of the Meeting.
Shareholders should note that there is a risk that:
(i) the market price for the Company's Equity Securities may be significantly lower on the issue date than on the date of the Meeting; and
(ii) the Equity Securities may be issued at a price that is at a discount to the market price for those Equity Securities on the date of issue or the Equity Securities are issued as part of the consideration for the acquisition of a new asset,
which may have an effect on the amount of funds raised by the issue of the Equity Securities.
(d) Purpose of Issue under 10% Placement Capacity
The Company may issue Equity Securities under the 10% Placement Capacity for the following purposes:
(i) as cash consideration in which case the Company intends to use funds raised for the acquisition of new resources, assets and investments (including expenses associated with such an acquisition), continued exploration expenditure on the Company's current assets in Burkina Faso and for general working capital; or
(ii) as non-cash consideration for the acquisition of new resources assets and investments, in such circumstances the Company will provide a valuation of the non-cash consideration as required by listing Rule 7.1A.3.
(e) Allocation under the 10% Placement Capacity
The Company's allocation policy is dependent on the prevailing market conditions at the time of any proposed issue pursuant to the 10% Placement Capacity. The identity of the allottees of Equity Securities will be determined on a case-by-case basis having regard to the factors including but not limited to:
(i) the purpose of the issue;
(ii) alternative methods for raising funds available to the Company at that time, including, but not limited to, an entitlement issue or other offer where existing Shareholders may participate;
(iii) the effect of the issue of the Equity Securities on the control of the Company;
(iv) the circumstances of the Company, including, but not limited to, the financial position and solvency of the Company; and
(v) advice from corporate, financial and broking advisers (if applicable).
The allottees of the Equity Securities to be issued under the 10% Placement Capacity have not yet been determined but may include current Shareholders or new investors (or both), none of whom will be related parties of the Company. Further, if the Company is successful in
acquiring new assets or investments, it is likely that the allottees under the 10% Placement Capacity will be vendors of the new assets or investments.
The Company will comply with the disclosure obligations under Listing Rules 7.1A.4 and 3.10.5A upon issue of any Equity Securities.
(f) Previous Approval under ASX Listing Rule 7.1A
The Company previously obtained approval from its Shareholders pursuant to Listing Rule 7.1A at its 2013 Annual General Meeting held on 21 November 2013 (Previous Approval). No Equity Securities have been issued pursuant to the Previous Approval during the 12 month period preceding the date of the Meeting the subject of this Notice.
In the 12 month period preceding the date of the Meeting the subject of this Notice, being on and from 28 November 2013, the Company issued a total of 43,871,300 Shares pursuant to the power granted by ASX Listing Rule 7.1 which equated to 2.87% of the total diluted number of Equity Securities on issue in the Company on 28 November 2013, which was 1,526,850,000 Equity Securities.
Further details of the issues of Equity Securities by the Company during the 12 month period preceding the date of the Meeting are set out in Schedule 1.
(g) Compliance with ASX Listing Rules 7.1A.4 and 3.10.5A
When the Company issues Equity Securities pursuant to the 10% Placement Capacity, it will give to ASX:
(i) a list of the allottees of the Equity Securities and the number of Equity Securities allotted to each (not for release to the market), in accordance with Listing Rule 7.1A.4; and
(ii) the information required by Listing Rule 3.10.5A for release to the market.
6.4 Voting Exclusion
A voting exclusion statement is included in this Notice. As at the date of this Notice, the Company has not invited any existing Shareholder to participate in an issue of Equity Securities under ASX Listing Rule 7.1A. Therefore, no existing Shareholders will be excluded from voting on Resolution 5.
7. RESOLUTIONS 6 TO 9 – APPROVAL OF ISSUE OF SHARES IN LIEU OF PAYMENT OF DIRECTOR AND CONSULTANCY FEES – MR BRETT FRASER, MR JUSTIN VIRGIN, VIRGIN PTY LTD AND METALLICA INVESTMENTS PTY LTD
7.1 General
The effect of Resolutions 6 to 9 will be to allow the Company to issue Shares to Messrs Brett Fraser and Justin Virgin and Virgin Pty Ltd and Metallica Investments Pty Ltd (or their respective nominees).
7.2 Details of Fees Payable to Directors
Brett Fraser
Mr Fraser was appointed to the Board on 26 September 2008. For the period commencing 1 July 2013 and ending 31 October 2014, Mr Fraser was not paid in
full for his services. During this period, the Company accrued fees owing to Mr Fraser totalling $72,500 (excluding GST). The Company and Mr Fraser have agreed that 53% of this amount (being $38,425) be satisfied by way of an issue of 38,425,000 Shares at an issue price of $0.001 per Share. Such Shares are intended to be issued as soon as possible following the receipt of Shareholder approval pursuant to Resolution 6.
Justin Virgin
Mr Virgin was appointed to the Board on 6 September 2013. For the period commencing 6 September 2013 and ending 31 October 2014, Mr Virgin was not paid in full for his services. During this period, the Company accrued fees owing to Mr Virgin totalling $37,808.24 (excluding GST). The Company and Mr Virgin have agreed that 53% of this amount (being $20,038.37) be satisfied by way of an issue of 20,038,367 Shares at an issue price of $0.001 per Share. Such Shares are intended to be issued as soon as possible following the receipt of Shareholder approval pursuant to Resolution 7.
Virgin Pty Ltd (Justin Virgin)
Mr Virgin provided certain services to the Company pursuant to an agreement between the Company and Virgin Pty Ltd. For the period commencing 6 September 2013 and ending 31 October 2014, the fees accrued under the agreement for Mr Virgin's services, overseeing the Kimberley site rehabilitation process and representing the Company on a number of trips to the DRC in relation to investigating the procurement of prospective exploration projects, were not paid in full. During this period, the Company accrued fees in respect of Mr Virgin pursuant to this agreement totalling $33,000 (excluding GST). The Company, Virgin Pty Ltd and Mr Virgin have agreed that 70% of this amount (being $23,100) be satisfied by way of an issue of 23,100,000 Shares at an issue price of $0.001 per Share. Such Shares are intended to be issued as soon as possible following the receipt of Shareholder approval pursuant to Resolution 8.
Metallica Investments Pty Ltd (David Porter)
Mr Porter was appointed to the Board on 18 February 2014. Mr Porter provides his services to the Company pursuant to a consulting agreement between the Company and Metallica Investments Pty Ltd, executed on 16 August 2012 (Consulting Agreement). The services provided by Mr Porter under the Consulting Agreement are as "Exploration Manager". The fees payable pursuant to the Consulting Agreement are the only fees paid by the Company in respect of Mr Porter and Mr Porter is not paid separately for any directorship services provided by him to the Company. For the period commencing 18 February 2014 and ending 30 June 2014, the fees accrued under the Consulting Agreement for Mr Porter's services were not paid in full. During this period, the Company accrued fees owing in respect of Mr Porter totalling $60,401.79 (excluding GST). The Company, Metallica Investments Pty Ltd and Mr Porter have agreed that 70% of this amount (being $42,281.25) be satisfied by way of an issue of 42,281,250 Shares at an issue price of $0.001 per Share. Such Shares are intended to be issued immediately following the receipt of Shareholder approval pursuant to Resolution 8.
The Company has opted to satisfy the specified fees owing in this manner in order to conserve a greater proportion of the Company's cash in extinguishing a proportion of the specified debts on the Company's balance sheet.
In this regard, the Company has agreed, subject to obtaining Shareholder approval, to issue and allot a total of 123,844,617 Shares (Related Party Shares) to the Related Parties on the terms and conditions set out below. In the event that
Shareholder approval is not obtained, the Related Parties will retain their right to the payments to which they would otherwise be entitled.
For a public company, or an entity that the public company controls, to give a financial benefit to a related party of the public company, the public company or entity must:
(a) obtain the approval of the public company's members in the manner set out in sections 217 to 227 of the Corporations Act; and
(b) give the benefit within 15 months following such approval,
unless the giving of the financial benefit falls within an exception set out in sections 210 to 216 of the Corporations Act.
The grant of the Related Party Shares constitutes giving a financial benefit and Messrs Brett Fraser and Justin Virgin are related parties of the Company by virtue of being Directors, Metallica Investments Pty Ltd is a related party of the Company by virtue of being an associate of David Porter who is a director of the Company and Virgin Pty Ltd is a related party by virtue of being an associate of Justin Virgin who is a Director of the Company.
In addition, ASX Listing Rule 10.11 also requires shareholder approval to be obtained where an entity issues, or agrees to issue, securities to a related party, or a person whose relationship with the entity or a related party is, in ASX's opinion, such that approval should be obtained unless an exception in ASX Listing Rule 10.12 applies.
As the Directors are each benefitting from Resolution 6, 7, 8 and 9 (as applicable) on similar terms, a quorum of Directors cannot be constituted to ascertain whether any exceptions set out in sections 210 to 216 of the Corporations Act and ASX Listing Rule 10.12 apply in the current circumstances. Accordingly, Shareholder approval is sought for the grant of Related Party Shares to the Related Parties.
7.3 Shareholder Approval (Chapter 2E of the Corporations Act and ASX Listing Rule 10.11)
Pursuant to and in accordance with the requirements of section 219 of the Corporations Act and ASX Listing Rule 10.13, the following information is provided in relation to the proposed grant of Related Party Shares:
(a) the related parties are Messrs Brett Fraser and Justin Virgin, Metallica Investments Pty Ltd and Virgin Pty Ltd and they are related parties, in the case of Messrs Fraser and Virgin, by virtue of being Directors and, in the case of Metallica Investments Pty Ltd and Virgin Pty Ltd, by virtue of being an associate of David Porter and Justin Virgin (respectively) who are each Directors of the Company;
(b) the maximum number of Related Party Shares (being the nature of the financial benefit being provided) to be granted to the Related Parties is:
(i) 38,425,000 Related Party Shares to Brett Fraser;
(ii) 20,038,367 Related Party Shares to Justin Virgin;
(iii) 23,100,000 Related Party Shares to Virgin Pty Ltd; and
(iv) 42,281,250 Related Party Shares to Metallica Investments Pty Ltd;
(c) the Related Party Shares will be granted to the Related Parties no later than 1 month after the date of the Meeting (or such later date as permitted by any ASX waiver or modification of the ASX Listing Rules) and it is anticipated the Related Party Shares will be issued on one date;
(d) the Related Party Shares will be fully paid ordinary shares in the capital of the Company at a deemed issue price of $0.001 per Share;
(e) the deemed issue price of $0.001 per Share is based on the current market value of the Company Shares;
(f) the Related Party Shares will be granted for nil cash consideration, rather they will be issued in partial extinguishment of a debt, and accordingly no funds will be raised;
(g) the relevant interests of the Related Parties in securities of the Company are set out below:
(h) the remuneration and emoluments from the Company to the Related Parties for the previous financial years and the proposed remuneration and emoluments for the current financial year are set out below:
(i) if Resolutions 6 to 9 are passed, a total of 123,844,617 Shares would be issued. This will increase the number of Shares on issue from 1,485,721,300 to 1,609,565,917 (assuming that no Options are exercised and no Shares, other than those contemplated by Resolutions seven to nine of this Notice, are issued) with the effect that the shareholding of existing Shareholders would be diluted by an aggregate of 7.69%, comprising 2.38% by Brett Fraser, 1.24% by Justin Virgin, 1.44% for Virgin Pty Ltd and 2.63% for Metallica Investments Pty Ltd.
(j) the trading history of the Shares on ASX in the 12 months before the date of this Notice is set out below:
| | Related Party | | Shares | Options |
|---|---|---|---|---|
| Brett Fraser | | nil | | |
| Justin Virgin | | 27,000,000 | | |
1 15,000,000 unlisted Options exercisable at $0.01 each on or before 29 November 2014, 6,000,000 unlisted Options exercisable at $0.0175 on or before 29 November 2014 and 4,000,000 unlisted Options exercisable at $0.025 on or before 29 November 2014.
| Brett Fraser | 60,000 | 65,500 |
|---|---|---|
| Justin Virgin | 36,000 | 66,340 |
| David Porter | 165,000 | 174,855 |
| | | Price $ | Date |
|---|---|---|---|
| Highest | 0.003 cents | | |
| 0.001 cents | 26 September 2014 |
|---|---|
| 0.001 cents | 13 October 2014 |
(k) the Board acknowledges the grant of Related Party Shares to Justin Virgin and Brett Fraser is contrary to Recommendation 8.2 of The Corporate Governance Principles and Recommendations (3rd Edition) as published by The ASX Corporate Governance Council. However, the Board considers the grant of Related Party Shares to Justin Virgin and Brett Fraser reasonable in the circumstances for the reason set out in paragraph (l);
(l) Brett Fraser declines to make a recommendation to Shareholders in relation to Resolution six due to Brett Fraser's material personal interest in the outcome of the Resolution on the basis that Brett Fraser is to be granted Related Party Shares in the Company should Resolution six be passed. However, in respect of Resolutions seven, eight and nine, Brett Fraser recommends that Shareholders vote in favour of those Resolutions for the following reasons:
(i) the grant of the Related Party Shares is a reasonable and appropriate method to provide cost effective remuneration as the non-cash form of this benefit will allow the Company to spend a greater proportion of its cash reserves on its operations than it would if alternative cash forms of remuneration were given to the Related Parties; and
(ii) it is not considered that there are any significant opportunity costs to the Company or benefits foregone by the Company in granting the Related Party Shares upon the terms proposed;
(m) Justin Virgin declines to make a recommendation to Shareholders in relation to Resolutions seven and eight due to Justin Virgin's material personal interest in the outcome of the Resolutions on the basis that Justin Virgin or Virgin Pty Ltd, an associate of Justin Virgin, are to be granted Related Party Shares in the Company should Resolutions seven and eight be passed. However, in respect of Resolutions six and nine, Justin Virgin recommends that Shareholders vote in favour of those Resolutions for the reasons set out in paragraph (l);
(n) David Porter declines to make a recommendation to Shareholders in relation to Resolution nine due to David Porter's material personal interest in the outcome of the Resolution on the basis that Metallica Investments Pty Ltd, an associate of David Porter, is to be granted Related Party Shares in the Company should Resolution nine be passed. However, in respect of Resolutions six, seven and eight, David Porter recommends that Shareholders vote in favour of those Resolutions for the reasons set out in paragraph (l);
(o) in forming their recommendations, each Director considered the experience of each other Related Party, the current market price of Shares, the current market practices when determining the number of Related Party Shares to be granted; and
(p) the Board is not aware of any other information that would be reasonably required by Shareholders to allow them to make a decision whether it is in the best interests of the Company to pass Resolutions seven to nine.
Approval pursuant to ASX Listing Rule 7.1 is not required in order to issue the Related Party Shares to the Related Parties as approval is being obtained under
ASX Listing Rule 10.11. Accordingly, the issue of Related Party Shares to the Related Parties will not be included in the 15% calculation of the Company's annual placement capacity pursuant to ASX Listing Rule 7.1.
8. RESOLUTION 10 – APPROVAL OF FUTURE PLACEMENT OF SHARES
8.1 General
Resolution 10 seeks Shareholder approval for a proposed allotment and issue of up to 400,000,000 Shares (Future Placement).
A summary of ASX Listing Rules 7.1 and 7.4 is set out in Section 5.1 above.
The effect of Resolution 10 will be to allow the Directors to issue the Shares pursuant to the Future Placement during the period of 3 months after the Meeting (or a longer period, if allowed by ASX), without using the Company's 15% annual placement capacity.
8.2 Information Required ASX Listing Rule 7.1
Pursuant to and in accordance ASX Listing Rule 7.3, the following information is provided in relation to the Future Placement:
(a) the maximum number of Shares which may be allotted and issued pursuant to Resolution 10 is 400,000,000;
(b) the Future Placement Shares will be allotted and issued progressively as the allottees are identified, however, no Future Placement Shares will be allotted and issued after the date which is 3 months after the date of the Meeting (or later to the extent permitted by any ASX waiver or modification of the ASX Listing Rules) ;
(c) the issue price of the Shares proposed to be allotted and issued pursuant to the Future Placement will be not less than 80% of the volume weighted average market price of Shares on ASX calculated over the last 5 days on which sales in the Shares are recorded before the day on which the issue is made or, if there is a prospectus, over the last 5 days in which sales in the Shares were recorded before the date the prospectus is signed;
(d) the allottees in respect of Resolution 10 are not, as yet, identified, but will likely be sophisticated and professional investors identified by the Company and the clients of any brokers appointed by the Company to manage the Future Placement. The allottees will not be related parties of the Company;
(e) assuming no other Shares are issued or Options exercised and the maximum number of Shares as set out in this Resolution are issued pursuant to the Future Placement , the number of Shares on issue would increase from 1,485,721,300 to 1,885,721,300 and the shareholding of existing Shareholders would be diluted by 21.21%. This calculation does not take account of the issues of Shares the subject of Resolutions 6, 7, 8 or 9;
(f) the Shares issued will be fully paid ordinary shares in the capital of the Company, issued on the same terms and conditions as the Company's existing Shares; and
(g) the Company currently intends to use the funds raised from the Future Placement for:
(i) the Company's existing exploration assets;
(ii) the review and possible acquisition of new projects; and
(iii) for general working capital purposes.
(h) the Company currently intends that any funds raised pursuant to the Future Placement will be allocated in the following proportions:
| | | Current Year | Next Year |
|---|---|---|---|
| Total Tenement Commitments | 10% | | |
| Program and budget for additional expenditure on various tenements | 50% | | |
| Administration | 10% | | |
| Other working capital/corporate opportunities | 30% | | |
| Total Expenditure over 2 years | 100% | | |
GLOSSARY
$means Australian dollars.
10% Placement Capacity has the meaning given in section 6.16.1 of this Notice.
2013 Annual General Meeting means the annual general meeting of the Company held on 21 November 2013.
Annual General Meeting or
Meeting means the meeting convened by this Notice.
ASIC means the Australian Securities and Investments Commission.
ASX means ASX Limited (ACN 008 624 691) or the Australian Securities Exchange, as the context requires.
ASX Listing Rules means the Listing Rules of ASX.
Board means the current board of Directors of the Company.
Business Day means Monday to Friday inclusive, except New Year's Day, Good Friday, Easter Monday, Christmas Day, Boxing Day, and any other day that ASX declares is not a business day.
Chair means the chair of the Meeting.
Closely Related Party of a member of the Key Management Personnel means:
(a) a spouse or child of the member;
(b) a child of the member's spouse;
(c) a dependent of the member or the member's spouse;
(d) anyone else who is one of the member's family and may be expected to influence the member, or be influenced by the member, in the member's dealing with the entity;
(e) a company the member controls; or
(f) a person prescribed by the Corporations Regulations 2001 (Cth).
Company means Blina Minerals NL (ACN 086 471 007).
Constitution means the Company’s constitution.
Corporations Act means the Corporations Act 2001 (Cth).
Directors means the current directors of the Company.
Eligible Entity means an entity that, at the date of the relevant general meeting:
(a) is not included in the A&P/ASX 300 Index; and
(b) has a maximum market capitalisation (excluding restricted securities and securities quoted on a deferred settlement basis) of $300,000,000.
Equity Securities includes a Share, a right to a Share or Option, an Option, a convertible security and any security that ASX decides to classify as an Equity Security.
Explanatory Statement means the explanatory statement accompanying the Notice.
Key Management Personnel has the same meaning as in the accounting standards issued by the Australian Accounting Standards Board and means those persons having authority and responsibility for planning, directing and controlling the activities of the Company, or if the Company is part of a consolidated entity, of the consolidated entity, directly or indirectly, including any director (whether executive or otherwise) of the Company, or if the Company is part of a consolidated entity, of an entity within the consolidated group.
Notice or Notice of Meeting or Notice of Annual General Meeting means this notice of annual general meeting including the Explanatory Statement and the Proxy Form.
Ordinary Securities has the meaning set out in the ASX Listing Rules.
Option means an option to acquire a Share.
Proxy Form means the proxy form accompanying the Notice.
Remuneration Report means the remuneration report set out in the Director's report section of the Company's annual financial report for the year ended 30 June 2014.
Resolutions means the resolutions set out in the Notice of Meeting, or any one of them, as the context requires.
Schedule means a schedule to this Notice.
Share means a fully paid ordinary share in the capital of the Company.
Shareholder means a holder of a Share.
Variable A means "A" as set out in the calculation in section 6.2 of this Notice.
WST means Western Standard Time as observed in Perth, Western Australia.
SCHEDULE 1 – ISS UE OF EQ UITY SEC URITIES SINCE 28 NOVE MBER 2013
Information relating to issues of Equity Securities by the Company in the 12 months prior to 28 November 2014 is as follows:
| Issue Date | Number of Equity Securities | Class of Equity Securities and summary of terms | Names of recipients or basis on which recipients determined | Issue price of Equity Securities and discount to Market Price1 on the trading day prior to the issue |
|---|---|---|---|---|
| 18/09/2014 | 43,871,300 Shares | Note 2 | Ms Julia Beckett – 11,807,800 Shares and Platinum Corporate Secretariat Pty Ltd <the Webse Discretionary Trust> - 32,063,500 Shares | $0.001 issue price. Being a 50% discount to the market price of $0.002 on 17/09/2014 (trading day prior to issue). |
Notes:
1. Market Price means the closing price on ASX (excluding special crossings, overnight sales and exchange traded option exercises).
2. Fully paid ordinary shares in the capital of the Company, ASX Code: BDI (terms are set out in the Constitution).
PROXY FORM
APPOINTMENT OF PROXY BLINA MINERALS NL ACN 086 471 007
ANNUAL GENERAL MEETING
%
I/We
of
being a Shareholder entitled to attend and vote at the Annual General Meeting, hereby
Appoint
Name of proxy
OR
the Chair as my/our proxy
or failing the person so named or, if no person is named, the Chair, or the Chair’s nominee, to vote in accordance with the following directions, or, if no directions have been given, and subject to the relevant laws as the proxy sees fit, at the Annual General Meeting to be held at 10.00 am (WST) on Friday, 28 November 2014 at Level 4, 66 Kings Park Road, West Perth, Western Australia, and at any adjournment thereof.
Where I/we have appointed the Chair as my/our proxy (or where the Chair becomes my/our proxy by default), I/we expressly authorise the Chair to exercise my/our proxy on Resolutions 1, 6, 7, 8 and 9 (except where I/we have indicated a different voting intention below) even though Resolutions 1, 6, 7, 8 and 9 are connected directly or indirectly with the remuneration of a member of the Key Management Personnel, which includes the Chair.
The Chair intends to vote undirected proxies in favour of all Resolutions in which the Chair is entitled to vote.
Voting on Business of the Annual General Meeting
FOR AGAINST ABSTAIN
Resolution 1 – Adoption of Remuneration Report
Resolution 2 – Election of Director–Mr David Porter
Resolution 3 – Re-election of Director–Mr Justin Virgin
Resolution 4 – Ratification of Share Issue
Resolution 5 – Approval of 10% Placement Capacity
Resolution 6 – Issue of Shares to Brett Fraser
Resolution 7 – Issue of Shares to Justin Virgin
Resolution 8 – Issue of Shares to Virgin Pty Ltd
Resolution 9 – Issue of Shares to Metallica Investments Pty Ltd
Resolution 10 – Approval of Future Placement of Shares
Please note: If you mark the abstain box for a particular Resolution, you are directing your proxy not to vote on that Resolution on a show of hands or on a poll and your votes will not to be counted in computing the required majority on a poll.
If two proxies are being appointed, the proportion of voting rights this proxy represents is
Signature of Member(s):
Date: ______________________
Individual or Member 1
Member 2
Member 3
Sole
Director/Company
Secretary
Director
Director/Company Secretary
Contact Name: ______________________________________ Contact Ph (daytime): ______________________________
BLINA MINEARLS NL
ACN 086 471 007
Instructions for Completing 'Appointment of Proxy' Form
1. (Appointing a Proxy): A member entitled to attend and cast a vote at an Annual General Meeting is entitled to appoint a proxy to attend and vote on their behalf at the meeting. If the member is entitled to cast 2 or more votes at the meeting, the member may appoint a second proxy to attend and vote on their behalf at the meeting. However, where both proxies attend the meeting, voting may only be exercised on a poll. The appointment of a second proxy must be done on a separate copy of the Proxy Form. A member who appoints 2 proxies may specify the proportion or number of votes each proxy is appointed to exercise. If a member appoints 2 proxies and the appointments do not specify the proportion or number of the member's votes each proxy is appointed to exercise, each proxy may exercise one-half of the votes. Any fractions of votes resulting from the application of these principles will be disregarded. A duly appointed proxy need not be a member of the Company.
2. (Direction to Vote): A member may direct a proxy how to vote by marking one of the boxes opposite each item of business. The direction may specify the proportion or number of votes that the proxy may exercise by writing the percentage or number of Shares next to the box marked for the relevant item of business. Where a box is not marked the proxy may vote as they choose. Where more than one box is marked on an item the vote will be invalid on that item.
3. (Signing Instructions):
* (Individual): Where the holding is in one name, the member must sign.
* (Joint Holding): Where the holding is in more than one name, all of the members should sign.
* (Power of Attorney): If you have not already provided the Power of Attorney with the registry, please attach a certified photocopy of the Power of Attorney to this form when you return it.
* (Companies): Where the company has a sole director who is also the sole company secretary, that person must sign. Where the company (pursuant to Section 204A of the Corporations Act) does not have a company secretary, a sole director can also sign alone. Otherwise, a director jointly with either another director or a company secretary must sign. Please sign in the appropriate place to indicate the office held. In addition, if a representative of a company is appointed pursuant to Section 250D of the Corporations Act to attend the Meeting, the documentation evidencing such appointment should be produced prior to admission to the Meeting. A form of a certificate evidencing the appointment may be obtained from the Company.
4. (Attending the Meeting): Completion of a Proxy Form will not prevent individual members from attending the Annual General Meeting in person if they wish. Where a member completes and lodges a valid Proxy Form and attends the Annual General Meeting in person, then the proxy's authority to speak and vote for that member is suspended while the member is present at the Annual General Meeting.
5. (Return of Proxy Form): To vote by proxy, please complete and sign the enclosed Proxy Form and return by:
(a) post to Blina Minerals NL, PO Box 52, West Perth, Western Australia 6872 ; or
(b) facsimile to the Company on facsimile number +618 6141 3599; or
(c) email to the Company at [email protected],
so that it is received no less than 48 hours prior to the commencement of the Meeting.
Proxy forms received later than this time will be invalid.
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